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

Institutional Holders (2016Q3)
Portfolio Summary: 115 Institutional holders with a total value of $1,433,055,008.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 FIRST TRUST ADVISORS LP 17,791,024 627,134,000 43.76%
2 MORGAN STANLEY 5,662,784 199,613,000 13.93%
3 WELLS FARGO & COMPANY/MN 4,464,786 157,383,000 10.98%
4 UBS Group AG 1,583,856 55,831,000 3.90%
5 BANK OF AMERICA CORP /DE/ 1,498,945 52,838,000 3.69%
6 RAYMOND JAMES & ASSOCIATES 1,000,863 35,281,000 2.46%
7 Raymond James Financial Services Advisors, Inc. 932,108 32,857,000 2.29%
8 MSI Financial Services Inc 669,857 23,612,000 1.65%
9 NewSquare Capital LLC 488,145 17,207,000 1.20%
10 Astor Investment Management LLC 411,439 14,503,000 1.01%
11 ENVESTNET ASSET MANAGEMENT INC 363,442 12,811,000 0.89%
12 AMERIPRISE FINANCIAL INC 353,071 12,440,000 0.87%
13 ROYAL BANK OF CANADA 345,170 12,168,000 0.85%
14 UNITED CAPITAL FINANCIAL ADVISORS, LLC 329,263 11,607,000 0.81%
15 Janney Montgomery Scott LLC 313,701 11,058,000 0.77%
16 STIFEL FINANCIAL CORP 289,742 10,204,000 0.71%
17 BAIRD FINANCIAL GROUP, INC. 232,912 8,210,000 0.57%
18 Transamerica Financial Advisors, LLC 221,921 7,823,000 0.55%
19 SignalPoint Asset Management, LLC 214,399 7,558,000 0.53%
20 LPL Financial LLC 209,790 7,385,000 0.52%
21 CWM, LLC 207,974 7,331,000 0.51%
22 SUNTRUST BANKS INC 183,098 6,454,000 0.45%
23 CREDIT SUISSE AG/ 170,346 6,005,000 0.42%
24 HL FINANCIAL SERVICES LLC 161,221 5,683,000 0.40%
25 AVIANCE CAPITAL MANAGEMENT, LLC 160,473 5,656,000 0.39%
26 BENJAMIN F. EDWARDS & COMPANY, INC. 134,986 4,758,000 0.33%
27 NAVELLIER & ASSOCIATES INC 120,638 4,252,000 0.30%
28 ADVISOR GROUP, INC. 114,907 4,051,000 0.28%
29 NewEdge Advisors, LLC 107,432 3,787,000 0.26%
30 GOLDMAN SACHS GROUP INC 106,659 3,760,000 0.26%
31 LifePlan Financial Group, Inc 88,714 3,127,000 0.22%
32 BB&T SECURITIES, LLC 88,547 3,121,000 0.22%
33 CITADEL ADVISORS LLC 86,874 3,062,000 0.21%
34 HighTower Advisors, LLC 73,624 2,601,000 0.18%
35 Regal Investment Advisors LLC 69,715 2,457,000 0.17%
36 JANE STREET GROUP, LLC 67,857 2,392,000 0.17%
37 LADENBURG THALMANN FINANCIAL SERVICES INC. 62,212 2,216,000 0.15%
38 Tower Research Capital LLC (TRC) 59,739 2,106,000 0.15%
39 Cambridge Investment Research Advisors, Inc. 58,495 2,062,000 0.14%
40 D.A. DAVIDSON & CO. 56,340 1,985,000 0.14%
41 CITIGROUP INC 55,237 1,947,000 0.14%
42 JPMORGAN CHASE & CO 51,245 1,806,000 0.13%
43 SUSQUEHANNA INTERNATIONAL GROUP, LLP 48,198 1,699,000 0.12%
44 WOLVERINE TRADING LP /BD 47,375 1,653,000 0.12%
45 ATWOOD & PALMER INC 44,642 1,574,000 0.11%
46 OPPENHEIMER & CO INC 38,836 1,369,000 0.10%
47 PNC FINANCIAL SERVICES GROUP, INC. 37,854 1,334,000 0.09%
48 STEPHENS INC /AR/ 34,597 1,220,000 0.09%
49 Commonwealth Equity Services, Inc 32,177 1,134,000 0.08%
50 Sigma Planning Corp 31,159 1,098,000 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.