Vault-13

FIRST TR EXCHANGE TRADED FD FXN

ENERGY ALPHADX · ETP · CUSIP 33734X127

150 institutional holders -16 vs Q1 2023
21,831,84721.8m shares reported held*
$345.9mreported value*
19 new 35 added 72 reduced 35 sold out net sold ≈ $130.7m (-8.3m 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 ($4.0k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $15.84. Options: 0 managers hold calls (— notional), 3 hold puts ($982.2k).

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 167Q4 22: 189Q1 23: 166Q2 23: 150150Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022167
Q4 2022189
Q1 2023166
Q2 2023150

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 23Q2 23: 54 bought or addedQ2 23: 107 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 202210971
Q1 202357132
Q2 202354107

Calls vs puts

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

CallsPuts
$0$250k$500k$750k$1mQ3 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 0.00Q2 23 calls: $0Q2 23 puts: $982.2kQ2 23P/C —
Numbers
QuarterCallsPutsP/C
Q3 2022$3.0k$00.00
Q4 2022$179.4k$00.00
Q1 2023$8.0k$00.00
Q2 2023$0$982.2k—

Biggest buyers

Avestar Capital, LLC New +308,244+308.2k
BNP PARIBAS FINANCIAL MARKETS New +200,305+200.3k
Coppell Advisory Solutions LLC Added +133,402+133.4k
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC New +118,167+118.2k
WORLD EQUITY GROUP, INC. Added +102,437+102.4k
CITADEL ADVISORS LLC Added +93,838+93.8k
Financial Advocates Investment Management Added +66,769+66.8k
IFP Advisors, Inc Added +47,586+47.6k
Trexquant Investment LP New +42,750+42.8k
KESTRA PRIVATE WEALTH SERVICES, LLC Added +33,771+33.8k

Biggest sellers

LPL Financial LLC Reduced -973,533-973.5k
MORGAN STANLEY Reduced -763,604-763.6k
Good Life Advisors, LLC Sold out -702,825-702.8k
Virtue Capital Management, LLC Sold out -631,580-631.6k
RAYMOND JAMES & ASSOCIATES Reduced -418,783-418.8k
Baird Financial Group, Inc. Reduced -411,080-411.1k
Csenge Advisory Group Reduced -409,751-409.8k
OSAIC HOLDINGS, INC. Reduced -327,760-327.8k
ENVESTNET ASSET MANAGEMENT INC Reduced -326,053-326.1k
COMMONWEALTH EQUITY SERVICES, LLC Reduced -313,831-313.8k

Biggest calls

None

Biggest puts

IAMS WEALTH MANAGEMENT, LLC New $982.2k63.2k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares
Cutler Group LLC / CA Added $01.2k 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, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 WELLS FARGO & COMPANY/MN 0.02% of their portfolio SAN FRANCISCO, CA 3,444,6763.4m $53.9m $53.9m 0.02% Reduced -267.1k -267,098
2 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 3,046,1053.0m $47.6m $47.6m 0.00% Reduced -763.6k -763,604
3 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 2,009,8382.0m $31.4m $31.4m 0.02% Reduced -973.5k -973,533
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 1,905,5141.9m $29.8m $29.8m 0.01% Reduced -156.4k -156,402
5 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 980,322980.3k $15.3m $15.3m 0.00% Reduced -68.9k -68,942
6 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 744,151744.2k $11.6m $11.6m 0.02% Reduced -239.9k -239,891
7 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 629,098629.1k $9.8m $9.8m 0.01% Reduced -418.8k -418,783
8 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 601,470601.5k $9.4m $9.4m 0.00% Reduced -13.4k -13,423
9 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 484,969485.0k $7.6m $7.6m 0.01% Reduced -327.8k -327,760
10 Crumly & Associates Inc. 2.77% of their portfolio SPRINGFIELD, IL 441,861441.9k $6.9m $6.9m 2.77% Added +6.6k +6,573
11 StoneX Group Inc. 0.72% of their portfolio NEW YORK, NY 440,978441.0k $6.9m $6.9m 0.72% Reduced -28.9k -28,894
12 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 385,906385.9k $6.0m $6.0m 0.00% Reduced -326.1k -326,053
13 Avestar Capital, LLC 0.84% of their portfolio New York, NY 308,244308.2k $4.8m $4.8m 0.84% New
14 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 306,875306.9k $4.8m $4.8m 0.02% Reduced -30.7k -30,655
15 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 275,106275.1k $4.3m $4.3m 0.02% Reduced -32.5k -32,522
16 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 273,880273.9k $4.3m $4.3m 0.01% Added +19.9k +19,911
17 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 246,695246.7k $3.9m $3.9m 0.01% Reduced -313.8k -313,831
18 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 239,614239.6k $3.7m $3.7m 0.01% Reduced -7.7k -7,676
19 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 208,248208.2k $3.3m $3.3m 0.00% Added +93.8k +93,838
20 BNP PARIBAS FINANCIAL MARKETS 0.01% of their portfolio PARIS, I0 200,305200.3k $3.1m $3.1m 0.01% New
21 Kestra Advisory Services, LLC 0.03% of their portfolio AUSTIN, TX 196,463196.5k $3.1m $3.1m 0.03% Added +3.5k +3,539
22 Prosperity Financial Group, Inc. 2.58% of their portfolio San Ramon, CA 187,440187.4k $2.9m $2.9m 2.58% Reduced -93 -93
23 Trinity Wealth Management, LLC 1.50% of their portfolio BERWYN, PA 156,445156.4k $2.4m $2.4m 1.50% Added +11.3k +11,306
24 Coppell Advisory Solutions LLC 0.68% of their portfolio COPPELL, TX 154,177154.2k $2.4m $2.4m 0.68% Added +133.4k +133,402
25 Tower Research Capital LLC (TRC) 0.08% of their portfolio NEW YORK, NY 151,168151.2k $2.4m $2.4m 0.08% Added +18.3k +18,294
26 IFP Advisors, Inc 0.06% of their portfolio TAMPA, FL 150,948150.9k $2.6m $2.6m 0.06% Added +47.6k +47,586
27 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 149,753149.8k $2.3m $2.3m 0.01% Reduced -411.1k -411,080
28 TAP Consulting, LLC 0.55% of their portfolio KIRKWOOD, MO 143,202143.2k $2.2m $2.2m 0.55% Added +189 +189
29 PCG Wealth Advisors, LLC 1.39% of their portfolio OVERLAND PARK, KS 143,169143.2k $2.2m $2.2m 1.39% Reduced -1.8k -1,820
30 Financial Advocates Investment Management 0.16% of their portfolio OLYMPIA, WA 140,923140.9k $2.2m $2.2m 0.16% Added +66.8k +66,769
31 KESTRA PRIVATE WEALTH SERVICES, LLC 0.07% of their portfolio AUSTIN, TX 125,793125.8k $2.0m $2.0m 0.07% Added +33.8k +33,771
32 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 124,479124.5k $1.9m $1.9m 0.01% Reduced -16.5k -16,515
33 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 124,065124.1k $1.9m $1.9m 0.00% Reduced -9.4k -9,419
34 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.80% of their portfolio ORLANDO, FL 118,167118.2k $6.0m $6.0m 0.80% New
35 Savior LLC 7.13% of their portfolio WELLESLEY HILLS, MA 112,571112.6k $1.8m $1.8m 7.13% Reduced -20.6k -20,560
36 WORLD EQUITY GROUP, INC. 0.51% of their portfolio SCHAUMBURG, IL 110,563110.6k $1.7m $1.7m 0.51% Added +102.4k +102,437
37 Sigma Planning Corp 0.05% of their portfolio ANN ARBOR, MI 88,13688.1k $1.4m $1.4m 0.05% Reduced -291.9k -291,945
38 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 86,21786.2k $1.3m $1.3m 0.01% Reduced -154.8k -154,818
39 Stonebridge Financial Planning Group, LLC 0.78% of their portfolio ORLANDO, FL 82,18682.2k $1.3m $1.3m 0.78% Added +2.5k +2,500
40 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 81,89781.9k $1.3m $1.3m 0.01% Reduced -82.4k -82,417
41 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 75,73575.7k $1.2m $1.2m 0.01% Reduced -80.0k -80,023
42 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 69,97670.0k $1.1m $1.1m 0.01% Reduced -16.1k -16,119
43 BENJAMIN F. EDWARDS & COMPANY, INC. 0.04% of their portfolio ST. LOUIS, MO 63,57063.6k $994.0k $994.0k 0.04% Reduced -181.5k -181,469
44 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 60,99461.0k $954.0k $954.0k 0.01% Reduced -296.2k -296,214
45 Csenge Advisory Group 0.06% of their portfolio CLEARWATER, FL 59,31259.3k $927.6k $927.6k 0.06% Reduced -409.8k -409,751
46 RiverTree Advisors, LLC 0.67% of their portfolio WINTER PARK, FL 59,15559.2k $925.2k $925.2k 0.67% Reduced -1.7k -1,682
47 INDEPENDENT FINANCIAL GROUP, LLC 0.06% of their portfolio SAN DIEGO, CA 54,69754.7k $855.5k $855.5k 0.06% Added +7.3k +7,267
48 Prospera Financial Services Inc 0.03% of their portfolio Dallas, TX 50,65650.7k $792.3k $792.3k 0.03% Reduced -38.2k -38,225
49 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 48,81448.8k $763.5k $763.5k 0.00% Reduced -252.6k -252,593
50 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 45,64945.6k $714.0k $714.0k 0.00% Added +14.8k +14,824
51 OneDigital Investment Advisors LLC 0.02% of their portfolio OVERLAND PARK, KS 44,78544.8k $700.4k $700.4k 0.02% Reduced -1.2k -1,210
52 Kesler, Norman & Wride, LLC 0.17% of their portfolio OGDEN, UT 44,60944.6k $697.7k $697.7k 0.17% Reduced -3.0k -3,012
53 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 44,23144.2k $691.8k $691.8k 0.02% Reduced -1.3k -1,336
54 Gateway Wealth Partners, LLC 0.12% of their portfolio APPLETON, WI 43,46243.5k $679.7k $679.7k 0.12% Added +2.2k +2,197
55 Trexquant Investment LP 0.02% of their portfolio STAMFORD, CT 42,75042.8k $668.6k $668.6k 0.02% New
56 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 38,33038.3k $595.0k $595.0k 0.00% Added +100 +100
57 MML INVESTORS SERVICES, LLC 0.00% of their portfolio SPRINGFIELD, MA 36,23536.2k $567.0k $567.0k 0.00% Added +14.2k +14,248
58 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 35,75535.8k $559.2k $559.2k 0.00% Reduced -2.4k -2,385
59 CoreCap Advisors, LLC 0.04% of their portfolio SOUTHFIELD, MI 35,23335.2k $551.0k $551.0k 0.04% First filing
60 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 34,46134.5k $539.0k $539.0k 0.01% Reduced -8.4k -8,444
61 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 33,20033.2k $519.0k $519.0k 0.00% New
62 HARBOUR INVESTMENTS, INC. 0.02% of their portfolio MADISON, WI 29,39329.4k $459.7k $459.7k 0.02% Reduced -38.5k -38,546
63 CREATIVE FINANCIAL DESIGNS INC /ADV 0.05% of their portfolio KOKOMO, IN 29,09929.1k $455.1k $455.1k 0.05% Added +572 +572
64 CENTAURUS FINANCIAL, INC. 0.04% of their portfolio ANAHEIM, CA 28,34528.3k $443.0k $443.0k 0.04% Reduced -17.1k -17,065
65 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 27,92927.9k $436.8k $436.8k 0.01% Reduced -4.3k -4,301
66 LEVEL FOUR ADVISORY SERVICES, LLC 0.03% of their portfolio DALLAS, TX 27,05327.1k $423.1k $423.1k 0.03% Unchanged
67 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 26,39626.4k $412.8k $412.8k 0.00% Reduced -1.5k -1,526
68 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 25,50025.5k $399.0k $399.0k 0.00% New
69 HRT FINANCIAL LP 0.00% of their portfolio NEW YORK, NY 24,84924.8k $388.0k $388.0k 0.00% New
70 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 23,71723.7k $370.9k $370.9k 0.01% Reduced -1.2k -1,168
71 COTTONWOOD CAPITAL ADVISORS, LLC 0.33% of their portfolio SALT LAKE CITY, UT 23,30223.3k $364.4k $364.4k 0.33% Unchanged
72 1776 Wealth LLC 0.19% of their portfolio ATLANTA, GA 22,95022.9k $358.9k $358.9k 0.19% Unchanged
73 SignalPoint Asset Management, LLC 0.11% of their portfolio SPRINGFIELD, MO 22,82322.8k $357.0k $357.0k 0.11% Added +813 +813
74 INSIGNEO ADVISORY SERVICES, LLC 0.07% of their portfolio MIAMI, FL 22,76522.8k $356.0k $356.0k 0.07% Added +9.1k +9,065
75 RPg Family Wealth Advisory, LLC 0.14% of their portfolio BURLINGTON, MA 22,44822.4k $351.1k $351.1k 0.14% Reduced -580 -580
76 Blackhawk Capital Partners, LLC 0.23% of their portfolio THIENSVILLE, WI 21,53621.5k $336.8k $336.8k 0.23% Added +3.2k +3,225
77 First Heartland Consultants, Inc. 0.04% of their portfolio LAKE ST. LOUIS, MO 20,89220.9k $326.8k $326.8k 0.04% Added +2.3k +2,321
78 Geneos Wealth Management Inc. 0.02% of their portfolio ENGLEWOOD, CO 20,84620.8k $326.0k $326.0k 0.02% Reduced -85.6k -85,620
79 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 20,25120.3k $316.7k $316.7k 0.00% Reduced -12.5k -12,453
80 HFG Advisors, Inc. 0.33% of their portfolio CINCINATTI, OH 19,88819.9k $311.0k $311.0k 0.33% Reduced -230 -230
81 Stratos Wealth Partners, LTD. 0.01% of their portfolio BEACHWOOD, OH 19,35319.4k $302.7k $302.7k 0.01% Reduced -3.4k -3,380
82 Sowell Financial Services LLC 0.02% of their portfolio NORTH LITTLE ROCK, AR 19,26219.3k $301.0k $301.0k 0.02% Unchanged
83 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 18,91318.9k $295.8k $295.8k 0.00% First filing
84 Jaffetilchin Investment Partners, LLC 0.03% of their portfolio TAMPA, FL 18,88118.9k $295.3k $295.3k 0.03% Added +6.3k +6,345
85 Mach-1 Financial Group, LLC 0.12% of their portfolio Rogers, AR 18,36018.4k $287.1k $287.1k 0.12% New
86 Sunbelt Securities, Inc. 0.04% of their portfolio HOUSTON, TX 17,98918.0k $281.3k $281.3k 0.04% Added +330 +330
87 Secure Asset Management, LLC 0.09% of their portfolio Troy, MI 17,95218.0k $280.8k $280.8k 0.09% Reduced -395 -395
88 D.A. DAVIDSON & CO. 0.00% of their portfolio GREAT FALLS, MT 17,71817.7k $277.1k $277.1k 0.00% Reduced -288.9k -288,879
89 IHT Wealth Management, LLC 0.01% of their portfolio Chicago, IL 17,33517.3k $271.1k $271.1k 0.01% Reduced -3.1k -3,136
90 Anson Capital, Inc. 0.49% of their portfolio TYRONE, GA 17,07017.1k $267.0k $267.0k 0.49% Reduced -18.3k -18,282
91 Regal Investment Advisors LLC 0.02% of their portfolio KENTWOOD, MI 16,83716.8k $263.3k $263.3k 0.02% Reduced -4.2k -4,223
92 TWO SIGMA SECURITIES, LLC 0.02% of their portfolio NEW YORK, NY 16,65916.7k $260.5k $260.5k 0.02% Reduced -20.0k -20,027
93 Truepoint, Inc. 0.01% of their portfolio CINCINNATI, OH 16,30016.3k $254.9k $254.9k 0.01% New
94 Davis Investment Partners, LLC 0.12% of their portfolio CHARLOTTE, NC 15,70015.7k $258.4k $258.4k 0.12% Unchanged
95 Certified Advisory Corp 0.04% of their portfolio ALTAMONTE SPRINGS, FL 15,13115.1k $236.6k $236.6k 0.04% Reduced -4.3k -4,350
96 PFG Advisors 0.02% of their portfolio Phoenix, AZ 13,44713.4k $210.3k $210.3k 0.02% Added +344 +344
97 Gladstone Institutional Advisory LLC 0.01% of their portfolio Bedminster, NJ 13,11413.1k $205.1k $205.1k 0.01% Added +1.1k +1,063
98 Snowden Capital Advisors LLC 0.01% of their portfolio New York, NY 12,89412.9k $201.7k $201.7k 0.01% Reduced -110.0k -109,980
99 Cyndeo Wealth Partners, LLC 0.02% of their portfolio ST. PETERSBURG, FL 12,69112.7k $198.5k $198.5k 0.02% Reduced -5.3k -5,315
100 IFG Advisory, LLC 0.02% of their portfolio ATLANTA, GA 12,65112.7k $197.9k $197.9k 0.02% Reduced -9.4k -9,445