Dark
Light
System
Security
FIRST TRUST EXCH TRADED FUND 2 UTILITIES ALPH ETF
FIRST TRUST EXCH TRADED FUND 2 UTILITIES ALPH ETF. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 30 Institutional holders with a total value of $94,711,953.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 2,768,143 61,563,000 65.00%
2 MORGAN STANLEY 320,095 7,119,000 7.52%
3 WELLS FARGO & COMPANY/MN 238,154 5,297,000 5.59%
4 UBS AG 209,039 4,649,000 4.91%
5 STIFEL FINANCIAL CORP 136,167 3,028,000 3.20%
6 SignalPoint Asset Management, LLC 108,848 2,421,000 2.56%
7 GOLDMAN SACHS GROUP INC 99,774 2,219,000 2.34%
8 LPL Financial LLC 51,002 1,134,000 1.20%
9 CREDIT SUISSE AG/ 42,400 943,000 1.00%
10 Private Advisor Group, LLC 41,993 934,000 0.99%
11 VSR Financial Services, Inc. 35,349 786,000 0.83%
12 NEW ENGLAND SECURITIES CORP /MA/ 28,520 634,000 0.67%
13 ROYAL BANK OF CANADA 25,463 566,000 0.60%
14 IFC Holdings Incorporated/FL 21,824 477,000 0.50%
15 TOWER TRUST Co 21,395 476,000 0.50%
16 Commonwealth Equity Services, Inc 20,978 467,000 0.49%
17 ENVESTNET ASSET MANAGEMENT INC 18,873 420,000 0.44%
18 Astor Investment Management LLC 14,464 322,000 0.34%
19 RAYMOND JAMES & ASSOCIATES 14,179 315,000 0.33%
20 B. Riley Wealth Advisors, Inc. 13,700 305,000 0.32%
21 Cambridge Investment Research Advisors, Inc. 13,372 297,000 0.31%
22 AMERICAN INTERNATIONAL GROUP, INC. 4,404 97,945 0.10%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,028 90,000 0.10%
24 Regal Investment Advisors LLC 2,890 64,000 0.07%
25 MSI Financial Services Inc 2,140 48,000 0.05%
26 WFG Advisors, LP 750 17,000 0.02%
27 Winslow, Evans & Crocker, Inc. 450 10,008 0.01%
28 Tortoise Investment Management, LLC 248 6,000 0.01%
29 Alexandria Capital, LLC 172 4,000 0.00%
30 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 155 3,000 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.