Vault-13

FIRST TR EXCHANGE-TRADED FD FBT

NY ARCA BIOTECH · ETP · CUSIP 33733E203

243 institutional holders -8 vs Q2 2023
4,618,0734.6m shares reported held*
$644.8mreported value*
19 new 55 added 91 reduced 28 sold out net sold ≈ $31.2m (-705 shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once ($299.8k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $139.62. Options: 3 managers hold calls ($1.4m notional), 1 hold puts ($29.3k).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 219Q4 22: 243Q1 23: 245Q2 23: 251Q3 23: 243243Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022219
Q4 2022243
Q1 2023245
Q2 2023251
Q3 2023243

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
2000200Q4 22: 98 bought or addedQ4 22: 85 cut or sold outQ4 22Q1 23: 78 bought or addedQ1 23: 112 cut or sold outQ1 23Q2 23: 82 bought or addedQ2 23: 107 cut or sold outQ2 23Q3 23: 74 bought or addedQ3 23: 119 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20229885
Q1 202378112
Q2 202382107
Q3 202374119

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$500k$1m$1.5m$2mQ4 22 calls: $894.0kQ4 22 puts: $0Q4 22P/C 0.00Q1 23 calls: $1.8mQ1 23 puts: $310.1kQ1 23P/C 0.17Q2 23 calls: $1.7mQ2 23 puts: $0Q2 23P/C 0.00Q3 23 calls: $1.4mQ3 23 puts: $29.3kQ3 23P/C 0.02
Numbers
QuarterCallsPutsP/C
Q4 2022$894.0k$00.00
Q1 2023$1.8m$310.1k0.17
Q2 2023$1.7m$00.00
Q3 2023$1.4m$29.3k0.02

Biggest buyers

SILVER OAK SECURITIES, INCORPORATED New +429,148+429.1k
HighTower Advisors, LLC New +18,527+18.5k
GREAT VALLEY ADVISOR GROUP, INC. Added +17,248+17.2k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added +13,971+14.0k
Atria Investments, Inc New +8,292+8.3k
Cetera Advisor Networks LLC Added +7,798+7.8k
COMERICA BANK New +5,777+5.8k
Beacon Pointe Advisors, LLC New +5,757+5.8k
Berger Financial Group, Inc Added +3,560+3.6k
IFG Advisory, LLC New +3,093+3.1k

Biggest sellers

MORGAN STANLEY Reduced -198,634-198.6k
Raymond James Financial Services Advisors, Inc. Reduced -72,870-72.9k
D.A. DAVIDSON & CO. Reduced -36,719-36.7k
BANK OF AMERICA CORP /DE/ Reduced -35,684-35.7k
BLAIR WILLIAM & CO/IL Reduced -16,147-16.1k
JANE STREET GROUP, LLC Sold out -15,351-15.4k
TWO SIGMA INVESTMENTS, LP Sold out -14,600-14.6k
LPL Financial LLC Reduced -13,110-13.1k
STIFEL FINANCIAL CORP Reduced -11,289-11.3k
CITADEL ADVISORS LLC Reduced -10,829-10.8k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $1.1m7.5k shares
CITADEL ADVISORS LLC Added $336.6k2.3k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CITADEL ADVISORS LLC New $29.3k200 shares

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
FIRST TRUST PORTFOLIOS LP 13G · institution -2.9 pts · filed 2026-10-19 27.1% -2.9 pts 3.0m≈ $731.6m 2026-10-19

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 647,127647.1k $94.7m $94.7m 0.01% Reduced -198.6k -198,634
2 WELLS FARGO & COMPANY/MN 0.02% of their portfolio SAN FRANCISCO, CA 447,346447.3k $65.5m $65.5m 0.02% Added +1.5k +1,529
3 SILVER OAK SECURITIES, INCORPORATED 6.89% of their portfolio JACKSON, TN 429,148429.1k $31.7m $31.7m 6.89% New
4 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 322,219322.2k $47.2m $47.2m 0.01% Reduced -35.7k -35,684
5 UBS Group AG 0.02% of their portfolio ZURICH, V8 268,027268.0k $39.2m $39.2m 0.02% Reduced -8.9k -8,908
6 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 221,881221.9k $32.5m $32.5m 0.01% Reduced -5.6k -5,560
7 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 183,651183.7k $26.9m $26.9m 0.02% Reduced -13.1k -13,110
8 Raymond James Financial Services Advisors, Inc. 0.05% of their portfolio ST. PETERSBURG, FL 171,851171.9k $25.2m $25.2m 0.05% Reduced -72.9k -72,870
9 RAYMOND JAMES & ASSOCIATES 0.02% of their portfolio ST PETERSBURG, FL 125,573125.6k $18.4m $18.4m 0.02% Reduced -6.3k -6,328
10 Berger Financial Group, Inc 1.92% of their portfolio PLYMOUTH, MN 113,978114.0k $16.7m $16.7m 1.92% Added +3.6k +3,560
11 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 99,66999.7k $14.6m $14.6m 0.02% Added +783 +783
12 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 69,15969.2k $10.1m $10.1m 0.02% Reduced -3.3k -3,265
13 Janney Montgomery Scott LLC 0.03% of their portfolio PHILADELPHIA, PA 58,60558.6k $8.6m $8.6m 0.03% Added +1.7k +1,651
14 GREAT VALLEY ADVISOR GROUP, INC. 0.28% of their portfolio WILMINGTON, DE 46,04446.0k $6.7m $6.7m 0.28% Added +17.2k +17,248
15 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 43,94843.9k $6.4m $6.4m 0.01% Reduced -11.3k -11,289
16 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 41,32641.3k $6.0m $6.0m 0.00% Reduced -5.1k -5,122
17 D.A. DAVIDSON & CO. 0.06% of their portfolio GREAT FALLS, MT 40,77540.8k $6.0m $6.0m 0.06% Reduced -36.7k -36,719
18 GTS SECURITIES LLC 0.11% of their portfolio NEW YORK, NY 37,47237.5k $5.5m $5.5m 0.11% Added +2.0k +2,017
19 Integrated Wealth Concepts LLC 0.09% of their portfolio WALTHAM, MA 34,88734.9k $5.1m $5.1m 0.09% Reduced -109 -109
20 Prospera Financial Services Inc 0.20% of their portfolio Dallas, TX 34,69734.7k $5.1m $5.1m 0.20% Reduced -2.8k -2,763
21 Hartford Financial Management Inc. 1.25% of their portfolio WEST HARTFORD, CT 33,50833.5k $4.9m $4.9m 1.25% Reduced -275 -275
22 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 32,95333.0k $4.8m $4.8m 0.01% Added +1.5k +1,492
23 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 32,04132.0k $4.7m $4.7m 0.00% Reduced -5.7k -5,665
24 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.01% of their portfolio BALA CYNWYD, PA 31,85631.9k $4.7m $4.7m 0.01% Added +14.0k +13,971
25 Yarbrough Capital, LLC 0.27% of their portfolio FRANKLIN, TN 31,16031.2k $4.6m $4.6m 0.27% Unchanged
26 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 29,36029.4k $4.3m $4.3m 0.02% Reduced -2.6k -2,598
27 McGuire Investment Group, LLC 0.82% of their portfolio WAKEFIELD, RI 29,18429.2k $4.3m $4.3m 0.82% Added +1.5k +1,496
28 RPG Investment Advisory, LLC 0.72% of their portfolio Pleasanton, CA 26,85326.9k $3.9m $3.9m 0.72% Reduced -350 -350
29 MML INVESTORS SERVICES, LLC 0.02% of their portfolio SPRINGFIELD, MA 26,09526.1k $3.8m $3.8m 0.02% Reduced -958 -958
30 Independent Advisor Alliance 0.17% of their portfolio CHARLOTTE, NC 25,72925.7k $3.8m $3.8m 0.17% Added +1.3k +1,284
31 NAVELLIER & ASSOCIATES INC 0.58% of their portfolio Reno, NV 23,27623.3k $3.4m $3.4m 0.58% Added +375 +375
32 SFI Advisors, LLC 3.31% of their portfolio Montclair, NJ 23,17323.2k $3.4m $3.4m 3.31% Added +77 +77
33 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 20,66020.7k $3.0m $3.0m 0.00% Reduced -10.8k -10,829
34 B. Riley Wealth Advisors, Inc. 0.08% of their portfolio MEMPHIS, TN 20,58420.6k $3.0m $3.0m 0.08% Reduced -4.7k -4,725
35 Cetera Advisor Networks LLC 0.02% of their portfolio EL SEGUNDO, CA 20,43320.4k $3.0m $3.0m 0.02% Added +7.8k +7,798
36 BENJAMIN F. EDWARDS & COMPANY, INC. 0.11% of their portfolio ST. LOUIS, MO 20,03520.0k $2.9m $2.9m 0.11% Added +2.6k +2,599
37 Csenge Advisory Group 0.20% of their portfolio CLEARWATER, FL 19,89619.9k $2.9m $2.9m 0.20% Added +964 +964
38 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 18,52718.5k $2.7m $2.7m 0.01% New
39 NewEdge Advisors, LLC 0.03% of their portfolio NEW ORLEANS, LA 17,97918.0k $2.6m $2.6m 0.03% Reduced -943 -943
40 Kestra Advisory Services, LLC 0.02% of their portfolio AUSTIN, TX 16,54716.5k $2.4m $2.4m 0.02% Added +680 +680
41 OPPENHEIMER & CO INC 0.05% of their portfolio NEW YORK, NY 16,19216.2k $2.4m $2.4m 0.05% Added +384 +384
42 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.01% of their portfolio IRVING, TX 14,19314.2k $2.1m $2.1m 0.01% Unchanged
43 RWA WEALTH PARTNERS, LLC 0.04% of their portfolio BOSTON, MA 14,02514.0k $2.1m $2.1m 0.04% Reduced -605 -605
44 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 13,97414.0k $2.0m $2.0m 0.00% Added +1.6k +1,607
45 Ancora Advisors LLC 0.05% of their portfolio Cleveland, OH 13,41613.4k $2.0m $2.0m 0.05% Reduced -1.3k -1,327
46 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 12,30312.3k $1.8m $1.8m 0.02% Reduced -1.5k -1,534
47 BROWN ADVISORY INC 0.00% of their portfolio BALTIMORE, MD 12,28912.3k $1.8m $1.8m 0.00% Reduced -270 -270
48 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 12,11812.1k $1.8m $1.8m 0.00% Added +301 +301
49 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 11,99812.0k $1.8m $1.8m 0.00% Added +1.3k +1,320
50 Clear Harbor Asset Management, LLC 0.17% of their portfolio Stamford, CT 11,31111.3k $1.7m $1.7m 0.17% Reduced -27 -27
51 Quantum Private Wealth, LLC 0.79% of their portfolio TAMPA, FL 11,21211.2k $1.6m $1.6m 0.79% Unchanged
52 Pacific Sun Financial Corp 1.13% of their portfolio LOS ANGELES, CA 11,10111.1k $1.6m $1.6m 1.13% Reduced -240 -240
53 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 10,64810.6k $1.6m $1.6m 0.00% Reduced -26 -26
54 KESTRA PRIVATE WEALTH SERVICES, LLC 0.05% of their portfolio AUSTIN, TX 10,38610.4k $1.5m $1.5m 0.05% Added +254 +254
55 TAP Consulting, LLC 0.39% of their portfolio KIRKWOOD, MO 10,38410.4k $1.5m $1.5m 0.39% Added +1.4k +1,356
56 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 10,19510.2k $1.5m $1.5m 0.00% Reduced -2.5k -2,524
57 McKinley Carter Wealth Services, Inc. 0.12% of their portfolio WHEELING, WV 9,9099.9k $1.5m $1.5m 0.12% Reduced -406 -406
58 MAI Capital Management 0.02% of their portfolio INDEPENDENCE, OH 9,7709.8k $1.4m $1.4m 0.02% Reduced -620 -620
59 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 9,7679.8k $1.4m $1.4m 0.00% Added +927 +927
60 Texas Yale Capital Corp. 0.06% of their portfolio ST. PETERSBURG, FL 9,3009.3k $1.4m $1.4m 0.06% Unchanged
61 PECAUT & CO. 0.54% of their portfolio SIOUX CITY, IA 8,8408.8k $1.3m $1.3m 0.54% Added +65 +65
62 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 8,5818.6k $1.3m $1.3m 0.01% Added +1.1k +1,136
63 JUNCTURE WEALTH STRATEGIES, LLC 0.61% of their portfolio SCOTTSDALE, AZ 8,4588.5k $1.2m $1.2m 0.61% Added +393 +393
64 HARBOUR INVESTMENTS, INC. 0.06% of their portfolio MADISON, WI 8,3648.4k $1.2m $1.2m 0.06% Reduced -298 -298
65 Atria Investments, Inc 0.02% of their portfolio Charlotte, NC 8,2928.3k $1.2m $1.2m 0.02% New
66 Western Wealth Management, LLC 0.10% of their portfolio GOLDEN, CO 8,2668.3k $1.2m $1.2m 0.10% Added +2.7k +2,655
67 Moors & Cabot, Inc. 0.08% of their portfolio BOSTON, MA 8,0558.1k $1.2m $1.2m 0.08% Added +264 +264
68 Waverly Advisors, LLC 0.05% of their portfolio BIRMINGHAM, AL 7,8177.8k $1.1m $1.1m 0.05% Unchanged
69 PINNACLE ASSOCIATES LTD 0.02% of their portfolio NEW YORK, NY 7,7827.8k $1.1m $1.1m 0.02% Reduced -239 -239
70 TWO SIGMA ADVISERS, LP 0.00% of their portfolio NEW YORK, NY 7,4007.4k $1.1m $1.1m 0.00% Reduced -2.8k -2,800
71 Quad-Cities Investment Group, LLC 0.71% of their portfolio DAVENPORT, IA 7,2147.2k $1.1m $1.1m 0.71% Reduced -232 -232
72 NewEdge Wealth, LLC 0.03% of their portfolio STAMFORD, CT 7,1487.1k $1.0m $1.0m 0.03% Added +2.7k +2,724
73 Nilsine Partners, LLC 0.16% of their portfolio GREENWOOD VILLAGE, CO 7,0927.1k $1.0m $1.0m 0.16% Added +119 +119
74 Steward Partners Investment Advisory, LLC 0.02% of their portfolio STAMFORD, CT 7,0617.1k $1.0m $1.0m 0.02% Reduced -1.7k -1,713
75 Wealthspire Retirement, LLC 0.20% of their portfolio ALISO VIEJO, CA 7,0007.0k $1.0m $1.0m 0.20% Unchanged
76 CWM, LLC 0.01% of their portfolio OMAHA, NE 6,6586.7k $974.0k $974.0k 0.01% Added +136 +136
77 SignalPoint Asset Management, LLC 0.30% of their portfolio SPRINGFIELD, MO 6,5106.5k $952.7k $952.7k 0.30% Reduced -41 -41
78 Bedell Frazier Investment Counselling, LLC 0.28% of their portfolio Walnut Creek, CA 6,3536.4k $929.8k $929.8k 0.28% Added +420 +420
79 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 6,2776.3k $918.6k $918.6k 0.00% Reduced -1.4k -1,394
80 Anson Capital, Inc. 1.72% of their portfolio TYRONE, GA 6,1786.2k $904.2k $904.2k 1.72% Added +1.1k +1,136
81 WMG Financial Advisors, LLC 0.75% of their portfolio Knoxville, TN 6,0366.0k $883.3k $883.3k 0.75% Reduced -303 -303
82 J.P. Morgan Private Wealth Advisors LLC 0.00% of their portfolio SAN FRANCISCO, CA 6,0326.0k $882.8k $882.8k 0.00% Added +115 +115
83 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 6,0006.0k $878.0k $878.0k 0.00% Added +3.0k +3,000
84 Outlook Wealth Advisors, LLC 0.33% of their portfolio SHENANDOAH, TX 5,8525.9k $856.4k $856.4k 0.33% Added +47 +47
85 COMERICA BANK 0.00% of their portfolio DALLAS, TX 5,7775.8k $845.4k $845.4k 0.00% New
86 Beacon Pointe Advisors, LLC 0.01% of their portfolio NEWPORT BEACH, CA 5,7575.8k $842.5k $842.5k 0.01% New
87 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 5,6785.7k $831.0k $831.0k 0.01% Reduced -406 -406
88 WADE G W & INC 0.03% of their portfolio Wellesley, MA 5,6205.6k $822.0k $822.0k 0.03% Unchanged
89 Mutual Advisors, LLC 0.03% of their portfolio OMAHA, NE 5,5595.6k $813.6k $813.6k 0.03% Reduced -166 -166
90 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 5,5535.6k $812.8k $812.8k 0.00% Added +681 +681
91 DAYMARK WEALTH PARTNERS, LLC 0.05% of their portfolio CINCINNATI, OH 5,4395.4k $796.0k $796.0k 0.05% Reduced -1.0k -1,003
92 Cerity Partners LLC 0.00% of their portfolio NEW YORK, NY 5,3555.4k $783.7k $783.7k 0.00% Reduced -100 -100
93 First Heartland Consultants, Inc. 0.10% of their portfolio LAKE ST. LOUIS, MO 5,2705.3k $771.0k $771.0k 0.10% Reduced -85 -85
94 CREATIVE FINANCIAL DESIGNS INC /ADV 0.09% of their portfolio KOKOMO, IN 5,1405.1k $752.2k $752.2k 0.09% Added +175 +175
95 Integrated Advisors Network LLC 0.05% of their portfolio DALLAS, TX 5,1175.1k $748.8k $748.8k 0.05% Reduced -5.3k -5,348
96 OneDigital Investment Advisors LLC 0.02% of their portfolio OVERLAND PARK, KS 5,0865.1k $744.3k $744.3k 0.02% Reduced -508 -508
97 Sigma Planning Corp 0.03% of their portfolio ANN ARBOR, MI 5,0495.0k $739.0k $739.0k 0.03% Reduced -943 -943
98 Oxbow Advisors, LLC 0.12% of their portfolio Austin, TX 5,0095.0k $733.1k $733.1k 0.12% Reduced -6.6k -6,601
99 IHT Wealth Management, LLC 0.04% of their portfolio Chicago, IL 4,7854.8k $700.3k $700.3k 0.04% Unchanged
100 Davis Investment Partners, LLC 0.37% of their portfolio CHARLOTTE, NC 4,7004.7k $689.0k $689.0k 0.37% Unchanged