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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 (2014Q4)
Portfolio Summary: 56 Institutional holders with a total value of $374,770,063.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,444,083 61,850,000 16.50%
2 RAYMOND JAMES & ASSOCIATES 954,540 40,883,000 10.91%
3 Aft, Forsyth & Sober, LLC 888,035 38,035,000 10.15%
4 BB&T SECURITIES, LLC 88,660 37,973,000 10.13%
5 WELLS FARGO & COMPANY/MN 782,138 33,499,000 8.94%
6 J.P. Morgan Private Wealth Advisors LLC 536,226 22,967,000 6.13%
7 UBS Group AG 503,443 21,562,000 5.75%
8 Stadion Money Management, LLC 453,975 19,444,000 5.19%
9 ROYAL BANK OF CANADA 274,298 11,748,000 3.13%
10 BANK OF AMERICA CORP /DE/ 222,171 9,516,000 2.54%
11 STIFEL FINANCIAL CORP 211,276 9,049,000 2.41%
12 LPL Financial LLC 200,122 8,571,000 2.29%
13 GOLDMAN SACHS GROUP INC 171,205 7,333,000 1.96%
14 AMERICAN INTERNATIONAL GROUP, INC. 119,071 5,099,816 1.36%
15 Raymond James Financial Services Advisors, Inc. 106,330 4,554,000 1.22%
16 LADENBURG THALMANN FINANCIAL SERVICES INC. 92,519 3,962,000 1.06%
17 Commonwealth Equity Services, Inc 87,594 3,752,000 1.00%
18 DAVENPORT & Co LLC 87,585 3,751,274 1.00%
19 HL FINANCIAL SERVICES LLC 79,955 3,424,000 0.91%
20 VSR Financial Services, Inc. 51,827 2,220,000 0.59%
21 JPMORGAN CHASE & CO 49,016 2,099,000 0.56%
22 SEGALL BRYANT & HAMILL, LLC 46,550 1,994,000 0.53%
23 SUSQUEHANNA INTERNATIONAL GROUP, LLP 42,483 1,818,000 0.49%
24 First Heartland Consultants, Inc. 39,821 1,706,000 0.46%
25 New England Private Wealth Advisors LLC 37,233 1,593,000 0.43%
26 BAROMETER CAPITAL MANAGEMENT INC. 34,000 1,455,000 0.39%
27 DEUTSCHE BANK AG\ 33,198 1,421,000 0.38%
28 STEPHENS INC /AR/ 29,486 1,263,000 0.34%
29 CREDIT SUISSE AG/ 26,873 1,151,000 0.31%
30 NTV ASSET MANAGEMENT LLC 26,745 1,145,000 0.31%
31 JANE STREET GROUP, LLC 24,045 1,030,000 0.27%
32 Cetera Advisors LLC 23,714 1,015,000 0.27%
33 AMERIPRISE FINANCIAL INC 23,151 992,000 0.26%
34 WESTPORT RESOURCES MANAGEMENT INC 16,930 725,000 0.19%
35 B. Riley Wealth Management, Inc. 16,722 716,000 0.19%
36 NATIONAL PLANNING CORP 17,000 712,640 0.19%
37 MSI Financial Services Inc 16,446 704,000 0.19%
38 GREAT LAKES ADVISORS, LLC 12,276 526,000 0.14%
39 Tower Research Capital LLC (TRC) 12,208 522,000 0.14%
40 Cambridge Investment Research Advisors, Inc. 11,684 500,000 0.13%
41 Veritable, L.P. 9,000 385,000 0.10%
42 PRIVATE TRUST CO NA 8,987 384,000 0.10%
43 SII INVESTMENTS INC/WI 6,763 292,000 0.08%
44 CITIGROUP INC 5,998 257,000 0.07%
45 SUSQUEHANNA INTERNATIONAL GROUP, LLP 5,300 227,000 0.06% Call
46 ALPS ADVISORS INC 5,161 221,000 0.06%
47 Janney Montgomery Scott LLC 4,982 213,380 0.06%
48 US BANCORP \DE\ 3,200 137,000 0.04%
49 WEALTHFRONT CORP 2,810 120,000 0.03%
50 WFG Advisors, LP 1,973 85,000 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.