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 (2015Q4)
Portfolio Summary: 31 Institutional holders with a total value of $16,382,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 119,608 3,935,000 24.02%
2 Frontier Wealth Management LLC 79,494 2,615,000 15.96%
3 WELLS FARGO & COMPANY/MN 51,839 1,706,000 10.41%
4 CITADEL ADVISORS LLC 39,620 1,304,000 7.96%
5 Camelot Portfolios, LLC 37,559 1,236,000 7.54%
6 SUSQUEHANNA INTERNATIONAL GROUP, LLP 33,417 1,100,000 6.71%
7 MORGAN STANLEY 27,422 902,000 5.51%
8 BANK OF AMERICA CORP /DE/ 15,919 524,000 3.20%
9 Timber Hill LLC 14,799 487,000 2.97%
10 JANE STREET GROUP, LLC 14,146 465,000 2.84%
11 UBS Group AG 12,557 413,000 2.52%
12 LPL Financial LLC 10,040 323,000 1.97%
13 NAPLES GLOBAL ADVISORS, LLC 8,035 264,000 1.61%
14 One Capital Management, LLC 7,443 262,000 1.60%
15 Chicago Partners Investment Group LLC 7,447 245,000 1.50%
16 ROYAL BANK OF CANADA 5,323 175,000 1.07%
17 FIFTH THIRD BANCORP 4,000 132,000 0.81%
18 ENVESTNET ASSET MANAGEMENT INC 1,724 57,000 0.35%
19 MYCIO WEALTH PARTNERS, LLC 1,457 48,000 0.29%
20 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,345 44,000 0.27%
21 WFG Advisors, LP 1,352 44,000 0.27%
22 PNC FINANCIAL SERVICES GROUP, INC. 1,002 33,000 0.20%
23 Creative Planning 487 16,000 0.10%
24 ASSET DEDICATION, LLC 427 14,000 0.09%
25 D.A. DAVIDSON & CO. 400 13,000 0.08%
26 AMERICAN INTERNATIONAL GROUP, INC. 296 10,000 0.06%
27 MSI Financial Services Inc 185 6,000 0.04%
28 CITIGROUP INC 133 4,000 0.02%
29 DUBUQUE BANK & TRUST CO 100 3,000 0.02%
30 ATWOOD & PALMER INC 60 2,000 0.01%
31 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.