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FIRST TRUST
FIRST TRUST. Institutional holdings reported to the SEC.

Institutional Holders (2016Q1)
Portfolio Summary: 18 Institutional holders with a total value of $46,582,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 389,212 20,590,000 44.20%
2 LPL Financial LLC 139,664 7,412,000 15.91%
3 RAYMOND JAMES & ASSOCIATES 74,559 3,944,000 8.47%
4 JANE STREET GROUP, LLC 68,246 3,610,000 7.75%
5 GOLDMAN SACHS GROUP INC 50,000 2,645,000 5.68%
6 First Allied Advisory Services, Inc. 49,120 2,598,000 5.58%
7 MORGAN STANLEY 37,270 1,971,000 4.23%
8 USCA RIA LLC 47,610 900,000 1.93%
9 GFS Advisors, LLC 47,610 900,000 1.93%
10 Whitnell & Co. 10,100 534,000 1.15%
11 LVZ, Inc. 9,823 520,000 1.12%
12 NewSquare Capital LLC 4,820 255,000 0.55%
13 Cetera Advisors LLC 4,250 224,000 0.48%
14 LADENBURG THALMANN FINANCIAL SERVICES INC. 3,258 173,000 0.37%
15 ENVESTNET ASSET MANAGEMENT INC 2,951 156,000 0.33%
16 MSI Financial Services Inc 2,145 113,000 0.24%
17 Tower Research Capital LLC (TRC) 416 22,000 0.05%
18 ROYAL BANK OF CANADA 275 15,000 0.03%

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.