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FIRST TRUST EXCHANGE-TRADED FU NAS CLNEDG GREEN ETF
FIRST TRUST EXCHANGE-TRADED FU NAS CLNEDG GREEN ETF. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 37 Institutional holders with a total value of $106,528,162.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,465,113 29,756,000 27.93%
2 WELLS FARGO & COMPANY/MN 1,000,539 20,321,000 19.08%
3 BANK OF AMERICA CORP /DE/ 835,097 16,961,000 15.92%
4 UBS AG 453,301 9,207,000 8.64%
5 BB&T SECURITIES, LLC 31,967 6,492,000 6.09%
6 NIEMANN CAPITAL MANAGEMENT INC 197,726 4,016,000 3.77%
7 ROYAL BANK OF CANADA 196,303 3,987,000 3.74%
8 RAYMOND JAMES & ASSOCIATES 136,501 2,772,000 2.60%
9 WESPAC Advisors, LLC 102,660 2,085,000 1.96%
10 Janney Montgomery Scott LLC 77,757 1,579,245 1.48%
11 CREDIT SUISSE AG/ 61,003 1,239,000 1.16%
12 DEUTSCHE BANK AG\ 52,189 1,059,000 0.99%
13 JANE STREET GROUP, LLC 46,051 935,000 0.88%
14 LPL Financial LLC 42,457 862,000 0.81%
15 Robert W. Baird & Co. Inc 38,571 783,000 0.74%
16 Wellington Shields Capital Management, LLC 31,850 647,000 0.61%
17 Cambridge Investment Research Advisors, Inc. 22,705 461,000 0.43%
18 JPMORGAN CHASE & CO 19,526 397,000 0.37%
19 YHB Investment Advisors, Inc. 19,345 393,000 0.37%
20 OPPENHEIMER & CO INC 17,010 345,000 0.32%
21 STIFEL FINANCIAL CORP 16,025 325,000 0.31%
22 AMERIPRISE FINANCIAL INC 15,783 321,000 0.30%
23 First Allied Advisory Services, Inc. 14,861 300,000 0.28%
24 MSI Financial Services Inc 12,535 255,000 0.24%
25 Placemark Investments, Inc. 11,948 243,000 0.23%
26 Commonwealth Equity Services, Inc 11,984 243,000 0.23%
27 Blume Capital Management, Inc. 4,900 100,000 0.09%
28 Advisors Preferred, LLC 4,500 91,395 0.09%
29 AMERICAN INTERNATIONAL GROUP, INC. 4,457 90,522 0.08%
30 ENVESTNET ASSET MANAGEMENT INC 3,501 71,000 0.07%
31 Pinnacle Summer Investments, Inc. 3,702 69,000 0.06%
32 Apriem Advisors 2,200 45,000 0.04%
33 CITIGROUP INC 1,672 34,000 0.03%
34 Community Financial Services Group, LLC 1,056 21,000 0.02%
35 Bartlett & Co. LLC 600 12,000 0.01%
36 NEW ENGLAND SECURITIES CORP /MA/ 298 6,000 0.01%
37 Partnervest Advisory Services LLC 200 4,000 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.