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

Institutional Holders (2014Q2)
Portfolio Summary: 26 Institutional holders with a total value of $53,784,478.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 HAYS ADVISORY LLC 690,026 22,136,000 41.16%
2 MORGAN STANLEY 393,804 12,634,000 23.49%
3 WELLS FARGO & COMPANY/MN 272,728 8,749,000 16.27%
4 SUSQUEHANNA INTERNATIONAL GROUP, LLP 90,699 2,910,000 5.41%
5 JANE STREET GROUP, LLC 57,102 1,832,000 3.41%
6 LPL Financial LLC 23,186 744,000 1.38%
7 Visionary Asset Management, Inc. 19,637 630,000 1.17%
8 STEPHENS INC /AR/ 18,757 602,000 1.12%
9 Commonwealth Equity Services, Inc 16,083 516,000 0.96%
10 DRW Securities, LLC 14,148 454,000 0.84%
11 STIFEL FINANCIAL CORP 14,071 452,000 0.84%
12 Private Advisor Group, LLC 13,182 423,000 0.79%
13 ROYAL BANK OF CANADA 12,569 403,000 0.75%
14 First Horizon Advisors, Inc. 12,082 387,000 0.72%
15 BANK OF AMERICA CORP /DE/ 8,125 261,000 0.49%
16 AMERIPRISE FINANCIAL INC 6,766 217,000 0.40%
17 Placemark Investments, Inc. 3,938 126,000 0.23%
18 UBS AG 2,579 82,000 0.15%
19 B. Riley Wealth Management, Inc. 2,304 73,000 0.14%
20 AMERICAN INTERNATIONAL GROUP, INC. 1,480 47,478 0.09%
21 Ground Swell Capital, LLC 1,249 40,000 0.07%
22 ENVESTNET ASSET MANAGEMENT INC 1,006 32,000 0.06%
23 BENJAMIN F. EDWARDS & COMPANY, INC. 532 17,000 0.03%
24 MSI Financial Services Inc 320 10,000 0.02%
25 JNBA Financial Advisors 136 4,000 0.01%
26 NEXT Financial Group, Inc 87 3,000 0.01%

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.