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First Trust NASDAQ-100 Technol
First Trust NASDAQ-100 Technol. Institutional holdings reported to the SEC.

Institutional Holders (2017Q1)
Portfolio Summary: 52 Institutional holders with a total value of $1,268,667,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 FIRST TRUST ADVISORS LP 9,376,491 563,996,000 44.46%
2 MORGAN STANLEY 2,996,522 180,241,000 14.21%
3 WELLS FARGO & COMPANY/MN 2,500,405 150,399,000 11.85%
4 BANK OF AMERICA CORP /DE/ 867,779 52,197,000 4.11%
5 RAYMOND JAMES & ASSOCIATES 751,414 45,199,000 3.56%
6 MML INVESTORS SERVICES, INC. 742,549 44,664,000 3.52%
7 Raymond James Financial Services Advisors, Inc. 568,495 34,198,000 2.70%
8 LPL Financial LLC 428,904 25,691,000 2.03%
9 NIEMANN CAPITAL MANAGEMENT INC 343,070 20,636,000 1.63%
10 ROYAL BANK OF CANADA 261,730 15,743,000 1.24%
11 ENVESTNET ASSET MANAGEMENT INC 215,474 12,962,000 1.02%
12 Janney Montgomery Scott LLC 214,527 12,904,000 1.02%
13 NAVELLIER & ASSOCIATES INC 207,434 12,477,000 0.98%
14 GOLDMAN SACHS GROUP INC 201,133 12,098,000 0.95%
15 STIFEL FINANCIAL CORP 192,891 11,612,000 0.92%
16 AMERIPRISE FINANCIAL INC 169,424 9,228,000 0.73%
17 UNITED CAPITAL FINANCIAL ADVISORS, LLC 147,491 8,872,000 0.70%
18 HL FINANCIAL SERVICES LLC 127,754 7,685,000 0.61%
19 SUNTRUST BANKS INC 126,604 5,400,000 0.43%
20 BENJAMIN F. EDWARDS & COMPANY, INC. 70,170 4,221,000 0.33%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 67,530 3,991,000 0.31%
22 CITIGROUP INC 56,499 3,398,000 0.27%
23 Cambridge Investment Research Advisors, Inc. 47,603 2,863,000 0.23%
24 STEPHENS INC /AR/ 41,880 2,519,000 0.20%
25 Commonwealth Equity Services, Inc 38,627 2,323,000 0.18%
26 D.A. DAVIDSON & CO. 33,148 1,993,000 0.16%
27 ATWOOD & PALMER INC 30,365 1,826,000 0.14%
28 Dorsey Wright & Associates 28,415 1,709,000 0.13%
29 First Heartland Consultants, Inc. 28,112 1,691,000 0.13%
30 BB&T SECURITIES, LLC 25,149 1,512,000 0.12%
31 Sigma Planning Corp 24,575 1,478,000 0.12%
32 SUSQUEHANNA INTERNATIONAL GROUP, LLP 21,998 1,323,000 0.10%
33 OPTIMUM INVESTMENT ADVISORS 21,577 1,298,000 0.10%
34 JPMORGAN CHASE & CO 19,020 1,144,000 0.09%
35 BANK HAPOALIM BM 18,630 1,121,000 0.09%
36 SPC Financial, Inc. 18,090 1,088,000 0.09%
37 Texas Yale Capital Corp. 17,274 1,039,000 0.08%
38 PNC FINANCIAL SERVICES GROUP, INC. 16,715 1,005,000 0.08%
39 OPPENHEIMER & CO INC 16,368 985,000 0.08%
40 VOYA FINANCIAL ADVISORS, INC. 13,808 831,000 0.07%
41 FOUNDERS FINANCIAL SECURITIES LLC 11,872 714,000 0.06%
42 WealthTrust Fairport, LLC 9,512 572,000 0.05%
43 HighTower Advisors, LLC 8,284 498,000 0.04%
44 FLOW TRADERS U.S. LLC 6,665 401,000 0.03%
45 COMERICA SECURITIES INC 6,444 388,000 0.03%
46 WEDBUSH SECURITIES INC 6,117 368,000 0.03%
47 Financial Architects, Inc 1,236 74,000 0.01%
48 CREATIVE FINANCIAL DESIGNS INC /ADV 757 46,000 0.00%
49 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 237 15,000 0.00%
50 Capital Directions Investment Advisors, LLC 186 11,000 0.00%
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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.