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

Institutional Holders (2015Q4)
Portfolio Summary: 30 Institutional holders with a total value of $65,747,050.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 496,211 15,135,000 23.02%
2 Transamerica Financial Advisors, LLC 431,369 13,157,000 20.01%
3 LPL Financial LLC 435,992 12,940,000 19.68%
4 ROYAL BANK OF CANADA 263,418 8,034,000 12.22%
5 UBS Group AG 98,941 3,018,000 4.59%
6 VSR Financial Services, Inc. 60,085 1,833,000 2.79%
7 BANK OF AMERICA CORP /DE/ 58,301 1,778,000 2.70%
8 WELLS FARGO & COMPANY/MN 56,551 1,725,000 2.62%
9 RAYMOND JAMES & ASSOCIATES 54,776 1,671,000 2.54%
10 Cambridge Investment Research Advisors, Inc. 41,798 1,275,000 1.94%
11 BENJAMIN F. EDWARDS & COMPANY, INC. 35,764 1,091,000 1.66%
12 STIFEL FINANCIAL CORP 34,986 1,067,000 1.62%
13 FIRST TRUST ADVISORS LP 18,576 567,000 0.86%
14 Sigma Planning Corp 14,766 450,000 0.68%
15 BECK CAPITAL MANAGEMENT, LLC 9,270 283,000 0.43%
16 IFP ADVISORS, INC 8,751 267,000 0.41%
17 CONFLUENCE INVESTMENT MANAGEMENT LLC 8,766 267,000 0.41%
18 Jaffetilchin Investment Partners, LLC 7,802 238,000 0.36%
19 First Heartland Consultants, Inc. 7,230 221,000 0.34%
20 MSI Financial Services Inc 7,104 217,000 0.33%
21 WFG Advisors, LP 6,191 189,000 0.29%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 3,580 109,000 0.17%
23 D.A. DAVIDSON & CO. 2,176 66,000 0.10%
24 PNC FINANCIAL SERVICES GROUP, INC. 1,736 53,000 0.08%
25 ENVESTNET ASSET MANAGEMENT INC 1,487 45,000 0.07%
26 AMERICAN INTERNATIONAL GROUP, INC. 976 30,000 0.05%
27 WESTPORT RESOURCES MANAGEMENT INC 300 9,000 0.01%
28 CITIGROUP INC 311 9,000 0.01%
29 Winslow, Evans & Crocker, Inc. 100 3,050 0.00%
30 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.