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

Institutional Holders (2016Q4)
Portfolio Summary: 57 Institutional holders with a total value of $137,265,430.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,266,477 36,962,000 26.93%
2 UBS Group AG 849,389 24,789,000 18.06%
3 WELLS FARGO & COMPANY/MN 693,337 20,235,000 14.74%
4 CITADEL ADVISORS LLC 316,707 9,251,000 6.74%
5 Orion Porfolio Solutions, LLC 195,981 5,719,000 4.17%
6 LPL Financial LLC 174,713 5,119,000 3.73%
7 RAYMOND JAMES & ASSOCIATES 162,216 4,734,000 3.45%
8 BANK OF AMERICA CORP /DE/ 118,184 3,449,000 2.51%
9 JANE STREET GROUP, LLC 102,291 2,985,000 2.17%
10 ROYAL BANK OF CANADA 79,412 2,318,000 1.69%
11 SG Americas Securities, LLC 77,414 2,259,000 1.65%
12 Raymond James Financial Services Advisors, Inc. 73,258 2,138,000 1.56%
13 Commonwealth Equity Services, Inc 63,575 1,855,000 1.35%
14 SignalPoint Asset Management, LLC 56,114 1,638,000 1.19%
15 WAYNE HUMMER INVESTMENTS L.L.C. 55,209 1,611,000 1.17%
16 Janney Montgomery Scott LLC 47,074 1,374,000 1.00%
17 ADVISOR GROUP, INC. 43,602 1,272,000 0.93%
18 First Allied Advisory Services, Inc. 28,355 828,000 0.60%
19 LADENBURG THALMANN FINANCIAL SERVICES INC. 27,587 805,000 0.59%
20 OPPENHEIMER & CO INC 20,159 588,000 0.43%
21 RISK PARADIGM GROUP, LLC 19,469 568,202 0.41%
22 STIFEL FINANCIAL CORP 18,538 539,000 0.39%
23 Virtu KCG Holdings LLC 18,056 527,000 0.38%
24 IMA Advisory Services, Inc. 17,957 524,000 0.38%
25 GUGGENHEIM CAPITAL LLC 15,981 467,000 0.34%
26 AMERIPRISE FINANCIAL INC 15,429 460,000 0.34%
27 CITIGROUP INC 14,311 418,000 0.30%
28 STEPHENS INC /AR/ 12,044 352,000 0.26%
29 FLOW TRADERS U.S. LLC 11,878 347,000 0.25%
30 M&T BANK CORP 10,758 314,000 0.23%
31 INVESTMENT CENTERS OF AMERICA INC 10,020 293,000 0.21%
32 MSI Financial Services Inc 9,771 285,000 0.21%
33 SUNTRUST BANKS INC 9,016 267,000 0.19%
34 Yorktown Management & Research Co Inc 9,000 263,000 0.19%
35 Cambridge Investment Research Advisors, Inc. 8,358 244,000 0.18%
36 JPMORGAN CHASE & CO 7,918 231,000 0.17%
37 D.A. DAVIDSON & CO. 7,765 226,000 0.16%
38 WFG Advisors, LP 5,036 147,000 0.11%
39 NEXT Financial Group, Inc 4,918 144,000 0.10%
40 IHT WEALTH MANAGEMENT, LLC 4,864 143,000 0.10%
41 Winslow, Evans & Crocker, Inc. 4,428 129,204 0.09%
42 SECURITY NATIONAL TRUST CO 2,341 68,000 0.05%
43 IFP ADVISORS, INC 2,298 67,000 0.05%
44 AlphaMark Advisors, LLC 2,016 59,000 0.04%
45 PNC FINANCIAL SERVICES GROUP, INC. 1,550 45,000 0.03%
46 BENJAMIN F. EDWARDS & COMPANY, INC. 1,350 39,000 0.03%
47 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,134 33,000 0.02%
48 GLOBAL RETIREMENT PARTNERS, LLC 952 28,000 0.02%
49 Burt Wealth Advisors 872 25,000 0.02%
50 CREATIVE FINANCIAL DESIGNS INC /ADV 800 23,000 0.02%
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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.