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FIRST TRUST NASDAQ-100 EQUAL WEIGHTED INDEX FUND
FIRST TRUST NASDAQ-100 EQUAL WEIGHTED INDEX FUND. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 46 Institutional holders with a total value of $276,236,978.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,221,847 48,949,000 17.72%
2 Aft, Forsyth & Sober, LLC 963,590 38,603,000 13.97%
3 RAYMOND JAMES & ASSOCIATES 733,803 29,397,000 10.64%
4 J.P. Morgan Private Wealth Advisors LLC 535,820 21,466,000 7.77%
5 WELLS FARGO & COMPANY/MN 489,204 19,598,000 7.09%
6 UBS AG 447,958 17,946,000 6.50%
7 Stadion Money Management, LLC 361,272 14,473,000 5.24%
8 ROYAL BANK OF CANADA 273,145 10,942,000 3.96%
9 BB&T SECURITIES, LLC 23,672 9,483,000 3.43%
10 STIFEL FINANCIAL CORP 225,915 9,050,000 3.28%
11 BANK OF AMERICA CORP /DE/ 208,626 8,358,000 3.03%
12 LPL Financial LLC 149,327 5,866,000 2.12%
13 GOLDMAN SACHS GROUP INC 144,607 5,793,000 2.10%
14 AMERICAN INTERNATIONAL GROUP, INC. 138,462 5,546,978 2.01%
15 HL FINANCIAL SERVICES LLC 93,726 3,755,000 1.36%
16 Raymond James Financial Services Advisors, Inc. 78,302 3,137,000 1.14%
17 LADENBURG THALMANN FINANCIAL SERVICES INC. 68,450 2,742,000 0.99%
18 Commonwealth Equity Services, Inc 67,997 2,724,000 0.99%
19 DEUTSCHE BANK AG\ 59,479 2,382,000 0.86%
20 SEGALL BRYANT & HAMILL, LLC 46,950 1,881,000 0.68%
21 JPMORGAN CHASE & CO 44,641 1,788,000 0.65%
22 MSI Financial Services Inc 35,787 1,434,000 0.52%
23 First Heartland Consultants, Inc. 33,485 1,341,000 0.49%
24 NTV ASSET MANAGEMENT LLC 25,720 1,030,000 0.37%
25 SUSQUEHANNA INTERNATIONAL GROUP, LLP 24,559 983,000 0.36%
26 BAROMETER CAPITAL MANAGEMENT INC. 24,400 977,000 0.35%
27 AMERIPRISE FINANCIAL INC 18,717 750,000 0.27%
28 SUSQUEHANNA INTERNATIONAL GROUP, LLP 17,700 708,000 0.26% Call
29 WESTPORT RESOURCES MANAGEMENT INC 16,930 678,000 0.25%
30 NATIONAL PLANNING CORP 16,700 665,000 0.24%
31 B. Riley Wealth Management, Inc. 16,242 650,000 0.24%
32 Cetera Advisors LLC 14,550 585,000 0.21%
33 Veritable, L.P. 9,000 361,000 0.13%
34 PRIVATE TRUST CO NA 8,987 360,000 0.13%
35 Cambridge Investment Research Advisors, Inc. 8,318 333,000 0.12%
36 GREAT LAKES ADVISORS, LLC 7,851 315,000 0.11%
37 SUSQUEHANNA INTERNATIONAL GROUP, LLP 7,100 284,000 0.10% Put
38 SII INVESTMENTS INC/WI 6,652 266,000 0.10%
39 CITIGROUP INC 6,198 248,000 0.09%
40 US BANCORP \DE\ 3,200 128,000 0.05%
41 SG Americas Securities, LLC 2,825 113,000 0.04%
42 WFG Advisors, LP 1,774 71,000 0.03%
43 NEXT Financial Group, Inc 1,447 58,000 0.02%
44 SOUTH GEORGIA CAPITAL, LLC 420 17,000 0.01%
45 Creative Planning 14 1,000 0.00%
46 Tower Research Capital LLC (TRC) 22 1,000 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.