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

Institutional Holders (2015Q3)
Portfolio Summary: 126 Institutional holders with a total value of $2,042,493,563.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 FIRST TRUST ADVISORS LP 9,710,591 983,877,000 48.17%
2 MORGAN STANLEY 2,596,656 263,093,000 12.88%
3 WELLS FARGO & COMPANY/MN 1,860,777 188,534,000 9.23%
4 UBS Group AG 990,230 100,330,000 4.91%
5 BANK OF AMERICA CORP /DE/ 794,696 80,519,000 3.94%
6 RAYMOND JAMES & ASSOCIATES 491,965 49,848,000 2.44%
7 LPL Financial LLC 321,770 33,596,000 1.64%
8 Raymond James Financial Services Advisors, Inc. 296,257 30,018,000 1.47%
9 Transamerica Financial Advisors, LLC 209,269 21,204,000 1.04%
10 GOLDMAN SACHS GROUP INC 205,917 20,864,000 1.02%
11 ROYAL BANK OF CANADA 192,355 19,489,000 0.95%
12 MSI Financial Services Inc 188,042 19,052,000 0.93%
13 NewSquare Capital LLC 124,873 12,652,000 0.62%
14 STIFEL FINANCIAL CORP 120,916 12,252,000 0.60%
15 AMERIPRISE FINANCIAL INC 117,657 11,936,000 0.58%
16 Janney Montgomery Scott LLC 113,013 11,450,000 0.56%
17 RiverFront Investment Group, LLC 109,386 11,082,000 0.54%
18 CITADEL ADVISORS LLC 92,796 9,402,000 0.46%
19 CREDIT SUISSE AG/ 86,104 8,724,000 0.43%
20 Tower Research Capital LLC (TRC) 84,667 8,578,000 0.42%
21 J&P(CHINA)CAPITAL MANAGEMENT CO.,LTD 78,537 7,957,000 0.39%
22 McKinley Carter Wealth Services, Inc. 69,195 7,011,000 0.34%
23 SUSQUEHANNA INTERNATIONAL GROUP, LLP 63,900 6,474,000 0.32% Call
24 JPMORGAN CHASE & CO 61,343 6,214,000 0.30%
25 Commonwealth Equity Services, Inc 58,895 5,967,000 0.29%
26 Hartford Financial Management Inc. 58,704 5,947,000 0.29%
27 SUNTRUST BANKS INC 45,849 4,644,000 0.23%
28 SUSQUEHANNA INTERNATIONAL GROUP, LLP 45,471 4,607,000 0.23%
29 AMERICAN INTERNATIONAL GROUP, INC. 44,797 4,538,000 0.22%
30 LifePlan Financial Group, Inc 43,063 4,363,000 0.21%
31 BENJAMIN F. EDWARDS & COMPANY, INC. 42,744 4,331,000 0.21%
32 BAIRD FINANCIAL GROUP, INC. 39,036 3,955,000 0.19%
33 ENVESTNET ASSET MANAGEMENT INC 38,933 3,945,000 0.19%
34 HL FINANCIAL SERVICES LLC 36,667 3,715,000 0.18%
35 BB&T SECURITIES, LLC 34,327 3,477,000 0.17%
36 UNITED CAPITAL FINANCIAL ADVISORS, LLC 31,928 3,235,000 0.16%
37 BECK CAPITAL MANAGEMENT, LLC 32,045 3,184,000 0.16%
38 CITIGROUP INC 25,798 2,614,000 0.13%
39 First Heartland Consultants, Inc. 25,158 2,549,000 0.12%
40 OPPENHEIMER & CO INC 23,945 2,426,000 0.12%
41 Hudock, Inc. 23,283 2,359,000 0.12%
42 Ancora Advisors LLC 23,012 2,332,000 0.11%
43 SUSQUEHANNA INTERNATIONAL GROUP, LLP 21,900 2,219,000 0.11% Put
44 Valentine Capital Asset Management, Inc. 21,355 2,164,000 0.11%
45 IFC Holdings Incorporated/FL 20,328 2,130,000 0.10%
46 Virtu KCG Holdings LLC 20,464 2,073,000 0.10%
47 Virtu Financial LLC 18,743 1,899,000 0.09%
48 LADENBURG THALMANN FINANCIAL SERVICES INC. 17,626 1,786,000 0.09%
49 B. Riley Wealth Advisors, Inc. 17,552 1,779,000 0.09%
50 First Allied Advisory Services, Inc. 16,973 1,720,000 0.08%
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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.