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 (2015Q4)
Portfolio Summary: 32 Institutional holders with a total value of $192,046,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 FIRST TRUST ADVISORS LP 3,448,846 138,333,000 72.03%
2 WELLS FARGO & COMPANY/MN 269,683 10,817,000 5.63%
3 MORGAN STANLEY 211,366 8,478,000 4.41%
4 STIFEL FINANCIAL CORP 4,195 7,762,000 4.04%
5 ATWOOD & PALMER INC 177,385 7,115,000 3.70%
6 SG Americas Securities, LLC 76,611 3,073,000 1.60%
7 SUSQUEHANNA INTERNATIONAL GROUP, LLP 71,528 2,862,000 1.49%
8 UBS Group AG 54,590 2,190,000 1.14%
9 BANK OF AMERICA CORP /DE/ 49,216 1,974,000 1.03%
10 OLD MISSION CAPITAL LLC 33,458 1,342,000 0.70%
11 RAYMOND JAMES & ASSOCIATES 30,932 1,241,000 0.65%
12 ROYAL BANK OF CANADA 26,249 1,053,000 0.55%
13 JANE STREET GROUP, LLC 22,370 897,000 0.47%
14 Virtu KCG Holdings LLC 21,339 856,000 0.45%
15 Janney Montgomery Scott LLC 19,666 789,000 0.41%
16 LPL Financial LLC 15,716 618,000 0.32%
17 BENJAMIN F. EDWARDS & COMPANY, INC. 14,310 574,000 0.30%
18 CITADEL ADVISORS LLC 7,844 314,000 0.16%
19 BB&T SECURITIES, LLC 7,463 299,000 0.16%
20 Yorktown Management & Research Co Inc 7,000 280,000 0.15%
21 JPMORGAN CHASE & CO 6,559 262,000 0.14%
22 GOLDMAN SACHS GROUP INC 6,520 262,000 0.14%
23 AFAM CAPITAL, INC. 6,127 246,000 0.13%
24 AMERIPRISE FINANCIAL INC 5,158 207,000 0.11%
25 FLOW TRADERS U.S. LLC 2,150 86,000 0.04%
26 CITIGROUP INC 963 39,000 0.02%
27 Tower Research Capital LLC (TRC) 708 28,000 0.01%
28 MSI Financial Services Inc 674 27,000 0.01%
29 PNC FINANCIAL SERVICES GROUP, INC. 306 12,000 0.01%
30 WFG Advisors, LP 251 10,000 0.01%
31 Parallax Volatility Advisers, L.P. 1 0 0.00%
32 IFP ADVISORS, INC 7 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.