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

Institutional Holders (2014Q3)
Portfolio Summary: 34 Institutional holders with a total value of $66,825,615.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 349,480 17,415,000 26.06%
2 WELLS FARGO & COMPANY/MN 315,114 15,702,000 23.50%
3 UBS AG 148,110 7,380,000 11.04%
4 LPL Financial LLC 91,605 4,479,000 6.70%
5 HL FINANCIAL SERVICES LLC 65,124 3,245,000 4.86%
6 Robert W. Baird & Co. Inc 58,604 2,920,000 4.37% SH
7 ROYAL BANK OF CANADA 52,918 2,637,000 3.95%
8 SUSQUEHANNA INTERNATIONAL GROUP, LLP 30,242 1,507,000 2.26%
9 First Allied Advisory Services, Inc. 25,997 1,295,000 1.94%
10 IFC Holdings Incorporated/FL 25,392 1,270,000 1.90%
11 GOLDMAN SACHS GROUP INC 20,311 1,012,000 1.51%
12 VSR Financial Services, Inc. 19,026 948,000 1.42%
13 AMERIPRISE FINANCIAL INC 14,697 732,000 1.10%
14 JPMORGAN CHASE & CO 14,387 717,000 1.07%
15 D.A. DAVIDSON & CO. 13,440 669,000 1.00%
16 BANK OF AMERICA CORP /DE/ 12,779 637,000 0.95%
17 SG Americas Securities, LLC 11,701 583,000 0.87%
18 M&T BANK CORP 11,042 550,000 0.82%
19 Regal Investment Advisors LLC 9,116 454,000 0.68%
20 JANE STREET GROUP, LLC 8,795 438,000 0.66%
21 Cambridge Investment Research Advisors, Inc. 8,651 431,000 0.64%
22 COMERICA SECURITIES INC 8,129 405,000 0.61%
23 Winslow, Evans & Crocker, Inc. 7,356 366,500 0.55%
24 STIFEL FINANCIAL CORP 7,084 353,000 0.53%
25 NAVELLIER & ASSOCIATES INC 4,888 244,000 0.37%
26 LADENBURG THALMANN FINANCIAL SERVICES INC. 3,511 175,000 0.26%
27 NEW ENGLAND SECURITIES CORP /MA/ 1,401 70,000 0.10%
28 AMERICAN INTERNATIONAL GROUP, INC. 1,086 54,115 0.08%
29 WFG Advisors, LP 900 45,000 0.07%
30 BENJAMIN F. EDWARDS & COMPANY, INC. 608 30,000 0.04%
31 FIFTH THIRD BANCORP 572 29,000 0.04%
32 Ground Swell Capital, LLC 374 19,000 0.03%
33 Madden Advisory Services, Inc. 182 9,000 0.01%
34 ENVESTNET ASSET MANAGEMENT INC 106 5,000 0.01%

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.