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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: 95 Institutional holders with a total value of $1,262,250,098.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 FIRST TRUST ADVISORS LP 42,551,081 656,138,000 51.98%
2 MORGAN STANLEY 10,778,758 166,209,000 13.17%
3 WELLS FARGO & COMPANY/MN 7,616,050 117,439,000 9.30%
4 UBS Group AG 2,740,304 42,255,000 3.35%
5 BANK OF AMERICA CORP /DE/ 2,645,514 40,793,000 3.23%
6 RAYMOND JAMES & ASSOCIATES 2,035,470 31,387,000 2.49%
7 MSI Financial Services Inc 1,582,519 24,403,000 1.93%
8 Raymond James Financial Services Advisors, Inc. 1,462,964 22,559,000 1.79%
9 NewSquare Capital LLC 1,162,694 17,929,000 1.42%
10 LPL Financial LLC 953,087 14,506,000 1.15%
11 ROYAL BANK OF CANADA 601,423 9,273,000 0.73%
12 Transamerica Financial Advisors, LLC 515,300 7,946,000 0.63%
13 BAIRD FINANCIAL GROUP, INC. 503,158 7,759,000 0.61%
14 STIFEL FINANCIAL CORP 498,609 7,696,000 0.61%
15 CWM, LLC 498,018 7,679,000 0.61%
16 AMERIPRISE FINANCIAL INC 399,804 6,165,000 0.49%
17 Janney Montgomery Scott LLC 364,184 5,616,000 0.44%
18 SignalPoint Asset Management, LLC 312,731 4,822,000 0.38%
19 WOLVERINE TRADING LP /BD 311,951 4,745,000 0.38%
20 BENJAMIN F. EDWARDS & COMPANY, INC. 298,819 4,608,000 0.37%
21 ENVESTNET ASSET MANAGEMENT INC 258,378 3,984,000 0.32%
22 NewEdge Advisors, LLC 236,084 3,640,000 0.29%
23 ADVISOR GROUP, INC. 216,319 3,335,000 0.26%
24 HL FINANCIAL SERVICES LLC 211,188 3,257,000 0.26%
25 CHOREO, LLC 208,700 3,218,000 0.25%
26 BB&T SECURITIES, LLC 204,391 3,151,000 0.25%
27 Beaumont Financial Partners, LLC 191,618 2,955,000 0.23%
28 SUNTRUST BANKS INC 164,649 2,537,000 0.20%
29 LADENBURG THALMANN FINANCIAL SERVICES INC. 141,302 2,113,000 0.17%
30 UNITED CAPITAL FINANCIAL ADVISORS, LLC 119,165 1,838,000 0.15%
31 Virtu Financial LLC 111,888 1,725,000 0.14%
32 ATWOOD & PALMER INC 103,930 1,603,000 0.13%
33 JPMORGAN CHASE & CO 92,816 1,431,000 0.11%
34 IFC Holdings Incorporated/FL 89,441 1,381,000 0.11%
35 Regal Investment Advisors LLC 87,970 1,357,000 0.11%
36 PNC FINANCIAL SERVICES GROUP, INC. 83,194 1,282,000 0.10%
37 JANE STREET GROUP, LLC 78,749 1,214,000 0.10%
38 SPC Financial, Inc. 73,365 1,131,000 0.09%
39 Private Advisor Group, LLC 68,582 1,044,000 0.08%
40 MINICHMACGREGOR WEALTH MANAGEMENT, LLC 64,593 996,000 0.08%
41 Sigma Planning Corp 62,998 971,000 0.08%
42 HOCHMAN COLE INVESTMENT ADVISORS, INC. 60,535 933,000 0.07%
43 OPPENHEIMER & CO INC 55,325 853,000 0.07%
44 Commonwealth Equity Services, Inc 54,136 835,000 0.07%
45 SG Americas Securities, LLC 52,328 807,000 0.06%
46 Tower Research Capital LLC (TRC) 49,707 766,000 0.06%
47 FOUNDERS FINANCIAL SECURITIES LLC 45,989 709,000 0.06%
48 Horizon Investments, LLC 45,989 709,000 0.06%
49 WAYNE HUMMER INVESTMENTS L.L.C. 45,493 702,000 0.06%
50 Prospera Financial Services Inc 44,545 687,000 0.05%
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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.