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FIRST TR EXCHANGE-TRADED FD
FIRST TR EXCHANGE-TRADED FD. Institutional holdings reported to the SEC.

Institutional Holders (2015Q1)
Portfolio Summary: 32 Institutional holders with a total value of $89,297,019.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,787,807 34,326,000 38.44%
2 ROYAL BANK OF CANADA 1,017,950 19,544,000 21.89%
3 UBS Group AG 463,116 8,892,000 9.96%
4 LPL Financial LLC 240,946 4,631,000 5.19%
5 BANK OF AMERICA CORP /DE/ 212,715 4,084,000 4.57%
6 Transamerica Financial Advisors, LLC 156,487 3,005,000 3.37%
7 AMERICAN INTERNATIONAL GROUP, INC. 126,876 2,436,019 2.73%
8 FIRST TRUST ADVISORS LP 95,628 1,836,000 2.06%
9 OLD NATIONAL BANCORP /IN/ 57,890 1,111,000 1.24%
10 RAYMOND JAMES & ASSOCIATES 57,098 1,096,000 1.23%
11 Cambridge Investment Research Advisors, Inc. 57,031 1,095,000 1.23%
12 JPMORGAN CHASE & CO 45,471 873,000 0.98%
13 STIFEL FINANCIAL CORP 41,174 791,000 0.89%
14 Horizon Investments, LLC 38,462 738,000 0.83%
15 HL FINANCIAL SERVICES LLC 37,950 729,000 0.82%
16 MSI Financial Services Inc 28,964 556,000 0.62%
17 GOLDMAN SACHS GROUP INC 28,897 555,000 0.62%
18 Aspen Investment Management Inc 26,490 509,000 0.57%
19 Commonwealth Equity Services, Inc 24,653 473,000 0.53%
20 ADVANTAGE INVESTMENT MANAGEMENT, LLC 19,927 383,000 0.43%
21 Janney Montgomery Scott LLC 18,529 356,000 0.40%
22 Brown Advisory Securities, LLC 12,800 244,000 0.27%
23 Cetera Advisors LLC 11,694 224,000 0.25%
24 Formidable Asset Management, LLC 10,750 205,000 0.23%
25 IFC Holdings Incorporated/FL 10,555 204,000 0.23%
26 D.A. DAVIDSON & CO. 8,972 172,000 0.19%
27 LADENBURG THALMANN FINANCIAL SERVICES INC. 6,141 119,000 0.13%
28 BENJAMIN F. EDWARDS & COMPANY, INC. 2,300 44,000 0.05%
29 MANAGED ACCOUNT ADVISORS LLC 1,775 34,000 0.04%
30 PNC FINANCIAL SERVICES GROUP, INC. 1,000 20,000 0.02%
31 WELLS FARGO & COMPANY/MN 430 8,000 0.01%
32 CITIGROUP INC 200 4,000 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.