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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 (2016Q4)
Portfolio Summary: 35 Institutional holders with a total value of $76,380,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 NIEMANN CAPITAL MANAGEMENT INC 546,738 24,111,000 31.57%
2 ENVESTNET ASSET MANAGEMENT INC 362,257 15,977,000 20.92%
3 UNITED CAPITAL FINANCIAL ADVISORS, LLC 301,560 13,299,000 17.41%
4 MORGAN STANLEY 96,735 4,266,000 5.59%
5 WELLS FARGO & COMPANY/MN 76,450 3,372,000 4.41%
6 Frontier Wealth Management LLC 48,979 2,160,000 2.83%
7 Camelot Portfolios, LLC 42,075 1,855,000 2.43%
8 SUSQUEHANNA INTERNATIONAL GROUP, LLP 33,505 1,478,000 1.94%
9 SG Americas Securities, LLC 31,154 1,374,000 1.80%
10 LADENBURG THALMANN FINANCIAL SERVICES INC. 28,653 1,263,000 1.65%
11 BB&T SECURITIES, LLC 27,486 996,000 1.30%
12 JANE STREET GROUP, LLC 20,613 909,000 1.19%
13 RAYMOND JAMES & ASSOCIATES 20,521 905,000 1.18%
14 LPL Financial LLC 19,274 854,000 1.12%
15 One Capital Management, LLC 13,533 597,000 0.78%
16 BANK OF AMERICA CORP /DE/ 13,483 595,000 0.78%
17 Chicago Partners Investment Group LLC 8,017 354,000 0.46%
18 NAPLES GLOBAL ADVISORS, LLC 7,935 350,000 0.46%
19 CIBC WORLD MARKET INC. 7,461 329,000 0.43%
20 UBS Group AG 5,775 255,000 0.33%
21 Raymond James Financial Services Advisors, Inc. 5,389 238,000 0.31%
22 ROYAL BANK OF CANADA 5,404 238,000 0.31%
23 Mariner, LLC 4,987 220,000 0.29%
24 FIFTH THIRD BANCORP 4,000 176,000 0.23%
25 PNC FINANCIAL SERVICES GROUP, INC. 1,812 80,000 0.10%
26 ADVISOR GROUP, INC. 836 37,000 0.05%
27 WFG Advisors, LP 775 34,000 0.04%
28 MSI Financial Services Inc 410 18,000 0.02%
29 D.A. DAVIDSON & CO. 400 17,000 0.02%
30 IFP ADVISORS, INC 177 8,000 0.01%
31 Creative Planning 157 7,000 0.01%
32 INTERACTIVE FINANCIAL ADVISORS, INC. 100 4,000 0.01%
33 DUBUQUE BANK & TRUST CO 100 4,000 0.01%
34 PARALLEL ADVISORS, LLC 1 0 0.00%
35 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.