Vault-13

FIRST TR EXCHANGE TRADED FD FXN

ENERGY ALPHADX · ETP · CUSIP 33734X127

166 institutional holders -23 vs Q4 2022
30,055,52930.1m shares reported held*
$466.6mreported value*
20 new 37 added 92 reduced 40 sold out net sold ≈ $998.8m (-65.0m 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 ($2.1m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $15.52. Options: 1 managers hold calls ($8.0k notional), 2 hold puts ($0).

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 167Q4 22: 189Q1 23: 166166Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022167
Q4 2022189
Q1 2023166

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 109 bought or addedQ4 22: 71 cut or sold outQ4 22Q1 23: 57 bought or addedQ1 23: 132 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 202210971
Q1 202357132

Calls vs puts

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

CallsPuts
$0$50k$100k$150k$200kQ3 22 calls: $3.0kQ3 22 puts: $0Q3 22P/C 0.00Q4 22 calls: $179.4kQ4 22 puts: $0Q4 22P/C 0.00Q1 23 calls: $8.0kQ1 23 puts: $0Q1 23P/C 0.00
Numbers
QuarterCallsPutsP/C
Q3 2022$3.0k$00.00
Q4 2022$179.4k$00.00
Q1 2023$8.0k$00.00

Biggest buyers

TAP Consulting, LLC New +143,013+143.0k
Sigma Planning Corp Added +116,449+116.4k
CITADEL ADVISORS LLC Added +75,559+75.6k
Csenge Advisory Group Added +68,902+68.9k
Stonebridge Financial Planning Group, LLC Added +52,958+53.0k
OSAIC HOLDINGS, INC. Added +46,557+46.6k
MILLENNIUM MANAGEMENT LLC New +41,905+41.9k
Vestmark Advisory Solutions, Inc. Added +41,039+41.0k
TWO SIGMA SECURITIES, LLC New +36,686+36.7k
FLOW TRADERS U.S. LLC New +35,839+35.8k

Biggest sellers

FIRST TRUST ADVISORS LP Sold out -41,561,578-41.6m
WELLS FARGO & COMPANY/MN Reduced -4,192,940-4.2m
MORGAN STANLEY Reduced -3,523,254-3.5m
Raymond James Financial Services Advisors, Inc. Reduced -1,819,412-1.8m
RAYMOND JAMES & ASSOCIATES Reduced -1,017,785-1.0m
O'Dell Group, LLC Sold out -999,113-999.1k
ROYAL BANK OF CANADA Reduced -745,448-745.4k
Private Advisor Group, LLC Reduced -732,403-732.4k
NewEdge Advisors, LLC Reduced -713,823-713.8k
ENVESTNET ASSET MANAGEMENT INC Reduced -626,689-626.7k

Biggest calls

Cutler Group LLC / CA Added $8.0k11.5k shares

Biggest puts

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares
Cutler Group LLC / CA New $01.0k 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 +1.7 pts · filed 2026-10-27 5.2% +1.7 pts 841.3k≈ $17.0m 2026-10-27

Holders, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 3,809,7093.8m $59.1m $59.1m 0.01% Reduced -3.5m -3,523,254
2 WELLS FARGO & COMPANY/MN 0.02% of their portfolio SAN FRANCISCO, CA 3,711,7743.7m $57.6m $57.6m 0.02% Reduced -4.2m -4,192,940
3 LPL Financial LLC 0.04% of their portfolio FORT MILL, SC 2,983,3713.0m $46.3m $46.3m 0.04% Reduced -535.2k -535,230
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 2,061,9162.1m $32.0m $32.0m 0.01% Reduced -330.2k -330,154
5 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 1,049,2641.0m $16.3m $16.3m 0.00% Reduced -582.2k -582,187
6 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 1,047,8811.0m $16.3m $16.3m 0.01% Reduced -1.0m -1,017,785
7 Raymond James Financial Services Advisors, Inc. 0.03% of their portfolio ST. PETERSBURG, FL 984,042984.0k $15.3m $15.3m 0.03% Reduced -1.8m -1,819,412
8 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 812,729812.7k $12.6m $12.6m 0.02% Added +46.6k +46,557
9 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 711,959712.0k $11.0m $11.0m 0.01% Reduced -626.7k -626,689
10 Good Life Advisors, LLC 1.39% of their portfolio READING, PA 702,825702.8k $10.9m $10.9m 1.39% Added +32.5k +32,547
11 Virtue Capital Management, LLC 1.56% of their portfolio BRENTWOOD, TN 631,580631.6k $9.5m $9.5m 1.56% Reduced -293.0k -292,957
12 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 614,893614.9k $9.5m $9.5m 0.00% Reduced -745.4k -745,448
13 Baird Financial Group, Inc. 0.02% of their portfolio MILWAUKEE, WI 560,833560.8k $8.7m $8.7m 0.02% Reduced -590.0k -590,011
14 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 560,526560.5k $8.7m $8.7m 0.02% Reduced -517.2k -517,159
15 StoneX Group Inc. 0.80% of their portfolio NEW YORK, NY 469,872469.9k $7.3m $7.3m 0.80% Reduced -51.5k -51,529
16 Csenge Advisory Group 0.53% of their portfolio CLEARWATER, FL 469,063469.1k $7.3m $7.3m 0.53% Added +68.9k +68,902
17 Crumly & Associates Inc. 2.93% of their portfolio SPRINGFIELD, IL 435,288435.3k $6.8m $6.8m 2.93% Added +19.4k +19,408
18 Sigma Planning Corp 0.20% of their portfolio ANN ARBOR, MI 380,081380.1k $5.9m $5.9m 0.20% Added +116.4k +116,449
19 AE Wealth Management LLC 0.04% of their portfolio TOPEKA, KS 357,208357.2k $5.5m $5.5m 0.04% Reduced -503.3k -503,290
20 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 337,530337.5k $5.2m $5.2m 0.03% Reduced -67.8k -67,824
21 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 307,628307.6k $4.8m $4.8m 0.02% Reduced -59.3k -59,313
22 D.A. DAVIDSON & CO. 0.05% of their portfolio GREAT FALLS, MT 306,597306.6k $4.8m $4.8m 0.05% Reduced -499.3k -499,345
23 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 301,407301.4k $4.7m $4.7m 0.01% Reduced -96.8k -96,814
24 FOCUS Wealth Advisors, LLC 2.88% of their portfolio HOUSTON, TX 282,983283.0k $4.4m $4.4m 2.88% Reduced -6.4k -6,403
25 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 253,969254.0k $3.9m $3.9m 0.01% Reduced -173.1k -173,145
26 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 247,290247.3k $3.8m $3.8m 0.01% Reduced -45.4k -45,353
27 BENJAMIN F. EDWARDS & COMPANY, INC. 0.16% of their portfolio ST. LOUIS, MO 245,039245.0k $3.8m $3.8m 0.16% Reduced -446.7k -446,661
28 Cetera Investment Advisers 0.03% of their portfolio SCHAUMBURG, IL 241,035241.0k $3.7m $3.7m 0.03% Reduced -73.9k -73,927
29 Integrated Wealth Concepts LLC 0.07% of their portfolio WALTHAM, MA 223,318223.3k $3.5m $3.5m 0.07% Reduced -49.6k -49,595
30 Kestra Advisory Services, LLC 0.03% of their portfolio AUSTIN, TX 192,924192.9k $3.0m $3.0m 0.03% Reduced -62.2k -62,245
31 Prosperity Financial Group, Inc. 2.95% of their portfolio San Ramon, CA 187,533187.5k $2.9m $2.9m 2.95% Reduced -318.4k -318,398
32 NewEdge Advisors, LLC 0.03% of their portfolio NEW ORLEANS, LA 164,314164.3k $2.6m $2.6m 0.03% Reduced -713.8k -713,823
33 AVANTAX ADVISORY SERVICES, INC. 0.03% of their portfolio DALLAS, TX 155,758155.8k $2.4m $2.4m 0.03% Added +11.5k +11,461
34 Mariner, LLC 0.01% of their portfolio Overland Park, KS 152,905152.9k $2.4m $2.4m 0.01% Added +5.4k +5,417
35 Trinity Wealth Management, LLC 1.48% of their portfolio BERWYN, PA 145,139145.1k $2.3m $2.3m 1.48% Added +8.7k +8,709
36 PCG Wealth Advisors, LLC 1.42% of their portfolio OVERLAND PARK, KS 144,989145.0k $2.3m $2.3m 1.42% Added +2.0k +1,991
37 TAP Consulting, LLC 0.54% of their portfolio KIRKWOOD, MO 143,013143.0k $2.2m $2.2m 0.54% New
38 Cetera Advisor Networks LLC 0.02% of their portfolio EL SEGUNDO, CA 140,994141.0k $2.2m $2.2m 0.02% Reduced -45.4k -45,382
39 Vestmark Advisory Solutions, Inc. 0.09% of their portfolio Wakefield, MA 134,638134.6k $2.1m $2.1m 0.09% Added +41.0k +41,039
40 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 133,484133.5k $2.1m $2.1m 0.00% Added +11.2k +11,164
41 Savior LLC 1.71% of their portfolio WELLESLEY HILLS, MA 133,131133.1k $2.1m $2.1m 1.71% Reduced -6.5k -6,527
42 Tower Research Capital LLC (TRC) 0.07% of their portfolio NEW YORK, NY 132,874132.9k $2.1m $2.1m 0.07% Reduced -36.4k -36,367
43 Snowden Capital Advisors LLC 0.07% of their portfolio New York, NY 122,874122.9k $1.9m $1.9m 0.07% Added +26.9k +26,945
44 WCG Wealth Advisors LLC 0.23% of their portfolio LAS VEGAS, NV 117,312117.3k $1.8m $1.8m 0.23% Reduced -423.5k -423,530
45 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 114,410114.4k $1.8m $1.8m 0.00% Added +75.6k +75,559
46 Geneos Wealth Management Inc. 0.10% of their portfolio ENGLEWOOD, CO 106,466106.5k $1.7m $1.7m 0.10% Reduced -9.0k -9,014
47 IFP Advisors, Inc 0.09% of their portfolio TAMPA, FL 103,362103.4k $2.0m $2.0m 0.09% Reduced -81.3k -81,267
48 KESTRA PRIVATE WEALTH SERVICES, LLC 0.06% of their portfolio AUSTIN, TX 92,02292.0k $1.4m $1.4m 0.06% Reduced -2.3k -2,269
49 Prospera Financial Services Inc 0.06% of their portfolio Dallas, TX 88,88188.9k $1.4m $1.4m 0.06% Reduced -94.9k -94,857
50 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 86,09586.1k $1.3m $1.3m 0.01% Reduced -732.4k -732,403
51 Stonebridge Financial Planning Group, LLC 0.80% of their portfolio ORLANDO, FL 79,68679.7k $1.2m $1.2m 0.80% Added +53.0k +52,958
52 Andesa Financial Management Inc. 0.35% of their portfolio ALLENTOWN, PA 75,63875.6k $681.8k $681.8k 0.35% Added +15.9k +15,938
53 Financial Advocates Investment Management 0.09% of their portfolio OLYMPIA, WA 74,15474.2k $1.2m $1.2m 0.09% Added +23.9k +23,850
54 HARBOUR INVESTMENTS, INC. 0.06% of their portfolio MADISON, WI 67,93967.9k $1.1m $1.1m 0.06% Reduced -3.9k -3,870
55 RiverTree Advisors, LLC 0.68% of their portfolio WINTER PARK, FL 60,83760.8k $944.2k $944.2k 0.68% Reduced -49.5k -49,486
56 Visionary Wealth Advisors 0.07% of their portfolio O'FALLON, IL 54,13254.1k $840.1k $840.1k 0.07% Reduced -68.1k -68,116
57 Kesler, Norman & Wride, LLC 0.19% of their portfolio OGDEN, UT 47,62147.6k $739.1k $739.1k 0.19% Reduced -10.7k -10,748
58 INDEPENDENT FINANCIAL GROUP, LLC 0.06% of their portfolio SAN DIEGO, CA 47,43047.4k $736.1k $736.1k 0.06% Reduced -32.9k -32,854
59 OneDigital Investment Advisors LLC 0.02% of their portfolio OVERLAND PARK, KS 45,99546.0k $713.8k $713.8k 0.02% Reduced -2.8k -2,768
60 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 45,56745.6k $707.2k $707.2k 0.02% Reduced -1.6k -1,633
61 CENTAURUS FINANCIAL, INC. 0.06% of their portfolio ANAHEIM, CA 45,41045.4k $705.0k $705.0k 0.06% Reduced -1.7k -1,670
62 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 42,90542.9k $665.9k $665.9k 0.01% Reduced -78.8k -78,812
63 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 41,90541.9k $650.0k $650.0k 0.00% New
64 Gateway Wealth Partners, LLC 0.10% of their portfolio APPLETON, WI 41,26541.3k $640.4k $640.4k 0.10% Reduced -7.6k -7,562
65 Apollon Wealth Management, LLC 0.04% of their portfolio MOUNT PLEASANT, SC 38,56038.6k $598.5k $598.5k 0.04% Reduced -6.3k -6,345
66 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 38,23038.2k $585.0k $585.0k 0.00% Reduced -4.6k -4,622
67 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 38,17938.2k $592.5k $592.5k 0.00% Added +7.7k +7,725
68 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 38,14038.1k $591.9k $591.9k 0.00% Reduced -93.6k -93,629
69 TWO SIGMA SECURITIES, LLC 0.05% of their portfolio NEW YORK, NY 36,68636.7k $569.4k $569.4k 0.05% New
70 FLOW TRADERS U.S. LLC 0.02% of their portfolio NEW YORK, NY 35,83935.8k $556.0k $556.0k 0.02% New
71 Outlook Wealth Advisors, LLC 0.25% of their portfolio SHENANDOAH, TX 35,82335.8k $556.0k $556.0k 0.25% Added +7.0k +7,021
72 Anson Capital, Inc. 0.89% of their portfolio TYRONE, GA 35,35235.4k $548.7k $548.7k 0.89% Added +12.4k +12,382
73 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 32,70432.7k $507.6k $507.6k 0.00% Reduced -1.5k -1,453
74 Pinnacle Family Advisors, LLC 0.31% of their portfolio Springfield, MO 32,43932.4k $503.4k $503.4k 0.31% Added +1.6k +1,593
75 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 32,23032.2k $500.2k $500.2k 0.01% Reduced -35.3k -35,308
76 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 30,82530.8k $478.4k $478.4k 0.00% Added +5.5k +5,532
77 WINTRUST INVESTMENTS LLC 0.06% of their portfolio CHICAGO, IL 28,59728.6k $444.0k $444.0k 0.06% Added +879 +879
78 CREATIVE FINANCIAL DESIGNS INC /ADV 0.06% of their portfolio KOKOMO, IN 28,52728.5k $442.7k $442.7k 0.06% Added +23.7k +23,683
79 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 27,92227.9k $433.4k $433.4k 0.00% Added +2.0k +2,042
80 LEVEL FOUR ADVISORY SERVICES, LLC 0.03% of their portfolio DALLAS, TX 27,05327.1k $419.9k $419.9k 0.03% Added +5.8k +5,779
81 D.B. Root & Company, LLC 0.16% of their portfolio PITTSBURGH, PA 26,49226.5k $411.2k $411.2k 0.16% Unchanged
82 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 24,88524.9k $386.2k $386.2k 0.01% Added +14.9k +14,924
83 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 24,10724.1k $374.1k $374.1k 0.00% New
84 Bullseye Investment Management, LLC 0.27% of their portfolio CINCINNATI, OH 23,91123.9k $371.1k $371.1k 0.27% Added +2.5k +2,486
85 COTTONWOOD CAPITAL ADVISORS, LLC 0.33% of their portfolio SALT LAKE CITY, UT 23,30223.3k $361.6k $361.6k 0.33% Unchanged
86 RPg Family Wealth Advisory, LLC 0.20% of their portfolio BURLINGTON, MA 23,02823.0k $357.4k $357.4k 0.20% Reduced -3.3k -3,275
87 1776 Wealth LLC 0.21% of their portfolio ATLANTA, GA 22,95022.9k $356.2k $356.2k 0.21% Unchanged
88 Onyx Bridge Wealth Group LLC 0.14% of their portfolio TARRYTOWN, NY 22,85822.9k $354.8k $354.8k 0.14% Added +5.8k +5,814
89 Stratos Wealth Partners, LTD. 0.01% of their portfolio BEACHWOOD, OH 22,73322.7k $352.8k $352.8k 0.01% Added +3.9k +3,863
90 CWM, LLC 0.00% of their portfolio OMAHA, NE 22,67922.7k $352.0k $352.0k 0.00% Reduced -210.4k -210,389
91 WealthBridge Capital Management, LLC 0.14% of their portfolio WESTERVILLE, OH 22,31622.3k $346.3k $346.3k 0.14% Reduced -5.9k -5,851
92 IFG Advisory, LLC 0.03% of their portfolio ATLANTA, GA 22,09622.1k $342.9k $342.9k 0.03% Reduced -1.6k -1,550
93 SignalPoint Asset Management, LLC 0.11% of their portfolio SPRINGFIELD, MO 22,01022.0k $342.0k $342.0k 0.11% Reduced -77 -77
94 MML INVESTORS SERVICES, LLC 0.00% of their portfolio SPRINGFIELD, MA 21,98722.0k $341.0k $341.0k 0.00% Reduced -17.0k -17,007
95 IAMS WEALTH MANAGEMENT, LLC 0.28% of their portfolio OMAHA, NE 21,88421.9k $335.1k $335.1k 0.28% Reduced -35.9k -35,863
96 Regal Investment Advisors LLC 0.03% of their portfolio KENTWOOD, MI 21,06021.1k $326.8k $326.8k 0.03% Reduced -4.0k -4,018
97 Coppell Advisory Solutions LLC 0.10% of their portfolio COPPELL, TX 20,77520.8k $318.1k $318.1k 0.10% Reduced -32.4k -32,385
98 Coppell Advisory Solutions Corp. 0.10% of their portfolio COPPELL, TX 20,77520.8k $318.1k $318.1k 0.10% Reduced -32.4k -32,385
99 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 20,48420.5k $317.9k $317.9k 0.00% Reduced -2.5k -2,482
100 IHT Wealth Management, LLC 0.02% of their portfolio Chicago, IL 20,47120.5k $317.7k $317.7k 0.02% Reduced -16.3k -16,289