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

Institutional Holders (2016Q4)
Portfolio Summary: 83 Institutional holders with a total value of $1,234,096,970.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 FIRST TRUST ADVISORS LP 10,845,422 571,120,000 46.28%
2 MORGAN STANLEY 3,029,974 159,558,000 12.93%
3 WELLS FARGO & COMPANY/MN 2,601,703 137,006,000 11.10%
4 UBS Group AG 922,730 48,591,000 3.94%
5 BANK OF AMERICA CORP /DE/ 824,670 43,427,000 3.52%
6 Raymond James Financial Services Advisors, Inc. 624,901 32,911,000 2.67%
7 RAYMOND JAMES & ASSOCIATES 551,261 29,030,000 2.35%
8 MSI Financial Services Inc 482,616 25,415,000 2.06%
9 GOLDMAN SACHS GROUP INC 300,325 15,815,000 1.28%
10 NewSquare Capital LLC 280,193 14,755,000 1.20%
11 LPL Financial LLC 276,257 14,658,000 1.19%
12 ROYAL BANK OF CANADA 237,915 12,528,000 1.02%
13 Brookstone Capital Management 237,315 12,497,000 1.01%
14 Janney Montgomery Scott LLC 197,485 10,400,000 0.84%
15 STIFEL FINANCIAL CORP 178,518 9,391,000 0.76%
16 NAVELLIER & ASSOCIATES INC 133,516 7,031,000 0.57%
17 O'DELL GROUP, LLC 129,291 6,808,000 0.55%
18 HL FINANCIAL SERVICES LLC 120,824 6,363,000 0.52%
19 AMERIPRISE FINANCIAL INC 120,061 6,318,000 0.51%
20 Transamerica Financial Advisors, LLC 109,324 5,757,000 0.47%
21 CWM, LLC 100,973 5,317,000 0.43%
22 BB&T SECURITIES, LLC 98,703 5,024,000 0.41%
23 NewEdge Advisors, LLC 74,624 4,050,000 0.33%
24 BAIRD FINANCIAL GROUP, INC. 72,015 3,792,000 0.31%
25 ENVESTNET ASSET MANAGEMENT INC 70,176 3,694,000 0.30%
26 SUNTRUST BANKS INC 80,450 3,431,000 0.28%
27 CITIGROUP INC 56,399 2,970,000 0.24%
28 STEPHENS INC /AR/ 51,757 2,726,000 0.22%
29 BENJAMIN F. EDWARDS & COMPANY, INC. 49,529 2,608,000 0.21%
30 Financial Management Professionals, Inc. 44,181 2,269,000 0.18%
31 Cambridge Investment Research Advisors, Inc. 40,864 2,152,000 0.17%
32 Private Advisor Group, LLC 31,081 1,696,000 0.14%
33 D.A. DAVIDSON & CO. 31,707 1,669,000 0.14%
34 LifePlan Financial Group, Inc 31,223 1,644,000 0.13%
35 Commonwealth Equity Services, Inc 29,862 1,573,000 0.13%
36 SUSQUEHANNA INTERNATIONAL GROUP, LLP 26,721 1,407,000 0.11%
37 UNITED CAPITAL FINANCIAL ADVISORS, LLC 23,743 1,250,000 0.10%
38 JANE STREET GROUP, LLC 23,647 1,245,000 0.10%
39 ADVISOR GROUP, INC. 23,107 1,217,000 0.10%
40 OPTIMUM INVESTMENT ADVISORS 21,266 1,120,000 0.09%
41 MINICHMACGREGOR WEALTH MANAGEMENT, LLC 21,197 1,116,000 0.09%
42 Sigma Planning Corp 19,987 1,053,000 0.09%
43 JPMORGAN CHASE & CO 18,558 977,000 0.08%
44 IFC Holdings Incorporated/FL 18,182 955,000 0.08%
45 OPPENHEIMER & CO INC 14,960 788,000 0.06%
46 Horizon Investments, LLC 12,704 669,000 0.05%
47 FOUNDERS FINANCIAL SECURITIES LLC 12,704 669,000 0.05%
48 Texas Yale Capital Corp. 12,074 636,000 0.05%
49 CITADEL ADVISORS LLC 9,174 483,000 0.04%
50 BANK HAPOALIM BM 8,955 472,000 0.04%
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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.