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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 (2014Q3)
Portfolio Summary: 35 Institutional holders with a total value of $45,261,939.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 472,740 9,024,000 19.94%
2 GOLDMAN SACHS GROUP INC 382,533 7,303,000 16.13%
3 WELLS FARGO & COMPANY/MN 344,549 6,578,000 14.53%
4 BANK OF AMERICA CORP /DE/ 282,763 5,398,000 11.93%
5 UBS AG 250,665 4,786,000 10.57%
6 RAYMOND JAMES & ASSOCIATES 114,505 2,186,000 4.83%
7 DEUTSCHE BANK AG\ 81,106 1,548,000 3.42%
8 ROYAL BANK OF CANADA 58,940 1,125,000 2.49%
9 STIFEL FINANCIAL CORP 39,827 760,000 1.68%
10 CREDIT SUISSE AG/ 38,339 732,000 1.62%
11 LPL Financial LLC 38,413 715,000 1.58%
12 Curbstone Financial Management Corp 33,800 645,000 1.43%
13 YHB Investment Advisors, Inc. 32,385 618,000 1.37%
14 SUSQUEHANNA INTERNATIONAL GROUP, LLP 31,211 596,000 1.32%
15 Wellington Shields Capital Management, LLC 29,950 572,000 1.26%
16 SG Americas Securities, LLC 21,139 404,000 0.89%
17 SPINNAKER TRUST 18,551 354,000 0.78%
18 NIEMANN CAPITAL MANAGEMENT INC 14,374 274,000 0.61%
19 Cambridge Investment Research Advisors, Inc. 12,868 246,000 0.54%
20 LADENBURG THALMANN FINANCIAL SERVICES INC. 11,816 226,000 0.50%
21 First Allied Advisory Services, Inc. 10,719 213,000 0.47%
22 AMERIPRISE FINANCIAL INC 7,118 209,000 0.46%
23 ENVESTNET ASSET MANAGEMENT INC 10,192 195,000 0.43%
24 AMERICAN INTERNATIONAL GROUP, INC. 7,370 140,693 0.31%
25 Blume Capital Management, Inc. 4,900 94,000 0.21%
26 Pinnacle Summer Investments, Inc. 3,702 71,000 0.16%
27 Advisors Preferred, LLC 3,259 62,246 0.14%
28 Apriem Advisors 2,200 42,000 0.09%
29 MSI Financial Services Inc 1,830 35,000 0.08%
30 CITIGROUP INC 1,683 32,000 0.07%
31 Private Advisor Group, LLC 1,081 21,000 0.05%
32 Community Financial Services Group, LLC 1,056 20,000 0.04%
33 Regal Investment Advisors LLC 800 15,000 0.03%
34 Institute for Wealth Management, LLC. 572 11,000 0.02%
35 Bartlett & Co. LLC 600 11,000 0.02%

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.