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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 (2016Q2)
Portfolio Summary: 30 Institutional holders with a total value of $13,510,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 111,807 3,741,000 27.69%
2 Frontier Wealth Management LLC 65,429 2,189,000 16.20%
3 MORGAN STANLEY 56,702 1,897,000 14.04%
4 Camelot Portfolios, LLC 37,511 1,255,000 9.29%
5 WELLS FARGO & COMPANY/MN 19,185 642,000 4.75%
6 JANE STREET GROUP, LLC 14,783 495,000 3.66%
7 One Capital Management, LLC 14,172 474,000 3.51%
8 Timber Hill LLC 12,629 423,000 3.13%
9 SUSQUEHANNA INTERNATIONAL GROUP, LLP 11,003 368,000 2.72%
10 Chicago Partners Investment Group LLC 9,005 301,000 2.23%
11 NAPLES GLOBAL ADVISORS, LLC 8,035 269,000 1.99%
12 Virtu KCG Holdings LLC 7,970 267,000 1.98%
13 BANK OF AMERICA CORP /DE/ 6,858 229,000 1.70%
14 UBS Group AG 6,107 204,000 1.51%
15 FIFTH THIRD BANCORP 4,000 134,000 0.99%
16 SG Americas Securities, LLC 3,700 124,000 0.92%
17 SOCIETE GENERALE 3,700 124,000 0.92%
18 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,001 67,000 0.50%
19 ROYAL BANK OF CANADA 1,779 60,000 0.44%
20 PNC FINANCIAL SERVICES GROUP, INC. 1,726 58,000 0.43%
21 ENVESTNET ASSET MANAGEMENT INC 1,459 49,000 0.36%
22 MYCIO WEALTH PARTNERS, LLC 1,403 47,000 0.35%
23 WFG Advisors, LP 775 26,000 0.19%
24 ADVISOR GROUP, INC. 596 19,000 0.14%
25 INTEGRATED WEALTH MANAGEMENT 517 17,000 0.13%
26 D.A. DAVIDSON & CO. 400 13,000 0.10%
27 Creative Planning 330 11,000 0.08%
28 MSI Financial Services Inc 110 4,000 0.03%
29 DUBUQUE BANK & TRUST CO 100 3,000 0.02%
30 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.