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FIRST TRUST SENIOR LOAN FUND
FIRST TRUST SENIOR LOAN FUND. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 46 Institutional holders with a total value of $92,751,790.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 507,085 24,766,000 26.70%
2 Beaumont Financial Partners, LLC 193,410 9,446,000 10.18%
3 BANK OF AMERICA CORP /DE/ 162,724 7,948,000 8.57%
4 STIFEL FINANCIAL CORP 113,761 5,556,000 5.99%
5 UBS AG 103,461 5,053,000 5.45%
6 Janney Montgomery Scott LLC 88,539 4,324,245 4.66%
7 LPL Financial LLC 87,664 4,274,000 4.61%
8 ALESCO ADVISORS LLC 78,670 3,842,000 4.14%
9 Strategic Capital Alternatives LLC 74,490 3,638,000 3.92%
10 FIRST TRUST ADVISORS LP 68,227 3,332,000 3.59%
11 ROYAL BANK OF CANADA 68,091 3,326,000 3.59%
12 Bluefin Trading, LLC 50,132 2,448,000 2.64%
13 Argentus Capital Management, LLC 40,892 1,997,000 2.15%
14 SNS Financial Group, LLC 38,437 1,877,000 2.02%
15 Winslow, Evans & Crocker, Inc. 34,244 1,672,400 1.80%
16 IFC Holdings Incorporated/FL 29,828 1,455,000 1.57%
17 First Allied Advisory Services, Inc. 25,491 1,246,000 1.34%
18 VSR Financial Services, Inc. 20,132 983,000 1.06%
19 OPPENHEIMER & CO INC 14,986 732,000 0.79%
20 Placemark Investments, Inc. 14,575 712,000 0.77%
21 Cambridge Investment Research Advisors, Inc. 11,695 571,000 0.62%
22 Virtu KCG Holdings LLC 10,038 490,000 0.53%
23 Legacy Private Trust Co. 9,457 462,000 0.50%
24 JANE STREET GROUP, LLC 8,659 423,000 0.46%
25 Commonwealth Equity Services, Inc 7,237 353,000 0.38%
26 HL FINANCIAL SERVICES LLC 6,650 325,000 0.35%
27 MSI Financial Services Inc 4,340 212,000 0.23%
28 PRIVATE TRUST CO NA 4,000 195,000 0.21%
29 BENJAMIN F. EDWARDS & COMPANY, INC. 3,781 185,000 0.20%
30 WELLS FARGO & COMPANY/MN 3,081 150,000 0.16%
31 AMERIPRISE FINANCIAL INC 3,037 148,000 0.16%
32 AMERICAN INTERNATIONAL GROUP, INC. 2,910 142,145 0.15%
33 Regal Investment Advisors LLC 2,101 103,000 0.11%
34 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,947 95,000 0.10%
35 DEUTSCHE BANK AG\ 1,249 61,000 0.07%
36 Madden Advisory Services, Inc. 1,010 49,000 0.05%
37 Smithfield Trust Co 700 34,000 0.04%
38 NEW ENGLAND SECURITIES CORP /MA/ 690 34,000 0.04%
39 WFG Advisors, LP 613 30,000 0.03%
40 D.A. DAVIDSON & CO. 450 21,000 0.02%
41 Private Advisor Group, LLC 400 20,000 0.02%
42 US BANCORP \DE\ 163 8,000 0.01%
43 NEXT Financial Group, Inc 100 5,000 0.01%
44 Ground Swell Capital, LLC 75 4,000 0.00%
45 Tower Research Capital LLC (TRC) 37 2,000 0.00%
46 CITIGROUP INC 51 2,000 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.