Dark
Light
System
Security
FIRST TR EXCH TRD ALPHA FD I
FIRST TR EXCH TRD ALPHA FD I. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 28 Institutional holders with a total value of $175,071,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 FIRST TRUST ADVISORS LP 3,510,493 130,941,000 74.79%
2 ATWOOD & PALMER INC 327,594 12,219,000 6.98%
3 WELLS FARGO & COMPANY/MN 270,442 10,087,000 5.76%
4 MORGAN STANLEY 215,133 8,024,000 4.58%
5 UBS Group AG 67,858 2,531,000 1.45%
6 BANK OF AMERICA CORP /DE/ 50,114 1,869,000 1.07%
7 SUSQUEHANNA INTERNATIONAL GROUP, LLP 43,837 1,635,000 0.93%
8 JANE STREET GROUP, LLC 41,116 1,534,000 0.88%
9 RAYMOND JAMES & ASSOCIATES 32,039 1,195,000 0.68%
10 CITADEL ADVISORS LLC 23,960 894,000 0.51%
11 Janney Montgomery Scott LLC 20,911 780,000 0.45%
12 BENJAMIN F. EDWARDS & COMPANY, INC. 15,036 561,000 0.32%
13 Virtu KCG Holdings LLC 13,449 502,000 0.29%
14 ROYAL BANK OF CANADA 12,155 453,000 0.26%
15 JPMORGAN CHASE & CO 10,557 394,000 0.23%
16 BB&T SECURITIES, LLC 8,391 312,000 0.18%
17 LPL Financial LLC 7,745 297,000 0.17%
18 Yorktown Management & Research Co Inc 7,000 261,000 0.15%
19 AFAM CAPITAL, INC. 6,806 254,000 0.15%
20 GOLDMAN SACHS GROUP INC 6,520 243,000 0.14%
21 CITIGROUP INC 733 27,000 0.02%
22 MSI Financial Services Inc 415 15,000 0.01%
23 MUFG Americas Holdings Corp 387 14,000 0.01%
24 PNC FINANCIAL SERVICES GROUP, INC. 306 11,000 0.01%
25 WFG Advisors, LP 250 9,000 0.01%
26 Tower Research Capital LLC (TRC) 195 7,000 0.00%
27 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 41 2,000 0.00%
28 Parallax Volatility Advisers, L.P. 1 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.