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FIRST TRUST PORTFOLIOS SHS ETF
FIRST TRUST PORTFOLIOS SHS ETF. Institutional holdings reported to the SEC.

Institutional Holders (2015Q4)
Portfolio Summary: 50 Institutional holders with a total value of $140,507,191.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 695,304 29,655,000 21.11%
2 MORGAN STANLEY 653,762 27,883,000 19.84%
3 UBS Group AG 476,808 20,336,000 14.47%
4 BANK OF AMERICA CORP /DE/ 320,773 13,681,000 9.74%
5 RAYMOND JAMES & ASSOCIATES 187,170 7,983,000 5.68%
6 Raymond James Financial Services Advisors, Inc. 107,836 4,599,000 3.27%
7 LPL Financial LLC 103,260 4,326,000 3.08%
8 Biltmore Wealth Management, LLC 95,234 4,062,000 2.89%
9 JPMORGAN CHASE & CO 75,254 3,207,000 2.28%
10 Janney Montgomery Scott LLC 51,158 2,182,000 1.55%
11 GOLDMAN SACHS GROUP INC 51,022 2,176,000 1.55%
12 AMERIPRISE FINANCIAL INC 50,844 2,171,000 1.55%
13 ROYAL BANK OF CANADA 48,623 2,073,000 1.48%
14 SUSQUEHANNA INTERNATIONAL GROUP, LLP 42,752 1,822,000 1.30%
15 CITADEL ADVISORS LLC 36,106 1,539,000 1.10%
16 WESPAC Advisors, LLC 35,927 1,532,000 1.09%
17 MSI Financial Services Inc 32,274 1,376,000 0.98%
18 OPPENHEIMER & CO INC 30,083 1,283,000 0.91%
19 Investors Capital Advisory Services 27,683 1,180,000 0.84%
20 CITIGROUP INC 21,943 935,000 0.67%
21 JANE STREET GROUP, LLC 15,720 670,000 0.48%
22 AMERICAN INTERNATIONAL GROUP, INC. 15,015 641,000 0.46%
23 SUNTRUST BANKS INC 14,479 617,000 0.44%
24 STIFEL FINANCIAL CORP 13,579 579,000 0.41%
25 Texas Yale Capital Corp. 12,074 515,000 0.37%
26 OPTIMUM INVESTMENT ADVISORS 10,225 436,000 0.31%
27 Commonwealth Equity Services, Inc 9,862 421,000 0.30%
28 PNC FINANCIAL SERVICES GROUP, INC. 8,074 345,000 0.25%
29 COMERICA SECURITIES INC 7,817 333,000 0.24%
30 CUE ADVISORY SERVICES, INC. 6,710 286,000 0.20%
31 HL FINANCIAL SERVICES LLC 6,614 282,000 0.20%
32 CREDIT SUISSE AG/ 5,565 237,000 0.17%
33 Private Advisor Group, LLC 4,983 213,000 0.15%
34 BB&T SECURITIES, LLC 4,959 211,000 0.15%
35 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,688 200,000 0.14%
36 ADVANTAGE INVESTMENT MANAGEMENT, LLC 3,143 134,000 0.10%
37 CT Financial Advisors LLC 1,788 76,239 0.05%
38 Winslow, Evans & Crocker, Inc. 1,688 71,952 0.05%
39 IFP ADVISORS, INC 1,261 54,000 0.04%
40 Advisors Preferred, LLC 92 39,000 0.03%
41 EDMOND DE ROTHSCHILD HOLDING S.A. 900 38,000 0.03%
42 EDMOND DE ROTHSCHILD (EUROPE) 900 38,000 0.03%
43 WFG Advisors, LP 529 23,000 0.02%
44 Creative Planning 300 13,000 0.01%
45 MANUFACTURERS LIFE INSURANCE COMPANY, THE 287 12,000 0.01%
46 CENTRAL TRUST Co 226 10,000 0.01%
47 Capital Directions Investment Advisors, LLC 186 8,000 0.01%
48 Tower Research Capital LLC (TRC) 50 2,000 0.00%
49 ALLEGIS INVESTMENT ADVISORS, LLC 35 1,000 0.00%
50 Parallax Volatility Advisers, L.P. 1 0 0.00%

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.