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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 (2016Q4)
Portfolio Summary: 47 Institutional holders with a total value of $101,341,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 2,137,479 29,561,000 29.17%
2 BAILLIE GIFFORD & CO 800,891 11,076,000 10.93%
3 MORGAN STANLEY 653,371 9,037,000 8.92%
4 GUGGENHEIM CAPITAL LLC 555,210 7,679,000 7.58%
5 Invesco Ltd. 521,922 7,218,000 7.12%
6 UBS Group AG 382,015 5,283,000 5.21%
7 Gradient Investments LLC 328,853 4,548,000 4.49%
8 WELLS FARGO & COMPANY/MN 257,679 3,564,000 3.52%
9 Westchester Capital Management, LLC 252,450 3,491,000 3.44%
10 Advisors Asset Management, Inc. 199,530 2,759,000 2.72%
11 STIFEL FINANCIAL CORP 197,416 2,726,000 2.69%
12 Klingman & Associates, LLC 135,892 1,879,000 1.85%
13 JPMORGAN CHASE & CO 129,567 1,792,000 1.77%
14 AUSDAL FINANCIAL PARTNERS, INC. 114,030 1,577,000 1.56%
15 LPL Financial LLC 99,489 1,377,000 1.36%
16 RAYMOND JAMES & ASSOCIATES 99,347 1,374,000 1.36%
17 COHEN & STEERS, INC. 83,879 1,160,000 1.14%
18 AMUNDI ASSET MANAGEMENT US, INC. 69,400 960,000 0.95%
19 Raymond James Financial Services Advisors, Inc. 63,470 878,000 0.87%
20 Cetera Advisors LLC 34,483 476,000 0.47%
21 GOLDMAN SACHS GROUP INC 29,641 410,000 0.40%
22 INVESTMENT CENTERS OF AMERICA INC 19,030 264,000 0.26%
23 SHUFRO ROSE & CO LLC 18,600 257,000 0.25%
24 CITIGROUP INC 14,343 198,000 0.20%
25 CREDIT SUISSE AG/ 12,999 180,000 0.18%
26 UNITED CAPITAL FINANCIAL ADVISORS, LLC 11,850 164,000 0.16%
27 Cambridge Investment Research Advisors, Inc. 11,567 160,000 0.16%
28 AMERIPRISE FINANCIAL INC 11,242 155,000 0.15%
29 ROYAL BANK OF CANADA 11,040 153,000 0.15%
30 GENEOS WEALTH MANAGEMENT INC. 11,005 152,000 0.15%
31 CORIENT CAPITAL PARTNERS, LLC 10,703 148,000 0.15%
32 LADENBURG THALMANN FINANCIAL SERVICES INC. 10,070 139,000 0.14%
33 BENJAMIN F. EDWARDS & COMPANY, INC. 7,572 105,000 0.10%
34 IFP ADVISORS, INC 6,980 97,000 0.10%
35 GLOBAL RETIREMENT PARTNERS, LLC 5,287 73,000 0.07%
36 ENVESTNET ASSET MANAGEMENT INC 4,504 62,000 0.06%
37 Apriem Advisors 4,000 55,000 0.05%
38 NEXT Financial Group, Inc 3,315 46,000 0.05%
39 MANUFACTURERS LIFE INSURANCE COMPANY, THE 2,400 33,000 0.03%
40 SOWELL FINANCIAL SERVICES LLC 1,353 19,000 0.02%
41 ACROSPIRE INVESTMENT MANAGEMENT LLC 1,100 15,000 0.01%
42 Cordasco Financial Network 1,100 15,000 0.01%
43 STEWARD PARTNERS INVESTMENT ADVISORY, LLC 925 12,000 0.01%
44 PENSERRA CAPITAL MANAGEMENT LLC 425 5,000 0.00%
45 WFG Advisors, LP 394 5,000 0.00%
46 MSI Financial Services Inc 270 4,000 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.