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

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.