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

Institutional Holders (2016Q3)
Portfolio Summary: 35 Institutional holders with a total value of $111,912,441.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 FIRST TRUST ADVISORS LP 3,015,611 91,463,000 81.73%
2 WELLS FARGO & COMPANY/MN 244,407 7,413,000 6.62%
3 MORGAN STANLEY 117,161 3,553,000 3.17%
4 UBS Group AG 48,686 1,477,000 1.32%
5 JANE STREET GROUP, LLC 33,743 1,023,000 0.91%
6 BANK HAPOALIM BM 27,180 824,000 0.74%
7 Virtu KCG Holdings LLC 24,785 752,000 0.67%
8 Janney Montgomery Scott LLC 24,072 730,000 0.65%
9 ROYAL BANK OF CANADA 20,537 623,000 0.56%
10 BANK OF AMERICA CORP /DE/ 19,448 590,000 0.53%
11 BENJAMIN F. EDWARDS & COMPANY, INC. 17,728 538,000 0.48%
12 CITADEL ADVISORS LLC 16,302 494,000 0.44%
13 LPL Financial LLC 16,015 492,000 0.44%
14 OLD MISSION CAPITAL LLC 11,563 351,000 0.31%
15 AMERIPRISE FINANCIAL INC 10,976 333,000 0.30%
16 RAYMOND JAMES & ASSOCIATES 10,402 315,000 0.28%
17 GOLDMAN SACHS GROUP INC 8,626 262,000 0.23%
18 SUSQUEHANNA INTERNATIONAL GROUP, LLP 7,329 222,000 0.20%
19 FLOW TRADERS U.S. LLC 6,938 210,000 0.19%
20 CITIGROUP INC 1,938 59,000 0.05%
21 MSI Financial Services Inc 1,464 45,000 0.04%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 776 24,000 0.02%
23 CT Financial Advisors LLC 690 20,921 0.02%
24 ADVISOR GROUP, INC. 591 18,000 0.02%
25 ATWOOD & PALMER INC 480 15,000 0.01%
26 Lowe Wealth Advisors, LLC 381 12,000 0.01%
27 Creative Planning 382 12,000 0.01%
28 WFG Advisors, LP 335 10,000 0.01%
29 Tower Research Capital LLC (TRC) 277 8,000 0.01%
30 PNC FINANCIAL SERVICES GROUP, INC. 225 7,000 0.01%
31 IFP ADVISORS, INC 214 6,000 0.01%
32 Gradient Investments LLC 158 5,000 0.00%
33 Winslow, Evans & Crocker, Inc. 116 3,520 0.00%
34 CRIBSTONE CAPITAL MANAGEMENT, LLC 55 2,000 0.00%
35 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.