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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: 47 Institutional holders with a total value of $85,417,580.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 462,576 21,829,000 25.56%
2 WELLS FARGO & COMPANY/MN 318,343 15,023,000 17.59%
3 UBS Group AG 148,836 7,024,000 8.22%
4 HL FINANCIAL SERVICES LLC 107,553 5,075,000 5.94%
5 BAIRD FINANCIAL GROUP, INC. 105,650 4,986,000 5.84%
6 First Horizon Advisors, Inc. 99,122 4,792,000 5.61%
7 HBK Sorce Advisory LLC 82,882 3,911,000 4.58%
8 BANK OF AMERICA CORP /DE/ 50,833 2,399,000 2.81%
9 LPL Financial LLC 44,008 2,101,000 2.46%
10 Regal Investment Advisors LLC 44,125 2,082,000 2.44%
11 ROYAL BANK OF CANADA 32,034 1,512,000 1.77%
12 JANE STREET GROUP, LLC 22,772 1,075,000 1.26%
13 D.A. DAVIDSON & CO. 22,740 1,073,000 1.26%
14 CORNERSTONE WEALTH MANAGEMENT, LLC 19,652 938,000 1.10%
15 AMERIPRISE FINANCIAL INC 19,481 925,000 1.08%
16 SUSQUEHANNA INTERNATIONAL GROUP, LLP 18,588 879,000 1.03%
17 RISK PARADIGM GROUP, LLC 18,182 858,008 1.00%
18 STIFEL FINANCIAL CORP 16,234 768,000 0.90%
19 Frontier Wealth Management LLC 15,855 748,000 0.88%
20 PINNACLE FAMILY ADVISORS, LLC 15,095 713,000 0.83%
21 HighTower Advisors, LLC 14,084 665,000 0.78%
22 MSI Financial Services Inc 12,573 593,000 0.69%
23 Raymond James Financial Services Advisors, Inc. 10,519 496,000 0.58%
24 Janney Montgomery Scott LLC 10,138 478,000 0.56%
25 RAYMOND JAMES & ASSOCIATES 9,506 449,000 0.53%
26 Winslow, Evans & Crocker, Inc. 9,146 431,556 0.51%
27 Commonwealth Equity Services, Inc 9,047 427,000 0.50%
28 LADENBURG THALMANN FINANCIAL SERVICES INC. 8,854 418,000 0.49%
29 CITIGROUP INC 8,371 396,000 0.46%
30 ADVISOR GROUP, INC. 8,187 387,000 0.45%
31 LVZ, Inc. 6,506 307,000 0.36%
32 OLD MISSION CAPITAL, LLC 6,183 292,000 0.34%
33 Stratos Wealth Partners, LTD. 6,169 291,000 0.34%
34 IFC Holdings Incorporated/FL 6,119 287,000 0.34%
35 ENVESTNET ASSET MANAGEMENT INC 3,418 161,000 0.19%
36 IFP ADVISORS, INC 2,946 139,000 0.16%
37 FLOW TRADERS U.S. LLC 2,742 130,000 0.15%
38 WFG Advisors, LP 1,921 91,000 0.11%
39 PNC FINANCIAL SERVICES GROUP, INC. 1,754 83,000 0.10%
40 RPG FAMILY WEALTH ADVISORY, LLC 1,293 61,016 0.07%
41 Chicago Partners Investment Group LLC 1,119 53,000 0.06%
42 Shamrock Asset Management LLC 594 28,000 0.03%
43 Independent Portfolio Consultants, Inc. 360 17,000 0.02%
44 NEXT Financial Group, Inc 275 13,000 0.02%
45 GENEOS WEALTH MANAGEMENT INC. 240 11,000 0.01%
46 M&R CAPITAL MANAGEMENT INC 60 2,000 0.00%
47 Parallax Volatility Advisers, L.P. 1 0 0.00%

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.