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

Institutional Holders (2014Q4)
Portfolio Summary: 21 Institutional holders with a total value of $44,078,202.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 673,971 20,880,000 47.37%
2 GOLDMAN SACHS GROUP INC 343,167 10,631,000 24.12%
3 WELLS FARGO & COMPANY/MN 228,149 7,068,000 16.04%
4 LPL Financial LLC 39,369 1,220,000 2.77%
5 UBS Group AG 35,557 1,102,000 2.50%
6 SUSQUEHANNA INTERNATIONAL GROUP, LLP 20,383 631,000 1.43%
7 Commonwealth Equity Services, Inc 18,210 564,000 1.28%
8 AMERIPRISE FINANCIAL INC 14,677 445,000 1.01%
9 ROYAL BANK OF CANADA 12,205 378,000 0.86%
10 BENJAMIN F. EDWARDS & COMPANY, INC. 10,539 326,000 0.74%
11 M&T BANK CORP 9,593 297,000 0.67%
12 VSR Financial Services, Inc. 6,904 214,000 0.49%
13 BANK OF AMERICA CORP /DE/ 5,510 171,000 0.39%
14 AMERICAN INTERNATIONAL GROUP, INC. 2,350 72,803 0.17%
15 WFG Advisors, LP 1,350 42,000 0.10%
16 D.A. DAVIDSON & CO. 387 11,000 0.02%
17 MSI Financial Services Inc 320 10,000 0.02%
18 NATIONAL PLANNING CORP 230 6,893 0.02%
19 Simplicity Solutions, LLC 210 6,506 0.01%
20 B. Riley Wealth Advisors, Inc. 80 2,000 0.00%
21 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.