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FIRST TRUST DOW JONES SELECT MICROCAP INDEX FUND
FIRST TRUST DOW JONES SELECT MICROCAP INDEX FUND. Institutional holdings reported to the SEC.

Institutional Holders (2015Q1)
Portfolio Summary: 24 Institutional holders with a total value of $39,617,038.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 85,063 28,846,000 72.81%
2 Frontier Wealth Management LLC 98,360 3,336,000 8.42%
3 MORGAN STANLEY 56,247 1,907,000 4.81%
4 WELLS FARGO & COMPANY/MN 45,453 1,541,000 3.89%
5 SUSQUEHANNA INTERNATIONAL GROUP, LLP 29,391 1,003,000 2.53%
6 ROYAL BANK OF CANADA 14,446 490,000 1.24%
7 UBS Group AG 12,036 408,000 1.03%
8 Timber Hill LLC 12,022 408,000 1.03%
9 COMERICA SECURITIES INC 10,694 363,000 0.92%
10 BANK OF AMERICA CORP /DE/ 10,297 349,000 0.88%
11 NAPLES GLOBAL ADVISORS, LLC 8,235 279,000 0.70%
12 Chicago Partners Investment Group LLC 7,563 253,000 0.64%
13 FIFTH THIRD BANCORP 4,000 136,000 0.34%
14 WFG Advisors, LP 1,796 61,000 0.15%
15 MYCIO WEALTH PARTNERS, LLC 1,446 49,000 0.12%
16 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,345 46,000 0.12%
17 Camarda Financial Advisors, LLC 1,000 34,000 0.09%
18 Creative Planning 996 34,000 0.09%
19 PNC FINANCIAL SERVICES GROUP, INC. 1,002 34,000 0.09%
20 MSI Financial Services Inc 389 13,000 0.03%
21 D.A. DAVIDSON & CO. 400 13,000 0.03%
22 AMERICAN INTERNATIONAL GROUP, INC. 296 10,038 0.03%
23 DUBUQUE BANK & TRUST CO 110 4,000 0.01%
24 Parallax Volatility Advisers, L.P. 1 0 0.00%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.