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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
51 CUTLER GROUP LLC / CA 9,544 595,000 0.04%
52 FOUNDERS FINANCIAL SECURITIES LLC 10,077 629,000 0.04%
53 Horizon Investments, LLC 10,071 633,000 0.04%
54 Cetera Advisors LLC 10,935 683,000 0.05%
55 CETERA INVESTMENT ADVISERS 10,935 683,000 0.05%
56 IFC Holdings Incorporated/FL 11,002 685,000 0.05%
57 Regal Investment Advisors LLC 11,092 692,000 0.05%
58 PNC FINANCIAL SERVICES GROUP, INC. 11,196 699,000 0.05%
59 IFP ADVISORS, INC 11,412 712,000 0.05%
60 PRIVATE ADVISORY GROUP LLC 11,426 713,000 0.05% SH
61 PALISADE CAPITAL MANAGEMENT, LP 11,750 733,000 0.05%
62 OPPENHEIMER & CO INC 16,115 1,005,000 0.07%
63 VOYA FINANCIAL ADVISORS, INC. 16,517 1,035,000 0.07%
64 Texas Yale Capital Corp. 17,274 1,078,000 0.08%
65 JPMORGAN CHASE & CO 17,618 1,099,000 0.08%
66 SPC Financial, Inc. 19,546 1,219,000 0.09%
67 Virtu KCG Holdings LLC 19,897 1,241,000 0.09%
68 MINICHMACGREGOR WEALTH MANAGEMENT, LLC 20,496 1,278,000 0.09%
69 DAVENPORT & Co LLC 21,072 1,314,682 0.09%
70 OPTIMUM INVESTMENT ADVISORS 22,224 1,387,000 0.10%
71 Prospera Financial Services Inc 22,866 1,422,000 0.10%
72 USCA RIA LLC 23,442 1,463,000 0.10%
73 CITADEL ADVISORS LLC 25,512 1,592,000 0.11%
74 Sigma Planning Corp 26,468 1,651,000 0.12%
75 Dorsey Wright & Associates 28,376 1,770,000 0.12%
76 SUSQUEHANNA INTERNATIONAL GROUP, LLP 31,200 1,947,000 0.14% Call
77 ATWOOD & PALMER INC 31,740 1,980,000 0.14%
78 BANK HAPOALIM BM 31,895 1,990,000 0.14%
79 GOLDMAN SACHS GROUP INC 32,289 2,015,000 0.14%
80 Financial Management Professionals, Inc. 33,990 2,120,000 0.15%
81 D.A. DAVIDSON & CO. 35,127 2,191,000 0.15%
82 Gateway Advisory, LLC 41,629 2,597,000 0.18%
83 STEPHENS INC /AR/ 41,924 2,616,000 0.18%
84 Commonwealth Equity Services, Inc 43,332 2,704,000 0.19%
85 Private Advisor Group, LLC 43,872 2,790,000 0.20%
86 SUSQUEHANNA INTERNATIONAL GROUP, LLP 44,957 2,805,000 0.20%
87 Tower Research Capital LLC (TRC) 45,434 2,834,000 0.20%
88 BB&T SECURITIES, LLC 48,787 3,043,000 0.21%
89 EP Wealth Advisors, LLC 54,561 3,404,000 0.24%
90 ADVISOR GROUP, INC. 64,044 3,995,000 0.28%
91 First Heartland Consultants, Inc. 66,106 4,124,000 0.29%
92 BAIRD FINANCIAL GROUP, INC. 66,962 4,178,000 0.29%
93 BENJAMIN F. EDWARDS & COMPANY, INC. 75,103 4,686,000 0.33%
94 NewEdge Advisors, LLC 76,300 4,853,444 0.34%
95 Cambridge Investment Research Advisors, Inc. 80,060 4,995,000 0.35%
96 Transamerica Financial Advisors, LLC 82,940 5,175,000 0.36%
97 LADENBURG THALMANN FINANCIAL SERVICES INC. 89,339 5,638,000 0.40%
98 CWM, LLC 94,483 5,895,000 0.42%
99 JANE STREET GROUP, LLC 97,123 6,060,000 0.43%
100 HL FINANCIAL SERVICES LLC 128,956 8,046,000 0.57%
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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.