Dark
Light
System
Security
FIRST TRUST NASDAQ-100 EQUAL WEIGHTED INDEX FUND
FIRST TRUST NASDAQ-100 EQUAL WEIGHTED INDEX FUND. Institutional holdings reported to the SEC.

Institutional Holders (2016Q2)
Portfolio Summary: 51 Institutional holders with a total value of $195,404,204.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 RAYMOND JAMES & ASSOCIATES 807,661 33,817,000 17.31%
2 MORGAN STANLEY 452,594 18,950,000 9.70%
3 WELLS FARGO & COMPANY/MN 433,646 18,157,000 9.29%
4 UBS Group AG 400,461 16,767,000 8.58%
5 ADVISOR GROUP, INC. 306,336 12,825,000 6.56%
6 ROYAL BANK OF CANADA 302,761 12,676,000 6.49%
7 J.P. Morgan Private Wealth Advisors LLC 292,930 12,265,000 6.28%
8 ADVANTAGE INVESTMENT MANAGEMENT, LLC 251,369 10,525,000 5.39%
9 STIFEL FINANCIAL CORP 195,226 8,174,000 4.18%
10 LPL Financial LLC 176,943 7,439,000 3.81%
11 GOLDMAN SACHS GROUP INC 156,698 6,561,000 3.36%
12 Raymond James Financial Services Advisors, Inc. 142,951 5,985,000 3.06%
13 BANK OF AMERICA CORP /DE/ 87,245 3,653,000 1.87%
14 Commonwealth Equity Services, Inc 84,671 3,545,000 1.81%
15 HL FINANCIAL SERVICES LLC 77,599 3,249,000 1.66%
16 SUSQUEHANNA INTERNATIONAL GROUP, LLP 56,489 2,374,000 1.21%
17 SEGALL BRYANT & HAMILL, LLC 48,850 2,045,000 1.05%
18 New England Private Wealth Advisors LLC 39,451 1,654,000 0.85%
19 Cetera Advisors LLC 30,020 1,256,000 0.64%
20 JPMORGAN CHASE & CO 27,912 1,173,000 0.60%
21 JANE STREET GROUP, LLC 24,341 1,019,000 0.52%
22 Virtu Financial LLC 23,591 991,000 0.51%
23 NTV ASSET MANAGEMENT LLC 23,225 972,000 0.50%
24 STEPHENS INC /AR/ 20,984 879,000 0.45%
25 Virtu KCG Holdings LLC 18,239 764,000 0.39%
26 GREAT LAKES ADVISORS, LLC 18,193 762,000 0.39%
27 Timber Hill LLC 17,908 750,000 0.38%
28 WESTPORT RESOURCES MANAGEMENT INC 17,430 730,000 0.37%
29 Tower Research Capital LLC (TRC) 15,060 631,000 0.32%
30 CITADEL ADVISORS LLC 13,129 552,000 0.28%
31 1832 Asset Management L.P. 12,000 506,000 0.26%
32 AMERIPRISE FINANCIAL INC 11,580 485,000 0.25%
33 Janney Montgomery Scott LLC 10,180 435,000 0.22%
34 IFP ADVISORS, INC 9,887 414,000 0.21%
35 PRIVATE TRUST CO NA 8,987 376,000 0.19%
36 SII INVESTMENTS INC/WI 9,009 374,000 0.19%
37 First Heartland Consultants, Inc. 7,567 317,000 0.16%
38 PNC FINANCIAL SERVICES GROUP, INC. 7,170 300,000 0.15%
39 Aft, Forsyth & Sober, LLC 5,515 231,000 0.12%
40 SUNTRUST BANKS INC 4,846 203,000 0.10%
41 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,086 174,000 0.09%
42 US BANCORP \DE\ 3,000 126,000 0.06%
43 CITIGROUP INC 2,978 125,000 0.06%
44 MSI Financial Services Inc 1,924 81,000 0.04%
45 WFG Advisors, LP 1,457 61,000 0.03%
46 D.A. DAVIDSON & CO. 500 20,000 0.01%
47 SUTTON WEALTH ADVISORS INC. 387 16,204 0.01%
48 BENJAMIN F. EDWARDS & COMPANY, INC. 180 8,000 0.00%
49 BELLWETHER INVESTMENT GROUP, LLC 174 7,000 0.00%
50 PITTENGER & ANDERSON INC 110 5,000 0.00%
Page 1 of 2

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.