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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 (2017Q1)
Portfolio Summary: 31 Institutional holders with a total value of $83,960,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 2,445,736 33,825,000 40.29%
2 MORGAN STANLEY 651,161 9,006,000 10.73%
3 GUGGENHEIM CAPITAL LLC 482,150 6,668,000 7.94%
4 Invesco Ltd. 462,151 6,392,000 7.61%
5 Gradient Investments LLC 372,434 5,151,000 6.14%
6 WELLS FARGO & COMPANY/MN 239,501 3,312,000 3.94%
7 STIFEL FINANCIAL CORP 208,315 2,876,000 3.43%
8 BAILLIE GIFFORD & CO 183,676 2,540,000 3.03%
9 Westchester Capital Management, LLC 165,009 2,282,000 2.72%
10 AMUNDI ASSET MANAGEMENT US, INC. 150,000 2,075,000 2.47%
11 Advisors Asset Management, Inc. 115,621 1,599,000 1.90%
12 RAYMOND JAMES & ASSOCIATES 109,847 1,519,000 1.81%
13 LPL Financial LLC 102,247 1,404,000 1.67%
14 COHEN & STEERS, INC. 83,879 1,160,000 1.38%
15 Raymond James Financial Services Advisors, Inc. 64,445 891,000 1.06%
16 JPMORGAN CHASE & CO 54,120 748,000 0.89%
17 Cetera Advisors LLC 38,374 530,000 0.63%
18 INVESTMENT CENTERS OF AMERICA INC 19,030 264,000 0.31%
19 GOLDMAN SACHS GROUP INC 19,041 263,000 0.31%
20 SHUFRO ROSE & CO LLC 18,600 257,000 0.31%
21 CITIGROUP INC 12,562 174,000 0.21%
22 UNITED CAPITAL FINANCIAL ADVISORS, LLC 11,850 164,000 0.20%
23 ROYAL BANK OF CANADA 11,345 157,000 0.19%
24 AMERIPRISE FINANCIAL INC 10,969 152,000 0.18%
25 Cambridge Investment Research Advisors, Inc. 10,947 151,000 0.18%
26 LADENBURG THALMANN FINANCIAL SERVICES INC. 10,114 140,000 0.17%
27 BENJAMIN F. EDWARDS & COMPANY, INC. 7,587 105,000 0.13%
28 ENVESTNET ASSET MANAGEMENT INC 4,504 62,000 0.07%
29 Apriem Advisors 4,000 55,000 0.07%
30 MANUFACTURERS LIFE INSURANCE COMPANY, THE 2,400 33,000 0.04%
31 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 350 5,000 0.01%

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.