Dark
Light
System
Security
FIRST TRUST DOW JONES SELECT MICROCAP INDEX FUND
FIRST TRUST DOW JONES SELECT MICROCAP INDEX FUND. Institutional holdings reported to the SEC.

Institutional Holders (2015Q2)
Portfolio Summary: 27 Institutional holders with a total value of $15,730,263.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 114,284 3,962,000 25.19%
2 Frontier Wealth Management LLC 95,730 3,319,000 21.10%
3 MORGAN STANLEY 67,878 2,353,000 14.96%
4 WELLS FARGO & COMPANY/MN 47,206 1,637,000 10.41%
5 SUSQUEHANNA INTERNATIONAL GROUP, LLP 19,188 665,000 4.23%
6 ROYAL BANK OF CANADA 13,317 462,000 2.94%
7 UBS Group AG 12,924 449,000 2.85%
8 Timber Hill LLC 12,022 417,000 2.65%
9 COMERICA SECURITIES INC 10,651 369,000 2.35%
10 BANK OF AMERICA CORP /DE/ 10,321 358,000 2.28%
11 JANE STREET GROUP, LLC 8,794 305,000 1.94%
12 One Capital Management, LLC 8,583 298,000 1.89%
13 NAPLES GLOBAL ADVISORS, LLC 8,135 282,000 1.79%
14 Chicago Partners Investment Group LLC 7,447 258,000 1.64%
15 CITADEL ADVISORS LLC 6,171 214,000 1.36%
16 FIFTH THIRD BANCORP 4,000 139,000 0.88%
17 WFG Advisors, LP 1,877 65,000 0.41%
18 MYCIO WEALTH PARTNERS, LLC 1,453 50,000 0.32%
19 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,345 47,000 0.30%
20 PNC FINANCIAL SERVICES GROUP, INC. 1,002 35,000 0.22%
21 D.A. DAVIDSON & CO. 400 13,000 0.08%
22 AMERICAN INTERNATIONAL GROUP, INC. 296 10,263 0.07%
23 MSI Financial Services Inc 300 10,000 0.06%
24 CITIGROUP INC 163 6,000 0.04%
25 BANK OF MONTREAL /CAN/ 101 4,000 0.03%
26 DUBUQUE BANK & TRUST CO 100 3,000 0.02%
27 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.