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

Institutional Holders (2017Q2)
Portfolio Summary: 120 Institutional holders with a total value of $1,418,233,911.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 FIRST TRUST ADVISORS LP 8,850,100 552,158,000 38.93%
2 MORGAN STANLEY 3,004,904 187,476,000 13.22%
3 WELLS FARGO & COMPANY/MN 2,483,939 154,972,000 10.93%
4 BANK OF AMERICA CORP /DE/ 938,082 58,528,000 4.13%
5 UBS Group AG 848,756 52,954,000 3.73%
6 MML INVESTORS SERVICES, INC. 689,196 42,999,000 3.03%
7 RAYMOND JAMES & ASSOCIATES 611,013 38,122,000 2.69%
8 Raymond James Financial Services Advisors, Inc. 503,433 31,412,000 2.21%
9 LPL Financial LLC 486,190 30,333,000 2.14%
10 ENVESTNET ASSET MANAGEMENT INC 298,495 18,622,000 1.31%
11 NAVELLIER & ASSOCIATES INC 293,350 18,302,000 1.29%
12 NewSquare Capital LLC 257,853 14,900,000 1.05%
13 ROYAL BANK OF CANADA 226,153 14,110,000 0.99%
14 UNITED CAPITAL FINANCIAL ADVISORS, LLC 216,366 13,499,000 0.95%
15 STIFEL FINANCIAL CORP 199,217 12,406,000 0.87%
16 Janney Montgomery Scott LLC 196,264 12,245,000 0.86%
17 Brookstone Capital Management 177,439 11,070,000 0.78%
18 AMERIPRISE FINANCIAL INC 140,749 8,781,000 0.62%
19 O'DELL GROUP, LLC 132,940 8,294,000 0.58%
20 SUNTRUST BANKS INC 130,913 8,168,000 0.58%
21 HL FINANCIAL SERVICES LLC 128,956 8,046,000 0.57%
22 JANE STREET GROUP, LLC 97,123 6,060,000 0.43%
23 CWM, LLC 94,483 5,895,000 0.42%
24 LADENBURG THALMANN FINANCIAL SERVICES INC. 89,339 5,638,000 0.40%
25 Transamerica Financial Advisors, LLC 82,940 5,175,000 0.36%
26 Cambridge Investment Research Advisors, Inc. 80,060 4,995,000 0.35%
27 NewEdge Advisors, LLC 76,300 4,853,444 0.34%
28 BENJAMIN F. EDWARDS & COMPANY, INC. 75,103 4,686,000 0.33%
29 BAIRD FINANCIAL GROUP, INC. 66,962 4,178,000 0.29%
30 First Heartland Consultants, Inc. 66,106 4,124,000 0.29%
31 ADVISOR GROUP, INC. 64,044 3,995,000 0.28%
32 EP Wealth Advisors, LLC 54,561 3,404,000 0.24%
33 BB&T SECURITIES, LLC 48,787 3,043,000 0.21%
34 Tower Research Capital LLC (TRC) 45,434 2,834,000 0.20%
35 SUSQUEHANNA INTERNATIONAL GROUP, LLP 44,957 2,805,000 0.20%
36 Private Advisor Group, LLC 43,872 2,790,000 0.20%
37 Commonwealth Equity Services, Inc 43,332 2,704,000 0.19%
38 STEPHENS INC /AR/ 41,924 2,616,000 0.18%
39 Gateway Advisory, LLC 41,629 2,597,000 0.18%
40 D.A. DAVIDSON & CO. 35,127 2,191,000 0.15%
41 Financial Management Professionals, Inc. 33,990 2,120,000 0.15%
42 GOLDMAN SACHS GROUP INC 32,289 2,015,000 0.14%
43 BANK HAPOALIM BM 31,895 1,990,000 0.14%
44 ATWOOD & PALMER INC 31,740 1,980,000 0.14%
45 SUSQUEHANNA INTERNATIONAL GROUP, LLP 31,200 1,947,000 0.14% Call
46 Dorsey Wright & Associates 28,376 1,770,000 0.12%
47 Sigma Planning Corp 26,468 1,651,000 0.12%
48 CITADEL ADVISORS LLC 25,512 1,592,000 0.11%
49 USCA RIA LLC 23,442 1,463,000 0.10%
50 Prospera Financial Services Inc 22,866 1,422,000 0.10%
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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.