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

Institutional Holders (2016Q3)
Portfolio Summary: 46 Institutional holders with a total value of $146,050,575.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Parallax Volatility Advisers, L.P. 1 0 0.00%
2 MYCIO WEALTH PARTNERS, LLC 66 3,000 0.00%
3 CENTRAL TRUST Co 182 9,000 0.01%
4 Capital Directions Investment Advisors, LLC 186 9,000 0.01%
5 Financial Architects, Inc 439 22,000 0.02%
6 WFG Advisors, LP 532 27,000 0.02%
7 SIGNATUREFD, LLC 550 28,000 0.02%
8 JNBA Financial Advisors 550 28,000 0.02%
9 GENEOS WEALTH MANAGEMENT INC. 870 44,000 0.03%
10 NEXT Financial Group, Inc 900 46,000 0.03%
11 Argentus Capital Management, LLC 936 48,000 0.03%
12 IFP ADVISORS, INC 966 49,000 0.03%
13 JPMORGAN CHASE & CO 1,183 60,000 0.04%
14 CT Financial Advisors LLC 1,280 65,165 0.04%
15 Winslow, Evans & Crocker, Inc. 1,384 70,410 0.05%
16 FLOW TRADERS U.S. LLC 2,007 102,000 0.07%
17 CITIGROUP INC 3,092 157,000 0.11%
18 LADENBURG THALMANN FINANCIAL SERVICES INC. 5,028 256,000 0.18%
19 SG Americas Securities, LLC 6,466 329,000 0.23%
20 HL FINANCIAL SERVICES LLC 6,806 346,000 0.24%
21 ENVESTNET ASSET MANAGEMENT INC 6,976 355,000 0.24%
22 PNC FINANCIAL SERVICES GROUP, INC. 7,214 367,000 0.25%
23 Private Advisor Group, LLC 10,611 539,000 0.37%
24 Texas Yale Capital Corp. 12,074 615,000 0.42%
25 SUNTRUST BANKS INC 16,870 719,000 0.49%
26 ADVISOR GROUP, INC. 14,778 752,000 0.51%
27 OPPENHEIMER & CO INC 18,826 958,000 0.66%
28 OPTIMUM INVESTMENT ADVISORS 19,665 1,001,000 0.69%
29 Commonwealth Equity Services, Inc 19,829 1,009,000 0.69%
30 SUSQUEHANNA INTERNATIONAL GROUP, LLP 26,129 1,330,000 0.91%
31 Cambridge Investment Research Advisors, Inc. 29,871 1,521,000 1.04%
32 MSI Financial Services Inc 41,332 2,104,000 1.44%
33 AMERIPRISE FINANCIAL INC 40,165 2,148,000 1.47%
34 Financial Management Professionals, Inc. 47,014 2,393,000 1.64%
35 Raymond James Financial Services Advisors, Inc. 48,122 2,450,000 1.68%
36 GOLDMAN SACHS GROUP INC 50,268 2,559,000 1.75%
37 ROYAL BANK OF CANADA 65,321 3,326,000 2.28%
38 Janney Montgomery Scott LLC 75,139 3,825,000 2.62%
39 RAYMOND JAMES & ASSOCIATES 76,927 3,916,000 2.68%
40 NAVELLIER & ASSOCIATES INC 93,595 4,765,000 3.26%
41 BB&T SECURITIES, LLC 98,703 5,024,000 3.44%
42 BANK OF AMERICA CORP /DE/ 112,962 5,751,000 3.94%
43 LPL Financial LLC 197,839 10,052,000 6.88%
44 UBS Group AG 277,958 14,151,000 9.69%
45 MORGAN STANLEY 705,737 35,928,000 24.60%
46 WELLS FARGO & COMPANY/MN 722,719 36,794,000 25.19%

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.