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

Institutional Holders (2016Q2)
Portfolio Summary: 29 Institutional holders with a total value of $29,359,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 323,496 9,029,000 30.75%
2 MORGAN STANLEY 204,107 5,696,000 19.40%
3 VSR Financial Services, Inc. 131,055 3,658,000 12.46%
4 SUSQUEHANNA INTERNATIONAL GROUP, LLP 89,804 2,497,000 8.51%
5 LPL Financial LLC 50,955 1,411,000 4.81%
6 BANK OF AMERICA CORP /DE/ 43,540 1,215,000 4.14%
7 BENJAMIN F. EDWARDS & COMPANY, INC. 39,587 1,105,000 3.76%
8 UBS Group AG 32,928 919,000 3.13%
9 AMERIPRISE FINANCIAL INC 25,738 718,000 2.45%
10 Commonwealth Equity Services, Inc 19,015 531,000 1.81%
11 Raymond James Financial Services Advisors, Inc. 16,301 455,000 1.55%
12 ROYAL BANK OF CANADA 15,553 434,000 1.48%
13 RAYMOND JAMES & ASSOCIATES 9,270 259,000 0.88%
14 M&T BANK CORP 8,899 248,000 0.84%
15 CONFLUENCE INVESTMENT MANAGEMENT LLC 8,583 240,000 0.82%
16 LVZ, Inc. 7,949 222,000 0.76%
17 Cambridge Investment Research Advisors, Inc. 7,616 213,000 0.73%
18 LADENBURG THALMANN FINANCIAL SERVICES INC. 6,425 179,000 0.61%
19 WFG Advisors, LP 4,885 136,000 0.46%
20 ADVISOR GROUP, INC. 1,987 55,000 0.19%
21 D.A. DAVIDSON & CO. 1,838 51,000 0.17%
22 INTEGRATED WEALTH MANAGEMENT 1,500 42,000 0.14%
23 MSI Financial Services Inc 350 10,000 0.03%
24 Hanson & Doremus Investment Management 360 10,000 0.03%
25 PNC FINANCIAL SERVICES GROUP, INC. 237 7,000 0.02%
26 Tower Research Capital LLC (TRC) 268 7,000 0.02%
27 CITIGROUP INC 222 6,000 0.02%
28 IFP ADVISORS, INC 200 6,000 0.02%
29 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.