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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 (2015Q2)
Portfolio Summary: 60 Institutional holders with a total value of $372,252,624.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,543,703 67,476,000 18.13%
2 WELLS FARGO & COMPANY/MN 1,043,749 45,622,000 12.26%
3 RAYMOND JAMES & ASSOCIATES 976,774 42,695,000 11.47%
4 Aft, Forsyth & Sober, LLC 841,685 36,790,000 9.88%
5 UBS Group AG 620,348 27,115,000 7.28%
6 J.P. Morgan Private Wealth Advisors LLC 506,439 22,136,000 5.95%
7 ROYAL BANK OF CANADA 326,801 14,285,000 3.84%
8 STIFEL FINANCIAL CORP 281,357 12,298,000 3.30%
9 LPL Financial LLC 259,086 11,351,000 3.05%
10 BANK OF AMERICA CORP /DE/ 237,280 10,372,000 2.79%
11 Stadion Money Management, LLC 204,457 8,937,000 2.40%
12 GOLDMAN SACHS GROUP INC 171,237 7,485,000 2.01%
13 New England Private Wealth Advisors LLC 148,658 6,494,000 1.74%
14 AMERICAN INTERNATIONAL GROUP, INC. 139,258 6,086,946 1.64%
15 CREDIT SUISSE AG/ 138,145 6,038,000 1.62%
16 Commonwealth Equity Services, Inc 116,467 5,091,000 1.37%
17 Raymond James Financial Services Advisors, Inc. 116,359 5,086,000 1.37%
18 ADVANTAGE INVESTMENT MANAGEMENT, LLC 82,120 3,589,000 0.96%
19 HL FINANCIAL SERVICES LLC 76,156 3,329,000 0.89%
20 LADENBURG THALMANN FINANCIAL SERVICES INC. 75,201 3,287,000 0.88%
21 SEGALL BRYANT & HAMILL, LLC 46,750 2,043,000 0.55%
22 First Heartland Consultants, Inc. 44,570 1,948,000 0.52%
23 AMERIPRISE FINANCIAL INC 40,869 1,674,000 0.45%
24 BAROMETER CAPITAL MANAGEMENT INC. 38,100 1,665,000 0.45%
25 JANE STREET GROUP, LLC 33,588 1,468,000 0.39%
26 JPMORGAN CHASE & CO 33,575 1,468,000 0.39%
27 STEPHENS INC /AR/ 29,923 1,308,000 0.35%
28 Cetera Advisors LLC 28,774 1,256,000 0.34%
29 VOYA FINANCIAL ADVISORS, INC. 28,397 1,237,000 0.33%
30 NTV ASSET MANAGEMENT LLC 27,595 1,206,000 0.32%
31 CITADEL ADVISORS LLC 22,904 1,001,000 0.27%
32 ENVESTNET ASSET MANAGEMENT INC 17,923 783,000 0.21%
33 NATIONAL PLANNING CORP 17,625 778,000 0.21%
34 Cambridge Investment Research Advisors, Inc. 17,497 765,000 0.21%
35 WESTPORT RESOURCES MANAGEMENT INC 16,930 740,000 0.20%
36 GREAT LAKES ADVISORS, LLC 16,237 710,000 0.19%
37 Analyst IMS Investment Management Services Ltd. 16,000 699,000 0.19%
38 B. Riley Wealth Management, Inc. 15,232 665,000 0.18%
39 HRT FINANCIAL LP 14,225 621,000 0.17%
40 MSI Financial Services Inc 11,522 504,000 0.14%
41 SUSQUEHANNA INTERNATIONAL GROUP, LLP 9,500 415,000 0.11% Put
42 WESPAC Advisors, LLC 9,109 398,000 0.11%
43 PRIVATE TRUST CO NA 8,987 392,000 0.11%
44 PNC FINANCIAL SERVICES GROUP, INC. 8,923 390,000 0.10%
45 Tower Research Capital LLC (TRC) 8,912 390,000 0.10%
46 SII INVESTMENTS INC/WI 7,633 332,000 0.09%
47 ALPS ADVISORS INC 7,441 325,000 0.09%
48 CITIGROUP INC 7,024 307,000 0.08%
49 SUSQUEHANNA INTERNATIONAL GROUP, LLP 6,110 267,000 0.07%
50 Janney Montgomery Scott LLC 5,552 242,678 0.07%
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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.