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

Institutional Holders (2016Q1)
Portfolio Summary: 16 Institutional holders with a total value of $5,844,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 LPL Financial LLC 61,126 1,584,000 27.10%
2 RAYMOND JAMES & ASSOCIATES 42,231 1,097,000 18.77%
3 ROYAL BANK OF CANADA 32,625 847,000 14.49%
4 BANK OF AMERICA CORP /DE/ 30,701 797,000 13.64%
5 Cambridge Investment Research Advisors, Inc. 20,427 530,000 9.07%
6 GOLDMAN SACHS GROUP INC 16,338 424,000 7.26%
7 MORGAN STANLEY 6,358 165,000 2.82%
8 UBS Group AG 6,158 160,000 2.74%
9 WFG Advisors, LP 3,107 81,000 1.39%
10 WELLS FARGO & COMPANY/MN 2,400 62,000 1.06%
11 PNC FINANCIAL SERVICES GROUP, INC. 1,676 44,000 0.75%
12 D.A. DAVIDSON & CO. 1,075 27,000 0.46%
13 AMERICAN INTERNATIONAL GROUP, INC. 633 16,000 0.27%
14 MSI Financial Services Inc 300 8,000 0.14%
15 CITIGROUP INC 68 2,000 0.03%
16 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.