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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 (2015Q4)
Portfolio Summary: 53 Institutional holders with a total value of $324,211,311.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,041,952 45,303,000 13.97%
2 WELLS FARGO & COMPANY/MN 895,254 38,925,000 12.01%
3 RAYMOND JAMES & ASSOCIATES 888,292 38,623,000 11.91%
4 Aft, Forsyth & Sober, LLC 824,025 35,829,000 11.05%
5 LPL Financial LLC 562,999 23,978,000 7.40%
6 UBS Group AG 545,311 23,710,000 7.31%
7 J.P. Morgan Private Wealth Advisors LLC 394,561 17,155,000 5.29%
8 BANK OF AMERICA CORP /DE/ 283,635 12,332,000 3.80%
9 ROYAL BANK OF CANADA 276,875 12,039,000 3.71%
10 STIFEL FINANCIAL CORP 244,961 10,651,000 3.29%
11 Raymond James Financial Services Advisors, Inc. 234,005 10,175,000 3.14%
12 GOLDMAN SACHS GROUP INC 156,694 6,813,000 2.10%
13 AMERICAN INTERNATIONAL GROUP, INC. 150,462 6,542,000 2.02%
14 Commonwealth Equity Services, Inc 123,599 5,374,000 1.66%
15 New England Private Wealth Advisors LLC 121,656 5,289,000 1.63%
16 ADVANTAGE INVESTMENT MANAGEMENT, LLC 97,197 4,226,000 1.30%
17 HL FINANCIAL SERVICES LLC 77,909 3,387,000 1.04%
18 CREDIT SUISSE AG/ 51,986 2,260,000 0.70%
19 SEGALL BRYANT & HAMILL, LLC 46,850 2,037,000 0.63%
20 First Heartland Consultants, Inc. 44,878 1,951,000 0.60%
21 VSR Financial Services, Inc. 43,445 1,889,000 0.58%
22 JANE STREET GROUP, LLC 41,678 1,812,000 0.56%
23 JPMORGAN CHASE & CO 36,158 1,573,000 0.49%
24 Cetera Advisors LLC 30,186 1,312,000 0.40%
25 CITADEL ADVISORS LLC 29,474 1,282,000 0.40%
26 STEPHENS INC /AR/ 28,883 1,256,000 0.39%
27 AMERIPRISE FINANCIAL INC 24,294 1,056,000 0.33%
28 NTV ASSET MANAGEMENT LLC 23,925 1,040,000 0.32%
29 GREAT LAKES ADVISORS, LLC 17,763 772,000 0.24%
30 WESTPORT RESOURCES MANAGEMENT INC 17,330 754,000 0.23%
31 1832 Asset Management L.P. 12,000 523,000 0.16%
32 PRIVATE TRUST CO NA 8,987 390,000 0.12%
33 SII INVESTMENTS INC/WI 8,869 383,000 0.12%
34 MSI Financial Services Inc 8,536 371,000 0.11%
35 PNC FINANCIAL SERVICES GROUP, INC. 8,103 352,000 0.11%
36 Analyst IMS Investment Management Services Ltd. 8,000 348,000 0.11%
37 SUSQUEHANNA INTERNATIONAL GROUP, LLP 7,812 340,000 0.10%
38 IFP ADVISORS, INC 7,733 336,000 0.10%
39 SUNTRUST BANKS INC 7,499 325,000 0.10%
40 CITIGROUP INC 7,047 307,000 0.09%
41 Cambridge Investment Research Advisors, Inc. 6,062 264,000 0.08%
42 Janney Montgomery Scott LLC 5,287 230,000 0.07%
43 WEALTHPLAN PARTNERS, LLC 12,003 174,311 0.05%
44 US BANCORP \DE\ 3,200 139,000 0.04%
45 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,902 126,000 0.04%
46 Tower Research Capital LLC (TRC) 2,476 108,000 0.03%
47 WFG Advisors, LP 1,626 71,000 0.02%
48 Camarda Financial Advisors, LLC 1,115 48,000 0.01%
49 MINICHMACGREGOR WEALTH MANAGEMENT, LLC 244 11,000 0.00%
50 WHITTIER TRUST CO 230 10,000 0.00%
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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.