Vault-13

FIRST TR EXCHANGE-TRADED ALP FAD

COM SHS · ETP · CUSIP 33733F101

57 institutional holders -2 vs Q3 2023
875,080875.1k shares reported held*
$98.2mreported value*
1 new 20 added 26 reduced 6 sold out net sold ≈ $1.6m (-14.5k 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 ≈ $112.25. Options: 1 managers hold calls ($0 notional), 1 hold puts ($0).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 47Q4 22: 57Q1 23: 54Q2 23: 53Q3 23: 59Q4 23: 5757Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202247
Q4 202257
Q1 202354
Q2 202353
Q3 202359
Q4 202357

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 23Q4 23: 21 bought or addedQ4 23: 32 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20223019
Q1 20231726
Q2 20231825
Q3 20231928
Q4 20232132

Biggest buyers

MORGAN STANLEY Added +79,941+79.9k
LPL Financial LLC Added +11,810+11.8k
Baird Financial Group, Inc. Added +7,529+7.5k
UBS Group AG Added +3,790+3.8k
COMMONWEALTH EQUITY SERVICES, LLC Added +2,570+2.6k
Global Retirement Partners, LLC Added +2,439+2.4k
Private Advisor Group, LLC Added +2,366+2.4k
BANK OF AMERICA CORP /DE/ Added +1,168+1.2k
STIFEL FINANCIAL CORP Added +1,020+1.0k
NewEdge Advisors, LLC Added +1,018+1.0k

Biggest sellers

Gallagher Fiduciary Advisors, LLC Sold out -49,747-49.7k
HARBOUR INVESTMENTS, INC. Reduced -26,627-26.6k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -20,873-20.9k
Raymond James Financial Services Advisors, Inc. Reduced -9,195-9.2k
Virtu Financial LLC Sold out -5,600-5.6k
ROYAL BANK OF CANADA Reduced -4,380-4.4k
CITADEL ADVISORS LLC Sold out -3,680-3.7k
Ameritas Advisory Services, LLC Sold out -2,105-2.1k
Flaharty Asset Management, LLC Sold out -1,402-1.4k
OSAIC HOLDINGS, INC. Reduced -1,261-1.3k

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, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 137,394137.4k $15.4m $15.4m 0.00% Added +79.9k +79,941
2 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 88,16088.2k $9.9m $9.9m 0.02% Reduced -9.2k -9,195
3 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 81,12981.1k $9.1m $9.1m 0.02% Added +2.6k +2,570
4 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 80,68580.7k $9.1m $9.1m 0.01% Added +11.8k +11,810
5 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 54,92754.9k $6.2m $6.2m 0.00% Unchanged
6 Plotkin Financial Advisors, LLC 3.97% of their portfolio CHEVY CHASE, MD 46,48246.5k $5.2m $5.2m 3.97% Reduced -1 -1
7 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 38,87038.9k $4.4m $4.4m 0.01% Reduced -233 -233
8 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 35,46235.5k $4.0m $4.0m 0.00% Reduced -4.4k -4,380
9 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 27,90127.9k $3.1m $3.1m 0.00% Added +1.2k +1,168
10 Kowal Investment Group, LLC 0.71% of their portfolio BROOKFIELD, WI 27,21527.2k $3.1m $3.1m 0.71% Reduced -173 -173
11 Wealth Management Partners, LLC 1.37% of their portfolio TUCSON, AZ 21,82921.8k $2.5m $2.5m 1.37% Reduced -274 -274
12 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 19,22819.2k $2.2m $2.2m 0.00% Reduced -111 -111
13 D.A. DAVIDSON & CO. 0.02% of their portfolio GREAT FALLS, MT 18,83118.8k $2.1m $2.1m 0.02% Reduced -864 -864
14 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 18,80618.8k $2.1m $2.1m 0.00% Added +7.5k +7,529
15 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 15,76915.8k $1.8m $1.8m 0.01% Added +2.4k +2,366
16 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 14,53114.5k $1.6m $1.6m 0.00% Reduced -974 -974
17 Stonebridge Financial Planning Group, LLC 0.82% of their portfolio ORLANDO, FL 12,67012.7k $1.4m $1.4m 0.82% Reduced -500 -500
18 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 12,53012.5k $1.4m $1.4m 0.00% Reduced -20.9k -20,873
19 UBS Group AG 0.00% of their portfolio ZURICH, V8 11,44111.4k $1.3m $1.3m 0.00% Added +3.8k +3,790
20 626 Financial, LLC 0.81% of their portfolio PORTAGE, MI 10,94610.9k $1.2m $1.2m 0.81% Reduced -192 -192
21 RPg Family Wealth Advisory, LLC 0.43% of their portfolio BURLINGTON, MA 10,27310.3k $1.2m $1.2m 0.43% Reduced -346 -346
22 IFP Advisors, Inc 0.04% of their portfolio TAMPA, FL 7,0947.1k $796.4k $796.4k 0.04% Reduced -151 -151
23 Apeiron RIA LLC 0.25% of their portfolio Dallas, TX 7,0737.1k $794.0k $794.0k 0.25% Added +470 +470
24 Geneos Wealth Management Inc. 0.03% of their portfolio ENGLEWOOD, CO 6,1096.1k $685.7k $685.7k 0.03% Reduced -195 -195
25 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 5,7805.8k $648.9k $648.9k 0.00% Reduced -1.3k -1,261
26 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 5,5975.6k $628.4k $628.4k 0.00% Added +1.0k +1,020
27 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 5,2385.2k $588.0k $588.0k 0.00% Reduced -83 -83
28 LANARK FINANCIAL, INC. 0.05% of their portfolio BIRMINGHAM, AL 4,5304.5k $508.0k $508.0k 0.05% Added +481 +481
29 NWAM LLC 0.04% of their portfolio MERCER ISLAND, WA 4,0494.0k $454.5k $454.5k 0.04% Added +1 +1
30 WILLNER & HELLER, LLC 0.51% of their portfolio ENCINO, CA 4,0334.0k $452.8k $452.8k 0.51% First filing
31 Prospera Financial Services Inc 0.01% of their portfolio Dallas, TX 4,0324.0k $452.6k $452.6k 0.01% Reduced -124 -124
32 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 3,4383.4k $386.0k $386.0k 0.00% Added +336 +336
33 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 3,1433.1k $352.9k $352.9k 0.00% Reduced -72 -72
34 INDEPENDENT FINANCIAL GROUP, LLC 0.02% of their portfolio SAN DIEGO, CA 2,5962.6k $291.4k $291.4k 0.02% Added +115 +115
35 L. Roy Papp & Associates, LLP 0.04% of their portfolio Phoenix, AZ 2,5962.6k $291.4k $291.4k 0.04% Unchanged
36 Global Retirement Partners, LLC 0.01% of their portfolio San Rafael, CA 2,4452.4k $268.8k $268.8k 0.01% Added +2.4k +2,439
37 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 2,3952.4k $268.9k $268.9k 0.00% Reduced -43 -43
38 Gateway Wealth Partners, LLC 0.10% of their portfolio APPLETON, WI 2,3012.3k $258.3k $258.3k 0.10% Reduced -43 -43
39 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.03% of their portfolio ORLANDO, FL 2,2752.3k $255.4k $255.4k 0.03% Added +82 +82
40 1ST SOURCE BANK 0.02% of their portfolio SOUTH BEND, IN 2,2502.2k $252.6k $252.6k 0.02% Unchanged
41 Bison Wealth, LLC 0.04% of their portfolio Atlanta, GA 2,2282.2k $250.1k $250.1k 0.04% Added +33 +33
42 Cetera Advisors LLC 0.00% of their portfolio DENVER, CO 2,1952.2k $246.4k $246.4k 0.00% Unchanged
43 CWM, LLC 0.00% of their portfolio OMAHA, NE 2,0212.0k $227.0k $227.0k 0.00% Added +2 +2
44 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 0.01% of their portfolio NORFOLK, VA 2,0082.0k $225.4k $225.4k 0.01% Unchanged
45 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 1,2381.2k $139.0k $139.0k 0.00% Reduced -120 -120
46 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 1,0521.1k $118.1k $118.1k 0.00% Added +1.0k +1,018
47 Smartleaf Asset Management LLC 0.02% of their portfolio BOSTON, MA 750750 $84.9k $84.9k 0.02% First filing
48 Spire Wealth Management 0.00% of their portfolio MCLEAN, VA 401401 $44.7k $44.7k 0.00% Reduced -29 -29
49 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 350350 $39.5k $39.5k 0.00% Added +176 +176
50 FMR LLC 0.00% of their portfolio BOSTON, MA 184184 $20.7k $20.7k 0.00% Added +12 +12
51 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 170170 $19.1k $19.1k 0.00% Reduced -26.6k -26,627
52 ICA Group Wealth Management, LLC 0.00% of their portfolio DENVER, CO 150150 $16.8k $16.8k 0.00% New
53 Advisors Preferred, LLC 0.00% of their portfolio ROCKVILLE, MD 128128 $14.2k $14.2k 0.00% Reduced -650 -650
54 PRINCIPAL SECURITIES, INC. 0.00% of their portfolio DES MOINES, IA 7575 $8.4k $8.4k 0.00% First filing
55 Avior Wealth Management, LLC 0.00% of their portfolio OMAHA, NE 5858 $6.6k $6.6k 0.00% Unchanged
56 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 1919 $2.1k $2.1k 0.00% Reduced -1 -1
57 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged