Vault-13

FIRST TR EXCHANGE-TRADED ALP FAD

COM SHS · ETP · CUSIP 33733F101

59 institutional holders +6 vs Q2 2023
884,763884.8k shares reported held*
$88.6mreported value*
7 new 12 added 26 reduced 2 sold out net sold ≈ $4.6m (-48.6k 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. Holder counts are more reliable. Implied quarter-end price ≈ $100.13. Options: 1 managers hold calls ($0 notional), 1 hold puts ($0).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 47Q4 22: 57Q1 23: 54Q2 23: 53Q3 23: 5959Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 202247
Q4 202257
Q1 202354
Q2 202353
Q3 202359

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q4 22: 30 bought or addedQ4 22: 19 cut or sold outQ4 22Q1 23: 17 bought or addedQ1 23: 26 cut or sold outQ1 23Q2 23: 18 bought or addedQ2 23: 25 cut or sold outQ2 23Q3 23: 19 bought or addedQ3 23: 28 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20223019
Q1 20231726
Q2 20231825
Q3 20231928

Biggest buyers

Wealth Management Partners, LLC New +22,103+22.1k
Raymond James Financial Services Advisors, Inc. Added +10,971+11.0k
RPg Family Wealth Advisory, LLC New +10,619+10.6k
Virtu Financial LLC New +5,600+5.6k
LPL Financial LLC Added +3,214+3.2k
INDEPENDENT FINANCIAL GROUP, LLC New +2,481+2.5k
Ameritas Advisory Services, LLC New +2,105+2.1k
COMMONWEALTH EQUITY SERVICES, LLC Added +1,418+1.4k
Flaharty Asset Management, LLC New +1,402+1.4k
Gallagher Fiduciary Advisors, LLC Added +1,388+1.4k

Biggest sellers

GOLDMAN SACHS GROUP INC Reduced -50,000-50.0k
CITADEL ADVISORS LLC Reduced -26,864-26.9k
V Wealth Advisors LLC Sold out -9,507-9.5k
IFP Advisors, Inc Reduced -7,255-7.3k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -4,879-4.9k
Kestra Advisory Services, LLC Reduced -3,663-3.7k
ROYAL BANK OF CANADA Reduced -2,396-2.4k
TRUIST FINANCIAL CORP Reduced -1,595-1.6k
D.A. DAVIDSON & CO. Reduced -1,465-1.5k
STIFEL FINANCIAL CORP Reduced -866-866

Biggest calls

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 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.

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 97,35597.4k $9.7m $9.7m 0.02% Added +11.0k +10,971
2 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 78,55978.6k $7.9m $7.9m 0.02% Added +1.4k +1,418
3 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 68,87568.9k $6.9m $6.9m 0.00% Added +3.2k +3,214
4 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 57,45357.5k $5.8m $5.8m 0.00% Added +172 +172
5 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 54,92754.9k $5.5m $5.5m 0.00% Reduced -50.0k -50,000
6 Gallagher Fiduciary Advisors, LLC 0.44% of their portfolio ROLLING MEADOWS, IL 49,74749.7k $5.0m $5.0m 0.44% Added +1.4k +1,388
7 Plotkin Financial Advisors, LLC 4.10% of their portfolio CHEVY CHASE, MD 46,48346.5k $4.7m $4.7m 4.10% Added +250 +250
8 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 39,84239.8k $4.0m $4.0m 0.00% Reduced -2.4k -2,396
9 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 39,10339.1k $3.9m $3.9m 0.01% Reduced -1.6k -1,595
10 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.01% of their portfolio BALA CYNWYD, PA 33,40333.4k $3.3m $3.3m 0.01% Reduced -4.9k -4,879
11 Kowal Investment Group, LLC 0.74% of their portfolio BROOKFIELD, WI 27,38827.4k $2.7m $2.7m 0.74% Reduced -68 -68
12 HARBOUR INVESTMENTS, INC. 0.13% of their portfolio MADISON, WI 26,79726.8k $2.7m $2.7m 0.13% Reduced -401 -401
13 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 26,73326.7k $2.7m $2.7m 0.00% Reduced -105 -105
14 Wealth Management Partners, LLC 1.38% of their portfolio TUCSON, AZ 22,10322.1k $2.2m $2.2m 1.38% New
15 D.A. DAVIDSON & CO. 0.02% of their portfolio GREAT FALLS, MT 19,69519.7k $2.0m $2.0m 0.02% Reduced -1.5k -1,465
16 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 19,33919.3k $1.9m $1.9m 0.00% Reduced -456 -456
17 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 15,50515.5k $1.6m $1.6m 0.00% Reduced -8 -8
18 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 13,40313.4k $1.3m $1.3m 0.01% Reduced -854 -854
19 Stonebridge Financial Planning Group, LLC 0.85% of their portfolio ORLANDO, FL 13,17013.2k $1.3m $1.3m 0.85% Reduced -275 -275
20 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 11,27711.3k $1.1m $1.1m 0.00% Added +24 +24
21 626 Financial, LLC 0.75% of their portfolio PORTAGE, MI 11,13811.1k $1.1m $1.1m 0.75% Reduced -185 -185
22 RPg Family Wealth Advisory, LLC 0.44% of their portfolio BURLINGTON, MA 10,61910.6k $1.1m $1.1m 0.44% New
23 UBS Group AG 0.00% of their portfolio ZURICH, V8 7,6517.7k $766.1k $766.1k 0.00% Added +33 +33
24 IFP Advisors, Inc 0.03% of their portfolio TAMPA, FL 7,2457.2k $725.4k $725.4k 0.03% Reduced -7.3k -7,255
25 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 7,0417.0k $705.1k $705.1k 0.00% Added +872 +872
26 Apeiron RIA LLC 0.23% of their portfolio Dallas, TX 6,6036.6k $661.2k $661.2k 0.23% Added +534 +534
27 Geneos Wealth Management Inc. 0.03% of their portfolio ENGLEWOOD, CO 6,3046.3k $631.2k $631.2k 0.03% Added +426 +426
28 Virtu Financial LLC 0.06% of their portfolio New York, NY 5,6005.6k $561.0k $561.0k 0.06% New
29 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 5,3215.3k $533.0k $533.0k 0.00% Reduced -420 -420
30 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 4,5774.6k $458.3k $458.3k 0.00% Reduced -866 -866
31 Prospera Financial Services Inc 0.02% of their portfolio Dallas, TX 4,1564.2k $416.2k $416.2k 0.02% Unchanged
32 LANARK FINANCIAL, INC. 0.04% of their portfolio BIRMINGHAM, AL 4,0494.0k $405.0k $405.0k 0.04% First filing
33 NWAM LLC 0.04% of their portfolio MERCER ISLAND, WA 4,0484.0k $405.4k $405.4k 0.04% Reduced -42 -42
34 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 3,6803.7k $368.5k $368.5k 0.00% Reduced -26.9k -26,864
35 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 3,2153.2k $321.9k $321.9k 0.00% Reduced -796 -796
36 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 3,1023.1k $310.6k $310.6k 0.00% Reduced -364 -364
37 L. Roy Papp & Associates, LLP 0.04% of their portfolio Phoenix, AZ 2,5962.6k $259.9k $259.9k 0.04% Unchanged
38 INDEPENDENT FINANCIAL GROUP, LLC 0.02% of their portfolio SAN DIEGO, CA 2,4812.5k $248.4k $248.4k 0.02% New
39 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 2,4382.4k $244.1k $244.1k 0.00% Reduced -3.7k -3,663
40 Gateway Wealth Partners, LLC 0.04% of their portfolio APPLETON, WI 2,3442.3k $234.7k $234.7k 0.04% Unchanged
41 1ST SOURCE BANK 0.02% of their portfolio SOUTH BEND, IN 2,2502.2k $225.3k $225.3k 0.02% Unchanged
42 Cetera Advisors LLC 0.00% of their portfolio DENVER, CO 2,1952.2k $219.8k $219.8k 0.00% Unchanged
43 Bison Wealth, LLC 0.04% of their portfolio Atlanta, GA 2,1952.2k $219.7k $219.7k 0.04% Reduced -316 -316
44 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.03% of their portfolio ORLANDO, FL 2,1932.2k $218.1k $218.1k 0.03% Unchanged
45 Ameritas Advisory Services, LLC 0.01% of their portfolio Lincoln, NE 2,1052.1k $208.2k $208.2k 0.01% New
46 CWM, LLC 0.00% of their portfolio OMAHA, NE 2,0192.0k $202.0k $202.0k 0.00% Unchanged
47 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 0.01% of their portfolio NORFOLK, VA 2,0082.0k $201.1k $201.1k 0.01% Unchanged
48 Flaharty Asset Management, LLC 0.02% of their portfolio CLEARWATER, FL 1,4021.4k $140.4k $140.4k 0.02% New
49 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 1,3581.4k $136.0k $136.0k 0.00% Reduced -133 -133
50 Advisors Preferred, LLC 0.03% of their portfolio ROCKVILLE, MD 778778 $77.2k $77.2k 0.03% New
51 Spire Wealth Management 0.00% of their portfolio MCLEAN, VA 430430 $43.1k $43.1k 0.00% Unchanged
52 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 174174 $17.5k $17.5k 0.00% Added +173 +173
53 FMR LLC 0.00% of their portfolio BOSTON, MA 172172 $17.2k $17.2k 0.00% Reduced -84 -84
54 Avior Wealth Management, LLC 0.00% of their portfolio OMAHA, NE 5858 $5.9k $5.9k 0.00% Reduced -45 -45
55 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 3434 $3.4k $3.4k 0.00% Unchanged
56 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 2020 $2.0k $2.0k 0.00% Reduced -1 -1
57 Global Retirement Partners, LLC 0.00% of their portfolio San Rafael, CA 66 $588 $588 0.00% Unchanged
58 Tower Research Capital LLC (TRC) 0.00% of their portfolio NEW YORK, NY 11 $100 $100 0.00% Unchanged
59 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged