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 (2015Q3)
Portfolio Summary: 44 Institutional holders with a total value of $95,098,527.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 775,945 17,560,000 18.47%
2 Brookstone Capital Management 711,681 16,105,000 16.94%
3 UBS Group AG 676,157 15,301,000 16.09%
4 WELLS FARGO & COMPANY/MN 434,111 9,824,000 10.33%
5 GOLDMAN SACHS GROUP INC 290,713 6,579,000 6.92%
6 FINANCIAL ENHANCEMENT GROUP LLC 247,279 5,596,000 5.88%
7 SignalPoint Asset Management, LLC 215,605 4,879,000 5.13%
8 CREDIT SUISSE AG/ 118,630 2,685,000 2.82%
9 RISK PARADIGM GROUP, LLC 99,957 2,262,027 2.38%
10 BANK OF AMERICA CORP /DE/ 93,885 2,124,000 2.23%
11 Virtu Financial LLC 62,536 1,415,000 1.49%
12 STIFEL FINANCIAL CORP 44,586 1,009,000 1.06%
13 MILLENNIUM MANAGEMENT LLC 40,701 921,000 0.97%
14 LPL Financial LLC 37,486 865,000 0.91%
15 ENVESTNET ASSET MANAGEMENT INC 36,853 834,000 0.88%
16 RAYMOND JAMES & ASSOCIATES 36,797 833,000 0.88%
17 SUSQUEHANNA INTERNATIONAL GROUP, LLP 30,978 701,000 0.74%
18 Private Advisor Group, LLC 27,184 615,000 0.65%
19 HighTower Advisors, LLC 21,877 495,000 0.52%
20 HRT FINANCIAL LP 20,689 468,000 0.49%
21 Cambridge Investment Research Advisors, Inc. 19,836 449,000 0.47%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 17,960 407,000 0.43%
23 Commonwealth Equity Services, Inc 17,513 396,000 0.42%
24 ROYAL BANK OF CANADA 16,643 376,000 0.40%
25 Virtu KCG Holdings LLC 14,823 335,000 0.35%
26 B. Riley Wealth Advisors, Inc. 14,386 326,000 0.34%
27 Walleye Trading LLC 10,833 245,000 0.26%
28 OLD NATIONAL BANCORP /IN/ 10,144 230,000 0.24%
29 Freedom Investment Management, Inc. 9,261 227,000 0.24%
30 Cetera Advisors LLC 9,931 226,000 0.24%
31 AMERICAN INTERNATIONAL GROUP, INC. 9,800 222,000 0.23%
32 CITIGROUP INC 7,436 168,000 0.18%
33 MSI Financial Services Inc 4,143 94,000 0.10%
34 PNC FINANCIAL SERVICES GROUP, INC. 4,000 90,000 0.09%
35 Tower Research Capital LLC (TRC) 3,356 76,000 0.08%
36 Madden Advisory Services, Inc. 2,635 59,000 0.06%
37 Advisors Preferred, LLC 1,455 33,000 0.03%
38 Winslow, Evans & Crocker, Inc. 950 21,500 0.02%
39 Johnson Financial Group, Inc. 790 18,000 0.02%
40 Burt Wealth Advisors 711 16,000 0.02%
41 Tortoise Investment Management, LLC 248 6,000 0.01%
42 MANUFACTURERS LIFE INSURANCE COMPANY, THE 233 5,000 0.01%
43 THRIVENT FINANCIAL FOR LUTHERANS 95 2,000 0.00%
44 Parallax Volatility Advisers, L.P. 1 0 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.