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FIRST TR EXCH TRD ALPHDX FD
FIRST TR EXCH TRD ALPHDX FD. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 51 Institutional holders with a total value of $144,129,933.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,478,990 43,661,000 30.29%
2 UBS Group AG 868,225 25,630,000 17.78%
3 WELLS FARGO & COMPANY/MN 665,579 19,648,000 13.63%
4 Orion Porfolio Solutions, LLC 233,000 6,879,000 4.77%
5 LPL Financial LLC 187,391 5,528,000 3.84%
6 RAYMOND JAMES & ASSOCIATES 183,958 5,430,000 3.77%
7 JANE STREET GROUP, LLC 146,388 4,321,000 3.00%
8 BANK OF AMERICA CORP /DE/ 118,882 3,509,000 2.43%
9 CITADEL ADVISORS LLC 80,777 2,384,000 1.65%
10 Raymond James Financial Services Advisors, Inc. 78,964 2,331,000 1.62%
11 ROYAL BANK OF CANADA 77,560 2,290,000 1.59%
12 SG Americas Securities, LLC 68,672 2,027,000 1.41%
13 Commonwealth Equity Services, Inc 64,071 1,891,000 1.31%
14 WAYNE HUMMER INVESTMENTS L.L.C. 60,355 1,782,000 1.24%
15 SignalPoint Asset Management, LLC 59,566 1,758,000 1.22%
16 ADVISOR GROUP, INC. 43,805 1,294,000 0.90%
17 LADENBURG THALMANN FINANCIAL SERVICES INC. 37,767 1,115,000 0.77%
18 First Allied Advisory Services, Inc. 36,337 1,073,000 0.74%
19 Janney Montgomery Scott LLC 35,905 1,060,000 0.74%
20 IMA Advisory Services, Inc. 30,066 888,000 0.62%
21 OPPENHEIMER & CO INC 27,188 803,000 0.56%
22 RISK PARADIGM GROUP, LLC 23,996 708,361 0.49%
23 OLD MISSION CAPITAL LLC 23,617 697,000 0.48%
24 STIFEL FINANCIAL CORP 21,795 648,000 0.45%
25 AMERIPRISE FINANCIAL INC 19,242 566,000 0.39%
26 ENVESTNET ASSET MANAGEMENT INC 19,035 562,000 0.39%
27 CITIGROUP INC 18,042 532,000 0.37%
28 FLOW TRADERS U.S. LLC 17,702 522,000 0.36%
29 SANDERS MORRIS HARRIS INC/FA 16,079 474,000 0.33%
30 MSI Financial Services Inc 13,896 410,000 0.28%
31 Cetera Advisor Networks LLC 13,440 397,000 0.28%
32 M&T BANK CORP 13,285 392,000 0.27%
33 STEPHENS INC /AR/ 12,044 356,000 0.25%
34 INVESTMENT CENTERS OF AMERICA INC 10,197 301,000 0.21%
35 Yorktown Management & Research Co Inc 9,000 266,000 0.18%
36 Cambridge Investment Research Advisors, Inc. 8,667 256,000 0.18%
37 HL FINANCIAL SERVICES LLC 8,191 242,000 0.17%
38 D.A. DAVIDSON & CO. 8,005 236,000 0.16%
39 SUNTRUST BANKS INC 7,991 236,000 0.16%
40 JPMORGAN CHASE & CO 7,390 218,000 0.15%
41 WFG Advisors, LP 5,872 173,000 0.12%
42 PNC FINANCIAL SERVICES GROUP, INC. 5,052 149,000 0.10%
43 NEXT Financial Group, Inc 4,918 145,000 0.10%
44 Winslow, Evans & Crocker, Inc. 4,458 131,572 0.09%
45 IFP ADVISORS, INC 2,997 88,000 0.06%
46 SECURITY NATIONAL TRUST CO 2,341 69,000 0.05%
47 Burt Wealth Advisors 872 25,000 0.02%
48 US BANCORP \DE\ 493 15,000 0.01%
49 Archford Capital Strategies, LLC 276 8,000 0.01%
50 GENEOS WEALTH MANAGEMENT INC. 190 5,000 0.00%
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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.