Dark
Light
System
Security
FIRST TR EXCHANGE TRADED ALP
FIRST TR EXCHANGE TRADED ALP. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 34 Institutional holders with a total value of $52,453,976.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 480,233 14,887,000 28.38%
2 MORGAN STANLEY 317,009 9,827,000 18.73%
3 STIFEL FINANCIAL CORP 140,450 4,355,000 8.30%
4 Transamerica Financial Advisors, LLC 140,226 4,347,000 8.29%
5 LPL Financial LLC 117,658 3,585,000 6.83%
6 BSC PRIVATE WEALTH MANAGEMENT, LLC 76,754 2,339,000 4.46%
7 BENJAMIN F. EDWARDS & COMPANY, INC. 47,476 1,472,000 2.81%
8 BANK OF AMERICA CORP /DE/ 45,549 1,412,000 2.69%
9 RAYMOND JAMES & ASSOCIATES 44,840 1,390,000 2.65%
10 SUSQUEHANNA INTERNATIONAL GROUP, LLP 43,490 1,345,000 2.56%
11 Raymond James Financial Services Advisors, Inc. 32,251 1,000,000 1.91%
12 UBS Group AG 32,210 999,000 1.90%
13 FIRST TRUST ADVISORS LP 31,892 989,000 1.89%
14 ROYAL BANK OF CANADA 20,199 626,000 1.19%
15 HighTower Advisors, LLC 19,569 609,000 1.16%
16 Commonwealth Equity Services, Inc 14,743 457,000 0.87%
17 GOLDMAN SACHS GROUP INC 11,692 362,000 0.69%
18 MSI Financial Services Inc 11,130 345,000 0.66%
19 CREDIT SUISSE AG/ 11,049 343,000 0.65%
20 CORNERSTONE WEALTH MANAGEMENT, LLC 10,120 308,000 0.59%
21 OLD NATIONAL BANCORP /IN/ 9,495 294,000 0.56%
22 Cambridge Investment Research Advisors, Inc. 9,123 283,000 0.54%
23 Janney Montgomery Scott LLC 8,275 257,000 0.49%
24 IFP ADVISORS, INC 6,944 215,000 0.41%
25 WFG Advisors, LP 5,484 170,000 0.32%
26 D.A. DAVIDSON & CO. 2,196 68,000 0.13%
27 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,910 58,000 0.11%
28 ADVISOR GROUP, INC. 1,178 37,000 0.07%
29 PNC FINANCIAL SERVICES GROUP, INC. 1,075 33,000 0.06%
30 MANUFACTURERS LIFE INSURANCE COMPANY, THE 791 25,000 0.05%
31 Winslow, Evans & Crocker, Inc. 226 6,976 0.01%
32 CITIGROUP INC 170 5,000 0.01%
33 GENEOS WEALTH MANAGEMENT INC. 172 5,000 0.01%
34 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.