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 (2014Q3)
Portfolio Summary: 43 Institutional holders with a total value of $139,775,239.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 3,808,145 86,178,000 61.65%
2 GOLDMAN SACHS GROUP INC 418,033 9,460,000 6.77%
3 MORGAN STANLEY 410,561 9,291,000 6.65%
4 Astor Investment Management LLC 243,681 5,515,000 3.95%
5 UBS AG 217,331 4,918,000 3.52%
6 WELLS FARGO & COMPANY/MN 201,990 4,571,000 3.27%
7 CREDIT SUISSE AG/ 182,299 4,125,000 2.95%
8 SignalPoint Asset Management, LLC 108,156 2,448,000 1.75%
9 SUSQUEHANNA INTERNATIONAL GROUP, LLP 92,112 2,085,000 1.49%
10 LPL Financial LLC 76,714 1,728,000 1.24%
11 JANE STREET GROUP, LLC 62,930 1,424,000 1.02%
12 ROYAL BANK OF CANADA 36,416 824,000 0.59%
13 Virtu Financial LLC 32,429 734,000 0.53%
14 Prospera Financial Services Inc 25,096 568,000 0.41%
15 IFC Holdings Incorporated/FL 22,324 506,000 0.36%
16 HighTower Advisors, LLC 21,767 493,000 0.35%
17 Commonwealth Equity Services, Inc 20,672 468,000 0.33%
18 OLD NATIONAL BANCORP /IN/ 19,776 448,000 0.32%
19 Cambridge Investment Research Advisors, Inc. 19,406 439,000 0.31%
20 Virtu KCG Holdings LLC 17,127 388,000 0.28%
21 ENVESTNET ASSET MANAGEMENT INC 16,498 373,000 0.27%
22 Walleye Trading LLC 15,599 353,000 0.25%
23 B. Riley Wealth Advisors, Inc. 14,500 328,000 0.23%
24 AMERICAN INTERNATIONAL GROUP, INC. 12,494 282,739 0.20%
25 SG Americas Securities, LLC 11,867 269,000 0.19%
26 RAYMOND JAMES & ASSOCIATES 10,923 247,000 0.18%
27 First Heartland Consultants, Inc. 10,880 246,000 0.18%
28 NAVELLIER & ASSOCIATES INC 9,328 211,000 0.15%
29 STEPHENS INC /AR/ 9,228 209,000 0.15%
30 LADENBURG THALMANN FINANCIAL SERVICES INC. 8,676 196,000 0.14%
31 Creative Planning 5,244 119,000 0.09%
32 Private Advisor Group, LLC 3,393 77,000 0.06%
33 Madden Advisory Services, Inc. 2,635 60,000 0.04%
34 MSI Financial Services Inc 1,858 42,000 0.03%
35 NEW ENGLAND SECURITIES CORP /MA/ 1,347 30,000 0.02%
36 NEXT Financial Group, Inc 1,100 25,000 0.02%
37 Winslow, Evans & Crocker, Inc. 950 21,500 0.02%
38 Bartlett & Co. LLC 900 20,000 0.01%
39 WFG Advisors, LP 750 17,000 0.01%
40 B. Riley Wealth Management, Inc. 715 16,000 0.01%
41 Regal Investment Advisors LLC 650 15,000 0.01%
42 Tortoise Investment Management, LLC 248 6,000 0.00%
43 CITIGROUP INC 41 1,000 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.