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FIRST TR SR FLG RTE INCM FD
FIRST TR SR FLG RTE INCM FD. Institutional holdings reported to the SEC.

Institutional Holders (2016Q2)
Portfolio Summary: 47 Institutional holders with a total value of $101,582,756.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 1,852,692 23,807,000 23.44%
2 BAILLIE GIFFORD & CO 1,330,000 17,091,000 16.82%
3 MORGAN STANLEY 802,339 10,311,000 10.15%
4 GUGGENHEIM CAPITAL LLC 626,768 8,054,000 7.93%
5 Invesco Ltd. 534,201 6,865,000 6.76%
6 UBS Group AG 473,140 6,080,000 5.99%
7 Gradient Investments LLC 274,296 3,525,000 3.47%
8 WELLS FARGO & COMPANY/MN 258,792 3,326,000 3.27%
9 Advisors Asset Management, Inc. 226,904 2,916,000 2.87%
10 RELATIVE VALUE PARTNERS GROUP, LLC 189,965 2,415,000 2.38%
11 STIFEL FINANCIAL CORP 165,703 2,129,000 2.10%
12 Klingman & Associates, LLC 139,762 1,796,000 1.77%
13 Yorktown Management & Research Co Inc 117,900 1,515,000 1.49%
14 AUSDAL FINANCIAL PARTNERS, INC. 114,355 1,469,000 1.45%
15 COHEN & STEERS, INC. 106,340 1,366,000 1.34%
16 LPL Financial LLC 94,113 1,217,000 1.20%
17 JPMORGAN CHASE & CO 85,552 1,099,000 1.08%
18 Westchester Capital Management, LLC 81,800 1,051,000 1.03%
19 RAYMOND JAMES & ASSOCIATES 73,983 951,000 0.94%
20 Raymond James Financial Services Advisors, Inc. 63,344 814,000 0.80%
21 Cetera Advisors LLC 50,421 650,000 0.64%
22 CITIGROUP INC 42,260 543,000 0.53%
23 CREDIT SUISSE AG/ 36,107 464,000 0.46%
24 GOLDMAN SACHS GROUP INC 33,615 432,000 0.43%
25 Shaker Financial Services, LLC 22,342 287,000 0.28%
26 DEUTSCHE BANK AG\ 21,901 281,000 0.28%
27 INVESTMENT CENTERS OF AMERICA INC 16,675 213,000 0.21%
28 SHUFRO ROSE & CO LLC 16,100 207,000 0.20% PRN
29 UNITED CAPITAL FINANCIAL ADVISORS, LLC 11,850 154,000 0.15%
30 GENEOS WEALTH MANAGEMENT INC. 8,384 107,000 0.11%
31 LADENBURG THALMANN FINANCIAL SERVICES INC. 6,500 84,000 0.08%
32 ROYAL BANK OF CANADA 5,089 66,000 0.06%
33 MSI Financial Services Inc 4,960 64,000 0.06%
34 PNC FINANCIAL SERVICES GROUP, INC. 4,200 54,000 0.05%
35 MANUFACTURERS LIFE INSURANCE COMPANY, THE 3,100 40,000 0.04%
36 BENJAMIN F. EDWARDS & COMPANY, INC. 3,000 39,000 0.04%
37 Apriem Advisors 2,500 32,000 0.03%
38 IFP ADVISORS, INC 1,480 19,000 0.02%
39 Advisory Services Network, LLC 1,205 15,000 0.01%
40 Cordasco Financial Network 1,100 14,000 0.01%
41 ACROSPIRE INVESTMENT MANAGEMENT LLC 800 10,000 0.01%
42 PENSERRA CAPITAL MANAGEMENT LLC 283 4,000 0.00%
43 BRONFMAN E.L. ROTHSCHILD, L.P. 298 4,000 0.00%
44 ADVANTAGE INVESTMENT MANAGEMENT, LLC 150 2,000 0.00%
45 WOLVERINE TRADING LP /BD 59 756 0.00%
46 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 4 0 0.00%
47 ADVISOR GROUP, INC. 22 0 0.00%

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.