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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 (2015Q1)
Portfolio Summary: 61 Institutional holders with a total value of $373,347,024.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,739,159 76,175,000 20.40%
2 WELLS FARGO & COMPANY/MN 996,291 43,638,000 11.69%
3 RAYMOND JAMES & ASSOCIATES 956,646 41,901,000 11.22%
4 Aft, Forsyth & Sober, LLC 837,810 36,696,000 9.83%
5 UBS Group AG 639,616 28,015,000 7.50%
6 J.P. Morgan Private Wealth Advisors LLC 524,876 22,990,000 6.16%
7 ROYAL BANK OF CANADA 323,897 14,186,000 3.80%
8 BANK OF AMERICA CORP /DE/ 274,508 12,023,000 3.22%
9 STIFEL FINANCIAL CORP 271,047 11,872,000 3.18%
10 Stadion Money Management, LLC 220,940 9,677,000 2.59%
11 LPL Financial LLC 221,140 9,624,000 2.58%
12 GOLDMAN SACHS GROUP INC 171,209 7,499,000 2.01%
13 AMERICAN INTERNATIONAL GROUP, INC. 129,846 5,687,270 1.52%
14 New England Private Wealth Advisors LLC 128,889 5,626,000 1.51%
15 Commonwealth Equity Services, Inc 116,903 5,120,000 1.37%
16 Raymond James Financial Services Advisors, Inc. 102,427 4,487,000 1.20%
17 LADENBURG THALMANN FINANCIAL SERVICES INC. 95,789 4,196,000 1.12%
18 DAVENPORT & Co LLC 83,830 3,671,754 0.98%
19 HL FINANCIAL SERVICES LLC 75,319 3,299,000 0.88%
20 ADVANTAGE INVESTMENT MANAGEMENT, LLC 59,588 2,610,000 0.70%
21 SEGALL BRYANT & HAMILL, LLC 48,056 2,105,000 0.56%
22 SUSQUEHANNA INTERNATIONAL GROUP, LLP 47,725 2,090,000 0.56%
23 First Heartland Consultants, Inc. 44,234 1,937,000 0.52%
24 JPMORGAN CHASE & CO 31,105 1,362,000 0.36%
25 STEPHENS INC /AR/ 29,923 1,311,000 0.35%
26 VOYA FINANCIAL ADVISORS, INC. 28,560 1,263,000 0.34%
27 NTV ASSET MANAGEMENT LLC 26,845 1,175,000 0.31%
28 Cetera Advisors LLC 25,557 1,117,000 0.30%
29 JANE STREET GROUP, LLC 23,676 1,037,000 0.28%
30 AMERIPRISE FINANCIAL INC 22,154 970,000 0.26%
31 Analyst IMS Investment Management Services Ltd. 20,000 876,000 0.23%
32 ENVESTNET ASSET MANAGEMENT INC 18,589 814,000 0.22%
33 NATIONAL PLANNING CORP 18,075 798,000 0.21%
34 WESTPORT RESOURCES MANAGEMENT INC 16,930 742,000 0.20%
35 GREAT LAKES ADVISORS, LLC 16,574 726,000 0.19%
36 B. Riley Wealth Management, Inc. 15,232 667,000 0.18%
37 Cambridge Investment Research Advisors, Inc. 15,194 666,000 0.18%
38 CREDIT SUISSE AG/ 14,321 627,000 0.17%
39 SUSQUEHANNA INTERNATIONAL GROUP, LLP 10,200 447,000 0.12% Put
40 Veritable, L.P. 9,000 394,000 0.11%
41 PRIVATE TRUST CO NA 8,987 393,000 0.11%
42 PNC FINANCIAL SERVICES GROUP, INC. 8,669 380,000 0.10%
43 CITIGROUP INC 7,523 330,000 0.09%
44 SII INVESTMENTS INC/WI 6,413 281,000 0.08%
45 Janney Montgomery Scott LLC 6,252 274,000 0.07%
46 MSI Financial Services Inc 6,091 267,000 0.07%
47 TWO SIGMA SECURITIES, LLC 5,428 238,000 0.06%
48 Sigma Planning Corp 5,444 238,000 0.06%
49 ALPS ADVISORS INC 5,421 237,000 0.06%
50 WEALTHPLAN PARTNERS, LLC 4,001 175,000 0.05%
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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.