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

Institutional Holders (2014Q1)
Portfolio Summary: 27 Institutional holders with a total value of $53,769,498.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 315,420 16,490,000 30.67%
2 WELLS FARGO & COMPANY/MN 222,140 11,613,000 21.60%
3 UBS AG 139,800 7,309,000 13.59%
4 HL FINANCIAL SERVICES LLC 65,375 3,418,000 6.36%
5 GOLDMAN SACHS GROUP INC 41,860 2,188,000 4.07%
6 JANE STREET GROUP, LLC 39,843 2,083,000 3.87%
7 ROYAL BANK OF CANADA 32,788 1,714,000 3.19%
8 LPL Financial LLC 21,483 1,123,000 2.09%
9 IFC Holdings Incorporated/FL 20,548 1,065,000 1.98%
10 Robert W. Baird & Co. Inc 16,000 836,000 1.55%
11 AMERIPRISE FINANCIAL INC 13,773 720,000 1.34%
12 D.A. DAVIDSON & CO. 12,635 660,000 1.23%
13 VSR Financial Services, Inc. 12,212 638,000 1.19%
14 SUSQUEHANNA INTERNATIONAL GROUP, LLP 11,940 624,000 1.16%
15 NAVELLIER & ASSOCIATES INC 11,211 586,000 1.09%
16 Regal Investment Advisors LLC 8,206 429,000 0.80%
17 COMERICA SECURITIES INC 7,930 415,000 0.77%
18 Astor Investment Management LLC 7,229 378,000 0.70%
19 BANK OF AMERICA CORP /DE/ 6,639 347,000 0.65%
20 Winslow, Evans & Crocker, Inc. 5,590 292,245 0.54%
21 Cambridge Investment Research Advisors, Inc. 5,172 270,000 0.50%
22 Jefferies Group LLC 5,066 265,000 0.49%
23 ENVESTNET ASSET MANAGEMENT INC 2,401 126,000 0.23%
24 B. Riley Wealth Management, Inc. 1,980 104,000 0.19%
25 AMERICAN INTERNATIONAL GROUP, INC. 1,076 56,253 0.10%
26 Madden Advisory Services, Inc. 182 10,000 0.02%
27 WFG Advisors, LP 200 10,000 0.02%

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.