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FIRST TR EXCHANGE-TRADED FD
FIRST TR EXCHANGE-TRADED FD. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 98 Institutional holders with a total value of $951,372,866.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 2,233,456 204,986,000 21.55%
2 WELLS FARGO & COMPANY/MN 1,689,827 155,092,000 16.30%
3 FIRST TRUST ADVISORS LP 1,454,495 133,494,000 14.03%
4 UBS AG 725,782 66,612,000 7.00%
5 BB&T SECURITIES, LLC 70,465 64,672,000 6.80%
6 BANK OF AMERICA CORP /DE/ 668,625 61,366,000 6.45%
7 RAYMOND JAMES & ASSOCIATES 348,556 31,990,000 3.36%
8 GOLDMAN SACHS GROUP INC 300,230 27,555,000 2.90%
9 ROYAL BANK OF CANADA 231,773 21,273,000 2.24%
10 LPL Financial LLC 227,470 20,588,000 2.16%
11 RiverFront Investment Group, LLC 140,347 12,881,000 1.35%
12 AMERIPRISE FINANCIAL INC 98,817 9,088,000 0.96%
13 McKinley Carter Wealth Services, Inc. 80,123 7,354,000 0.77%
14 Valentine Capital Asset Management, Inc. 72,990 6,699,000 0.70%
15 CREDIT SUISSE AG/ 72,836 6,685,000 0.70%
16 JPMORGAN CHASE & CO 70,461 6,467,000 0.68%
17 STIFEL FINANCIAL CORP 70,167 6,440,000 0.68%
18 CHURCHILL MANAGEMENT Corp 67,694 6,213,000 0.65%
19 Hartford Financial Management Inc. 60,163 5,521,000 0.58%
20 NewSquare Capital LLC 59,350 5,447,000 0.57%
21 HL FINANCIAL SERVICES LLC 52,794 4,845,000 0.51%
22 Janney Montgomery Scott LLC 47,564 4,365,424 0.46%
23 Robert W. Baird & Co. Inc 46,840 4,299,000 0.45% SH
24 AMERICAN INTERNATIONAL GROUP, INC. 37,845 3,473,413 0.37%
25 BENJAMIN F. EDWARDS & COMPANY, INC. 36,899 3,387,000 0.36%
26 Cambridge Investment Research Advisors, Inc. 36,234 3,326,000 0.35%
27 Tower Research Capital LLC (TRC) 35,528 3,261,000 0.34%
28 HighTower Advisors, LLC 35,181 3,229,000 0.34%
29 Raymond James Financial Services Advisors, Inc. 32,228 2,958,000 0.31%
30 SUNTRUST BANKS INC 32,212 2,956,000 0.31%
31 MSI Financial Services Inc 28,572 2,622,000 0.28%
32 Ancora Advisors LLC 25,833 2,371,000 0.25%
33 IFC Holdings Incorporated/FL 25,568 2,351,000 0.25%
34 BANK OF AMERICA CORP /DE/ 24,200 2,221,000 0.23% Put
35 First Heartland Consultants, Inc. 23,578 2,164,000 0.23%
36 First Allied Advisory Services, Inc. 22,248 2,041,000 0.21%
37 BECK CAPITAL MANAGEMENT, LLC 22,855 2,036,000 0.21%
38 OPPENHEIMER & CO INC 21,968 2,016,000 0.21%
39 DEUTSCHE BANK AG\ 20,359 1,868,000 0.20%
40 Commonwealth Equity Services, Inc 19,695 1,808,000 0.19%
41 Placemark Investments, Inc. 19,018 1,747,000 0.18%
42 Verition Fund Management LLC 16,965 1,557,000 0.16%
43 STERNE AGEE GROUP, INC. 16,453 1,529,000 0.16%
44 STEPHENS INC /AR/ 16,205 1,487,000 0.16%
45 NAVELLIER & ASSOCIATES INC 16,035 1,472,000 0.15%
46 SUSQUEHANNA INTERNATIONAL GROUP, LLP 15,911 1,460,000 0.15%
47 UNITED CAPITAL FINANCIAL ADVISORS, LLC 15,368 1,410,000 0.15%
48 B. Riley Wealth Advisors, Inc. 15,159 1,391,000 0.15%
49 BAROMETER CAPITAL MANAGEMENT INC. 14,500 1,331,000 0.14%
50 NEW ENGLAND SECURITIES CORP /MA/ 13,336 1,224,000 0.13%
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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.