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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 (2016Q3)
Portfolio Summary: 53 Institutional holders with a total value of $194,417,710.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 RAYMOND JAMES & ASSOCIATES 690,323 31,589,000 16.25%
2 MORGAN STANLEY 438,608 20,071,000 10.32%
3 WELLS FARGO & COMPANY/MN 435,987 19,951,000 10.26%
4 UBS Group AG 409,145 18,722,000 9.63%
5 ROYAL BANK OF CANADA 314,021 14,370,000 7.39%
6 J.P. Morgan Private Wealth Advisors LLC 292,403 13,380,000 6.88%
7 STIFEL FINANCIAL CORP 193,109 8,838,000 4.55%
8 ADVISOR GROUP, INC. 178,183 8,153,000 4.19%
9 LPL Financial LLC 168,154 7,668,000 3.94%
10 ADVANTAGE INVESTMENT MANAGEMENT, LLC 141,221 6,462,000 3.32%
11 Raymond James Financial Services Advisors, Inc. 139,449 6,381,000 3.28%
12 GOLDMAN SACHS GROUP INC 104,513 4,783,000 2.46%
13 BANK OF AMERICA CORP /DE/ 86,390 3,953,000 2.03%
14 Commonwealth Equity Services, Inc 82,266 3,765,000 1.94%
15 HL FINANCIAL SERVICES LLC 78,361 3,586,000 1.84%
16 SEGALL BRYANT & HAMILL, LLC 52,150 2,386,000 1.23%
17 CITADEL ADVISORS LLC 47,452 2,171,000 1.12%
18 JANE STREET GROUP, LLC 43,021 1,969,000 1.01%
19 New England Private Wealth Advisors LLC 38,429 1,760,000 0.91%
20 SG Americas Securities, LLC 30,200 1,382,000 0.71%
21 Cetera Advisors LLC 29,904 1,369,000 0.70%
22 NTV ASSET MANAGEMENT LLC 23,325 1,067,000 0.55%
23 STEPHENS INC /AR/ 21,480 983,000 0.51%
24 GREAT LAKES ADVISORS, LLC 18,088 828,000 0.43%
25 Timber Hill LLC 18,026 825,000 0.42%
26 WESTPORT RESOURCES MANAGEMENT INC 16,930 775,000 0.40%
27 Virtu KCG Holdings LLC 15,345 702,000 0.36%
28 Tower Research Capital LLC (TRC) 15,200 695,000 0.36%
29 SUSQUEHANNA INTERNATIONAL GROUP, LLP 14,145 647,000 0.33%
30 FLOW TRADERS U.S. LLC 13,954 639,000 0.33%
31 1832 Asset Management L.P. 12,000 550,000 0.28%
32 AMERIPRISE FINANCIAL INC 10,945 501,000 0.26%
33 SII INVESTMENTS INC/WI 10,059 464,000 0.24%
34 PRIVATE TRUST CO NA 8,987 411,000 0.21%
35 First Heartland Consultants, Inc. 7,567 346,000 0.18%
36 IFP ADVISORS, INC 7,283 333,000 0.17%
37 PNC FINANCIAL SERVICES GROUP, INC. 7,086 324,000 0.17%
38 JPMORGAN CHASE & CO 5,974 273,000 0.14%
39 Aft, Forsyth & Sober, LLC 5,765 264,000 0.14%
40 SUNTRUST BANKS INC 6,047 253,000 0.13%
41 LADENBURG THALMANN FINANCIAL SERVICES INC. 3,701 167,000 0.09%
42 CITIGROUP INC 3,374 154,000 0.08%
43 US BANCORP \DE\ 3,000 137,000 0.07%
44 Creative Planning 2,283 104,000 0.05%
45 MSI Financial Services Inc 1,710 78,000 0.04%
46 WFG Advisors, LP 1,278 58,000 0.03%
47 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,155 53,000 0.03%
48 SUTTON WEALTH ADVISORS INC. 540 24,710 0.01%
49 D.A. DAVIDSON & CO. 500 22,000 0.01%
50 Carroll Financial Associates, Inc. 400 18,000 0.01%
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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.