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FIRST TR EXCHANGE TRADED FD
FIRST TR EXCHANGE TRADED FD. Institutional holdings reported to the SEC.

Institutional Holders (2015Q4)
Portfolio Summary: 58 Institutional holders with a total value of $427,138,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 FIRST TRUST ADVISORS LP 3,588,804 168,566,000 39.46%
2 MORGAN STANLEY 2,118,771 99,518,000 23.30%
3 BANK OF AMERICA CORP /DE/ 437,254 20,537,000 4.81%
4 LPL Financial LLC 400,265 18,743,000 4.39%
5 UBS Group AG 365,306 17,158,000 4.02%
6 WELLS FARGO & COMPANY/MN 258,746 12,153,000 2.85%
7 Financial Management Professionals, Inc. 254,261 11,942,000 2.80%
8 Hudock, Inc. 213,369 10,021,000 2.35%
9 Janney Montgomery Scott LLC 171,081 8,036,000 1.88%
10 STIFEL FINANCIAL CORP 78,112 7,267,000 1.70%
11 JPMORGAN CHASE & CO 116,601 5,477,000 1.28%
12 BB&T SECURITIES, LLC 91,467 4,296,000 1.01%
13 Camelot Portfolios, LLC 84,412 3,965,000 0.93%
14 VSR Financial Services, Inc. 83,827 3,937,000 0.92%
15 ROYAL BANK OF CANADA 62,273 2,925,000 0.68%
16 AFAM CAPITAL, INC. 47,643 2,238,000 0.52%
17 IFC Holdings Incorporated/FL 44,911 2,115,000 0.50%
18 SUSQUEHANNA INTERNATIONAL GROUP, LLP 43,878 2,061,000 0.48%
19 AVALON CAPITAL MANAGEMENT 43,886 2,061,000 0.48%
20 NATIONAL PLANNING CORP 43,672 2,006,000 0.47%
21 AVIANCE CAPITAL MANAGEMENT, LLC 42,431 1,993,000 0.47%
22 JANE STREET GROUP, LLC 38,272 1,798,000 0.42%
23 Composition Wealth, LLC 31,030 1,457,000 0.34%
24 AMERICAN INTERNATIONAL GROUP, INC. 29,142 1,369,000 0.32%
25 THRIVENT FINANCIAL FOR LUTHERANS 27,651 1,299,000 0.30%
26 INVESTMENT CENTERS OF AMERICA INC 27,582 1,296,000 0.30%
27 ADVOCACY WEALTH MANAGEMENT SERVICES, LLC 26,649 1,253,000 0.29%
28 Cambridge Investment Research Advisors, Inc. 26,078 1,225,000 0.29%
29 Raymond James Financial Services Advisors, Inc. 21,513 1,010,000 0.24%
30 MSI Financial Services Inc 19,175 901,000 0.21%
31 BANK OF MONTREAL /CAN/ 18,996 892,000 0.21%
32 Commonwealth Equity Services, Inc 16,854 792,000 0.19%
33 Capital Investment Advisors, LLC 15,131 711,000 0.17%
34 Cetera Advisor Networks LLC 14,518 680,000 0.16%
35 ENVESTNET ASSET MANAGEMENT INC 11,705 550,000 0.13%
36 MILLENNIUM MANAGEMENT LLC 11,516 541,000 0.13%
37 BKS ADVISORS, LLC 11,075 520,000 0.12%
38 GUGGENHEIM CAPITAL LLC 10,565 496,000 0.12%
39 IFP ADVISORS, INC 10,187 478,000 0.11%
40 Atria Investments, Inc 9,512 443,000 0.10%
41 MANUFACTURERS LIFE INSURANCE COMPANY, THE 8,300 390,000 0.09%
42 PRIVATE TRUST CO NA 8,000 375,000 0.09%
43 LADENBURG THALMANN FINANCIAL SERVICES INC. 6,917 324,000 0.08%
44 OPTIMUM INVESTMENT ADVISORS 4,825 227,000 0.05%
45 Legacy Private Trust Co. 4,751 223,000 0.05%
46 BENJAMIN F. EDWARDS & COMPANY, INC. 4,519 212,000 0.05%
47 M&T BANK CORP 4,451 209,000 0.05%
48 Transamerica Financial Advisors, LLC 1,680 79,000 0.02%
49 NEXT Financial Group, Inc 1,559 73,000 0.02%
50 Crosspoint Capital Strategies, LLC 1,378 68,000 0.02%
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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.