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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 (2016Q1)
Portfolio Summary: 52 Institutional holders with a total value of $218,338,343.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 RAYMOND JAMES & ASSOCIATES 802,938 33,908,000 15.53%
2 WELLS FARGO & COMPANY/MN 493,468 20,839,000 9.54%
3 MORGAN STANLEY 460,990 19,467,000 8.92%
4 UBS Group AG 445,756 18,824,000 8.62%
5 LPL Financial LLC 404,652 16,983,000 7.78%
6 J.P. Morgan Private Wealth Advisors LLC 300,925 12,708,000 5.82%
7 AMERICAN INTERNATIONAL GROUP, INC. 297,756 12,575,000 5.76%
8 ROYAL BANK OF CANADA 285,728 12,066,000 5.53%
9 ADVANTAGE INVESTMENT MANAGEMENT, LLC 237,516 10,030,000 4.59%
10 Raymond James Financial Services Advisors, Inc. 200,759 8,478,000 3.88%
11 STIFEL FINANCIAL CORP 186,388 7,871,000 3.60%
12 GOLDMAN SACHS GROUP INC 156,698 6,617,000 3.03%
13 BANK OF AMERICA CORP /DE/ 90,475 3,820,000 1.75%
14 Commonwealth Equity Services, Inc 87,848 3,710,000 1.70%
15 HL FINANCIAL SERVICES LLC 76,221 3,219,000 1.47%
16 SUSQUEHANNA INTERNATIONAL GROUP, LLP 75,233 3,179,000 1.46%
17 New England Private Wealth Advisors LLC 72,911 3,080,000 1.41%
18 SEGALL BRYANT & HAMILL, LLC 48,450 2,046,000 0.94%
19 Virtu Financial LLC 41,710 1,762,000 0.81%
20 JPMORGAN CHASE & CO 37,338 1,578,000 0.72%
21 Virtu KCG Holdings LLC 36,004 1,520,000 0.70%
22 Cetera Advisors LLC 31,526 1,333,000 0.61%
23 NTV ASSET MANAGEMENT LLC 23,825 1,006,000 0.46%
24 JANE STREET GROUP, LLC 22,958 970,000 0.44%
25 Jaffetilchin Investment Partners, LLC 22,691 958,000 0.44%
26 STEPHENS INC /AR/ 21,519 909,000 0.42%
27 CITADEL ADVISORS LLC 19,861 839,000 0.38%
28 AMERIPRISE FINANCIAL INC 19,736 833,000 0.38%
29 GREAT LAKES ADVISORS, LLC 18,614 786,000 0.36%
30 WESTPORT RESOURCES MANAGEMENT INC 17,430 736,000 0.34%
31 Tower Research Capital LLC (TRC) 16,267 687,000 0.31%
32 First Heartland Consultants, Inc. 15,388 650,000 0.30%
33 1832 Asset Management L.P. 12,000 506,000 0.23%
34 IFP ADVISORS, INC 10,067 425,000 0.19%
35 SII INVESTMENTS INC/WI 9,759 407,000 0.19%
36 PRIVATE TRUST CO NA 8,987 379,000 0.17%
37 SUNTRUST BANKS INC 8,347 352,000 0.16%
38 NORTHERN TRUST CORP 8,104 342,000 0.16%
39 Analyst IMS Investment Management Services Ltd. 8,000 338,000 0.15%
40 Aft, Forsyth & Sober, LLC 7,290 308,000 0.14%
41 PNC FINANCIAL SERVICES GROUP, INC. 6,879 291,000 0.13%
42 Janney Montgomery Scott LLC 4,932 208,000 0.10%
43 MSI Financial Services Inc 4,850 205,000 0.09%
44 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,541 186,000 0.09%
45 CITIGROUP INC 3,950 167,000 0.08%
46 US BANCORP \DE\ 3,000 127,000 0.06%
47 WFG Advisors, LP 1,630 69,000 0.03%
48 SUTTON WEALTH ADVISORS INC. 387 16,343 0.01%
49 D.A. DAVIDSON & CO. 300 12,000 0.01%
50 BENJAMIN F. EDWARDS & COMPANY, INC. 180 8,000 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.