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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 (2016Q4)
Portfolio Summary: 56 Institutional holders with a total value of $211,964,953.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 RAYMOND JAMES & ASSOCIATES 695,759 32,151,000 15.17%
2 MORGAN STANLEY 673,984 31,145,000 14.69%
3 WELLS FARGO & COMPANY/MN 659,645 30,483,000 14.38%
4 UBS Group AG 445,859 20,603,000 9.72%
5 ROYAL BANK OF CANADA 319,104 14,746,000 6.96%
6 J.P. Morgan Private Wealth Advisors LLC 283,914 13,120,000 6.19%
7 Raymond James Financial Services Advisors, Inc. 219,569 10,146,000 4.79%
8 STIFEL FINANCIAL CORP 190,268 8,785,000 4.14%
9 LPL Financial LLC 182,482 8,522,000 4.02%
10 BANK OF AMERICA CORP /DE/ 106,751 4,933,000 2.33%
11 GOLDMAN SACHS GROUP INC 100,005 4,621,000 2.18%
12 Commonwealth Equity Services, Inc 81,568 3,769,000 1.78%
13 First Allied Advisory Services, Inc. 77,322 3,573,000 1.69%
14 HL FINANCIAL SERVICES LLC 77,305 3,572,000 1.69%
15 SEGALL BRYANT & HAMILL, LLC 55,750 2,576,000 1.22%
16 STEPHENS INC /AR/ 40,797 1,885,000 0.89%
17 New England Private Wealth Advisors LLC 38,468 1,776,000 0.84%
18 Cetera Advisors LLC 30,618 1,414,000 0.67%
19 AMERIPRISE FINANCIAL INC 29,830 1,378,000 0.65%
20 ADVISOR GROUP, INC. 24,030 1,110,000 0.52%
21 NTV ASSET MANAGEMENT LLC 23,325 1,077,000 0.51%
22 First Heartland Consultants, Inc. 22,544 1,042,000 0.49%
23 SG Americas Securities, LLC 21,250 982,000 0.46%
24 GREAT LAKES ADVISORS, LLC 17,538 810,000 0.38%
25 SUSQUEHANNA INTERNATIONAL GROUP, LLP 17,067 789,000 0.37%
26 1832 Asset Management L.P. 12,000 556,000 0.26%
27 ADVANTAGE INVESTMENT MANAGEMENT, LLC 11,682 540,000 0.25%
28 MSI Financial Services Inc 11,480 530,000 0.25%
29 Timber Hill LLC 11,457 529,000 0.25%
30 PRIVATE TRUST CO NA 11,199 517,000 0.24%
31 SUNTRUST BANKS INC 10,740 451,000 0.21%
32 SII INVESTMENTS INC/WI 9,609 448,000 0.21%
33 LADENBURG THALMANN FINANCIAL SERVICES INC. 8,010 371,000 0.18%
34 CITIGROUP INC 7,374 341,000 0.16%
35 PNC FINANCIAL SERVICES GROUP, INC. 7,320 338,000 0.16%
36 Clark Capital Management Group, Inc. 6,460 299,000 0.14%
37 IFP ADVISORS, INC 6,003 277,000 0.13%
38 JPMORGAN CHASE & CO 5,975 276,000 0.13%
39 LEVEL FOUR ADVISORY SERVICES, LLC 5,823 269,000 0.13%
40 Aft, Forsyth & Sober, LLC 5,765 266,000 0.13%
41 FLOW TRADERS U.S. LLC 4,354 201,000 0.09%
42 US BANCORP \DE\ 3,346 155,000 0.07%
43 Creative Planning 2,283 105,000 0.05%
44 Tower Research Capital LLC (TRC) 2,174 100,000 0.05%
45 Camarda Financial Advisors, LLC 1,998 92,000 0.04%
46 BENJAMIN F. EDWARDS & COMPANY, INC. 1,980 91,000 0.04%
47 WFG Advisors, LP 1,405 65,000 0.03%
48 CREATIVE FINANCIAL DESIGNS INC /ADV 825 38,000 0.02%
49 D.A. DAVIDSON & CO. 620 28,000 0.01%
50 SUTTON WEALTH ADVISORS INC. 540 24,953 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.