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

Institutional Holders (2016Q1)
Portfolio Summary: 27 Institutional holders with a total value of $23,089,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 214,924 6,055,000 26.22%
2 WELLS FARGO & COMPANY/MN 185,930 5,238,000 22.69%
3 LPL Financial LLC 93,672 2,564,000 11.10%
4 BENJAMIN F. EDWARDS & COMPANY, INC. 40,403 1,138,000 4.93%
5 JANE STREET GROUP, LLC 39,824 1,122,000 4.86%
6 UBS Group AG 33,125 933,000 4.04%
7 BANK OF AMERICA CORP /DE/ 29,859 841,000 3.64%
8 AMERIPRISE FINANCIAL INC 27,434 773,000 3.35%
9 SUSQUEHANNA INTERNATIONAL GROUP, LLP 25,609 721,000 3.12%
10 RAYMOND JAMES & ASSOCIATES 23,553 663,000 2.87%
11 Commonwealth Equity Services, Inc 19,551 551,000 2.39%
12 ROYAL BANK OF CANADA 16,204 456,000 1.97%
13 GOLDMAN SACHS GROUP INC 15,716 443,000 1.92%
14 CORNERSTONE WEALTH MANAGEMENT, LLC 12,301 325,000 1.41%
15 LADENBURG THALMANN FINANCIAL SERVICES INC. 10,426 294,000 1.27%
16 CONFLUENCE INVESTMENT MANAGEMENT LLC 9,288 262,000 1.13%
17 LVZ, Inc. 8,020 226,000 0.98%
18 Cambridge Investment Research Advisors, Inc. 7,550 213,000 0.92%
19 WFG Advisors, LP 4,881 138,000 0.60%
20 AMERICAN INTERNATIONAL GROUP, INC. 1,987 56,000 0.24%
21 D.A. DAVIDSON & CO. 1,493 42,000 0.18%
22 CITIGROUP INC 422 12,000 0.05%
23 MSI Financial Services Inc 350 10,000 0.04%
24 PNC FINANCIAL SERVICES GROUP, INC. 237 7,000 0.03%
25 IFP ADVISORS, INC 200 6,000 0.03%
26 Hanson & Doremus Investment Management 360 0 0.00%
27 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.