Vault-13

FIRST TR EXCHANGE TRADED FD FXN

ENERGY ALPHADX · ETP · CUSIP 33734X127

156 institutional holders +6 vs Q2 2023
23,926,43523.9m shares reported held*
$416.7mreported value*
24 new 45 added 60 reduced 19 sold out net bought ≈ $41.9m (+2.4m 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 ($6.6m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $17.42. Options: 0 managers hold calls (— notional), 1 hold puts ($0).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 167Q4 22: 189Q1 23: 166Q2 23: 150Q3 23: 156156Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022167
Q4 2022189
Q1 2023166
Q2 2023150
Q3 2023156

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 23Q3 23: 69 bought or addedQ3 23: 79 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 202210971
Q1 202357132
Q2 202354107
Q3 20236979

Calls vs puts

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

CallsPuts
$0$250k$500k$750k$1mQ4 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 —Q3 23 calls: $0Q3 23 puts: $0Q3 23P/C —
Numbers
QuarterCallsPutsP/C
Q4 2022$179.4k$00.00
Q1 2023$8.0k$00.00
Q2 2023$0$982.2k—
Q3 2023$0$0—

Biggest buyers

MORGAN STANLEY Added +1,189,236+1.2m
D.A. DAVIDSON & CO. Added +513,976+514.0k
Vestmark Advisory Solutions, Inc. New +379,866+379.9k
ENVESTNET ASSET MANAGEMENT INC Added +377,287+377.3k
TRUIST FINANCIAL CORP Added +277,599+277.6k
LPL Financial LLC Added +238,025+238.0k
NAVELLIER & ASSOCIATES INC New +201,592+201.6k
IronBridge Private Wealth, LLC New +189,592+189.6k
NewEdge Advisors, LLC Added +148,932+148.9k
Crumly & Associates Inc. Added +77,540+77.5k

Biggest sellers

CITADEL ADVISORS LLC Sold out -208,248-208.2k
Prosperity Financial Group, Inc. Reduced -172,561-172.6k
Tower Research Capital LLC (TRC) Sold out -151,168-151.2k
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC Sold out -118,167-118.2k
OSAIC HOLDINGS, INC. Reduced -112,656-112.7k
Coppell Advisory Solutions LLC Reduced -103,961-104.0k
IFP Advisors, Inc Reduced -101,184-101.2k
UBS Group AG Reduced -90,538-90.5k
WELLS FARGO & COMPANY/MN Reduced -78,487-78.5k
StoneX Group Inc. Reduced -69,133-69.1k

Biggest calls

None

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.

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, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 4,235,3414.2m $73.8m $73.8m 0.01% Added +1.2m +1,189,236
2 WELLS FARGO & COMPANY/MN 0.02% of their portfolio SAN FRANCISCO, CA 3,366,1893.4m $58.6m $58.6m 0.02% Reduced -78.5k -78,487
3 LPL Financial LLC 0.03% of their portfolio FORT MILL, SC 2,247,8632.2m $39.2m $39.2m 0.03% Added +238.0k +238,025
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 1,814,9761.8m $31.6m $31.6m 0.01% Reduced -90.5k -90,538
5 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 950,446950.4k $16.6m $16.6m 0.00% Reduced -29.9k -29,876
6 Raymond James Financial Services Advisors, Inc. 0.03% of their portfolio ST. PETERSBURG, FL 792,524792.5k $13.8m $13.8m 0.03% Added +48.4k +48,373
7 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 763,193763.2k $13.3m $13.3m 0.01% Added +377.3k +377,287
8 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 572,372572.4k $10.0m $10.0m 0.01% Reduced -56.7k -56,726
9 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 554,370554.4k $9.7m $9.7m 0.00% Reduced -47.1k -47,100
10 D.A. DAVIDSON & CO. 0.10% of their portfolio GREAT FALLS, MT 531,694531.7k $9.3m $9.3m 0.10% Added +514.0k +513,976
11 Crumly & Associates Inc. 3.55% of their portfolio SPRINGFIELD, IL 519,401519.4k $9.0m $9.0m 3.55% Added +77.5k +77,540
12 Vestmark Advisory Solutions, Inc. 0.48% of their portfolio Wakefield, MA 379,866379.9k $6.6m $6.6m 0.48% New
13 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 374,009374.0k $6.5m $6.5m 0.03% Added +67.1k +67,134
14 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 372,313372.3k $6.5m $6.5m 0.01% Reduced -112.7k -112,656
15 StoneX Group Inc. 0.70% of their portfolio NEW YORK, NY 371,845371.8k $6.5m $6.5m 0.70% Reduced -69.1k -69,133
16 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 326,413326.4k $5.7m $5.7m 0.01% Added +277.6k +277,599
17 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 291,490291.5k $5.1m $5.1m 0.01% Added +17.6k +17,610
18 Avestar Capital, LLC 0.73% of their portfolio New York, NY 274,907274.9k $4.8m $4.8m 0.73% Reduced -33.3k -33,337
19 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 262,884262.9k $4.6m $4.6m 0.02% Reduced -12.2k -12,222
20 NewEdge Advisors, LLC 0.04% of their portfolio NEW ORLEANS, LA 230,829230.8k $4.0m $4.0m 0.04% Added +148.9k +148,932
21 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 228,397228.4k $4.0m $4.0m 0.01% Reduced -11.2k -11,217
22 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 201,595201.6k $3.5m $3.5m 0.01% Reduced -45.1k -45,100
23 NAVELLIER & ASSOCIATES INC 0.60% of their portfolio Reno, NV 201,592201.6k $3.5m $3.5m 0.60% New
24 BNP PARIBAS FINANCIAL MARKETS 0.01% of their portfolio PARIS, I0 201,000201.0k $3.5m $3.5m 0.01% Added +695 +695
25 Kestra Advisory Services, LLC 0.03% of their portfolio AUSTIN, TX 192,416192.4k $3.4m $3.4m 0.03% Reduced -4.0k -4,047
26 IronBridge Private Wealth, LLC 1.79% of their portfolio Austin, TX 189,592189.6k $3.3m $3.3m 1.79% New
27 PCG Wealth Advisors, LLC 2.03% of their portfolio OVERLAND PARK, KS 177,576177.6k $3.1m $3.1m 2.03% Added +34.4k +34,407
28 Trinity Wealth Management, LLC 1.78% of their portfolio BERWYN, PA 165,045165.0k $2.9m $2.9m 1.78% Added +8.6k +8,600
29 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 156,464156.5k $2.7m $2.7m 0.01% Added +6.7k +6,711
30 TAP Consulting, LLC 0.65% of their portfolio KIRKWOOD, MO 144,533144.5k $2.5m $2.5m 0.65% Added +1.3k +1,331
31 Financial Advocates Investment Management 0.18% of their portfolio OLYMPIA, WA 142,816142.8k $2.5m $2.5m 0.18% Added +1.9k +1,893
32 Cetera Investment Advisers 0.02% of their portfolio SCHAUMBURG, IL 136,853136.9k $2.4m $2.4m 0.02% Added +50.6k +50,636
33 KESTRA PRIVATE WEALTH SERVICES, LLC 0.07% of their portfolio AUSTIN, TX 122,976123.0k $2.1m $2.1m 0.07% Reduced -2.8k -2,817
34 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 116,951117.0k $2.0m $2.0m 0.01% Reduced -7.5k -7,528
35 WORLD EQUITY GROUP, INC. 0.38% of their portfolio SCHAUMBURG, IL 105,811105.8k $1.8m $1.8m 0.38% Reduced -4.8k -4,752
36 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 101,528101.5k $1.8m $1.8m 0.02% Added +31.6k +31,552
37 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 100,003100.0k $1.7m $1.7m 0.00% Reduced -24.1k -24,062
38 Sigma Planning Corp 0.06% of their portfolio ANN ARBOR, MI 95,01495.0k $1.7m $1.7m 0.06% Added +6.9k +6,878
39 Savior LLC 11.23% of their portfolio WELLESLEY HILLS, MA 92,87692.9k $1.6m $1.6m 11.23% Reduced -19.7k -19,695
40 BENJAMIN F. EDWARDS & COMPANY, INC. 0.05% of their portfolio ST. LOUIS, MO 79,71879.7k $1.4m $1.4m 0.05% Added +16.1k +16,148
41 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 73,55073.5k $1.3m $1.3m 0.01% Reduced -2.2k -2,185
42 Triumph Capital Management 0.48% of their portfolio DENVER, CO 61,15961.2k $1.1m $1.1m 0.48% New
43 Stonebridge Financial Planning Group, LLC 0.67% of their portfolio ORLANDO, FL 60,35860.4k $1.1m $1.1m 0.67% Reduced -21.8k -21,828
44 LANARK FINANCIAL, INC. 0.11% of their portfolio BIRMINGHAM, AL 55,50855.5k $966.0k $966.0k 0.11% First filing
45 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 54,78954.8k $954.4k $954.4k 0.02% Added +35.4k +35,436
46 Gateway Wealth Partners, LLC 0.17% of their portfolio APPLETON, WI 52,57752.6k $915.9k $915.9k 0.17% Added +9.1k +9,115
47 Csenge Advisory Group 0.06% of their portfolio CLEARWATER, FL 50,62250.6k $881.8k $881.8k 0.06% Reduced -8.7k -8,690
48 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 50,48950.5k $879.5k $879.5k 0.01% Reduced -10.5k -10,505
49 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 50,46450.5k $879.1k $879.1k 0.01% Added +16.0k +16,003
50 INDEPENDENT FINANCIAL GROUP, LLC 0.06% of their portfolio SAN DIEGO, CA 50,27450.3k $875.8k $875.8k 0.06% Reduced -4.4k -4,423
51 Coppell Advisory Solutions LLC 0.30% of their portfolio COPPELL, TX 50,21650.2k $858.2k $858.2k 0.30% Reduced -104.0k -103,961
52 Prospera Financial Services Inc 0.03% of their portfolio Dallas, TX 49,80249.8k $867.6k $867.6k 0.03% Reduced -854 -854
53 IFP Advisors, Inc 0.04% of their portfolio TAMPA, FL 49,76449.8k $866.9k $866.9k 0.04% Reduced -101.2k -101,184
54 Owen LaRue, LLC 0.91% of their portfolio ELIZABETHTOWN, KY 47,50047.5k $827.5k $827.5k 0.91% New
55 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 45,52145.5k $793.0k $793.0k 0.02% Added +1.3k +1,290
56 Kesler, Norman & Wride, LLC 0.20% of their portfolio OGDEN, UT 44,60944.6k $777.1k $777.1k 0.20% Unchanged
57 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 43,54043.5k $758.5k $758.5k 0.00% Reduced -2.1k -2,109
58 OneDigital Investment Advisors LLC 0.02% of their portfolio OVERLAND PARK, KS 43,05043.0k $749.9k $749.9k 0.02% Reduced -1.7k -1,735
59 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 40,08040.1k $711.0k $711.0k 0.00% Added +1.8k +1,750
60 MML INVESTORS SERVICES, LLC 0.00% of their portfolio SPRINGFIELD, MA 32,89532.9k $573.0k $573.0k 0.00% Reduced -3.3k -3,340
61 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 31,84631.8k $554.8k $554.8k 0.01% Added +8.1k +8,129
62 CENTAURUS FINANCIAL, INC. 0.05% of their portfolio ANAHEIM, CA 30,45630.5k $531.0k $531.0k 0.05% Added +2.1k +2,111
63 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 30,04530.0k $523.4k $523.4k 0.01% Added +2.1k +2,116
64 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 29,81729.8k $519.4k $519.4k 0.00% Reduced -5.9k -5,938
65 Monument Capital Management 0.17% of their portfolio ALEXANDRIA, VA 28,62028.6k $498.6k $498.6k 0.17% New
66 CREATIVE FINANCIAL DESIGNS INC /ADV 0.05% of their portfolio KOKOMO, IN 26,10326.1k $454.7k $454.7k 0.05% Reduced -3.0k -2,996
67 RPg Family Wealth Advisory, LLC 0.18% of their portfolio BURLINGTON, MA 25,23625.2k $439.6k $439.6k 0.18% Added +2.8k +2,788
68 Global Assets Advisory, LLC 0.36% of their portfolio ORLANDO, FL 23,36023.4k $406.9k $406.9k 0.36% New
69 COTTONWOOD CAPITAL ADVISORS, LLC 0.38% of their portfolio SALT LAKE CITY, UT 23,30223.3k $405.9k $405.9k 0.38% Unchanged
70 1776 Wealth LLC 0.21% of their portfolio ATLANTA, GA 22,95022.9k $399.8k $399.8k 0.21% Unchanged
71 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 22,92722.9k $399.4k $399.4k 0.00% Reduced -3.5k -3,469
72 SignalPoint Asset Management, LLC 0.13% of their portfolio SPRINGFIELD, MO 22,57122.6k $393.2k $393.2k 0.13% Reduced -252 -252
73 INSIGNEO ADVISORY SERVICES, LLC 0.08% of their portfolio MIAMI, FL 22,42622.4k $390.7k $390.7k 0.08% Reduced -339 -339
74 L.M. KOHN & COMPANY 0.14% of their portfolio CINCINNATI, OH 21,74521.7k $378.8k $378.8k 0.14% New
75 Envestnet Portfolio Solutions, Inc. 0.00% of their portfolio BERWYN, PA 21,41221.4k $373.0k $373.0k 0.00% First filing
76 IAMS WEALTH MANAGEMENT, LLC 0.26% of their portfolio OMAHA, NE 21,34821.3k $371.9k $371.9k 0.26% New
77 HARBOUR INVESTMENTS, INC. 0.02% of their portfolio MADISON, WI 21,08321.1k $367.3k $367.3k 0.02% Reduced -8.3k -8,310
78 Blackhawk Capital Partners, LLC 0.27% of their portfolio THIENSVILLE, WI 21,02921.0k $366.3k $366.3k 0.27% Reduced -507 -507
79 IHT Wealth Management, LLC 0.02% of their portfolio Chicago, IL 19,92719.9k $347.1k $347.1k 0.02% Added +2.6k +2,592
80 Sowell Financial Services LLC 0.02% of their portfolio NORTH LITTLE ROCK, AR 19,26219.3k $336.0k $336.0k 0.02% Unchanged
81 LEVEL FOUR ADVISORY SERVICES, LLC 0.02% of their portfolio DALLAS, TX 19,19519.2k $334.4k $334.4k 0.02% Reduced -7.9k -7,858
82 HFG Advisors, Inc. 0.37% of their portfolio CINCINATTI, OH 19,17919.2k $334.1k $334.1k 0.37% Reduced -709 -709
83 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 19,05819.1k $332.0k $332.0k 0.00% Added +145 +145
84 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 18,85618.9k $328.5k $328.5k 0.00% Reduced -1.4k -1,395
85 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 18,23718.2k $317.7k $317.7k 0.00% Added +18.1k +18,083
86 Mach-1 Financial Group, LLC 0.13% of their portfolio Rogers, AR 18,16518.2k $316.4k $316.4k 0.13% Reduced -195 -195
87 Trexquant Investment LP 0.01% of their portfolio STAMFORD, CT 17,98418.0k $313.3k $313.3k 0.01% Reduced -24.8k -24,766
88 Waterloo Capital, L.P. 0.09% of their portfolio AUSTIN, TX 17,94217.9k $312.6k $312.6k 0.09% New
89 PARK AVENUE SECURITIES LLC 0.00% of their portfolio NEW YORK, NY 16,37416.4k $285.0k $285.0k 0.00% New
90 Orion Porfolio Solutions, LLC 0.00% of their portfolio OMAHA, NE 16,36416.4k $285.1k $285.1k 0.00% Added +4.6k +4,628
91 Orion Portfolio Solutions, LLC 0.00% of their portfolio Omaha, NE 16,36416.4k $285.1k $285.1k 0.00% Added +4.6k +4,628
92 Anson Capital, Inc. 0.54% of their portfolio TYRONE, GA 16,33216.3k $284.5k $284.5k 0.54% Reduced -738 -738
93 Truepoint, Inc. 0.01% of their portfolio CINCINNATI, OH 16,30016.3k $283.9k $283.9k 0.01% Unchanged
94 Fulcrum Equity Management 0.32% of their portfolio PLANO, TX 15,89715.9k $276.9k $276.9k 0.32% New
95 Secure Asset Management, LLC 0.08% of their portfolio Troy, MI 15,83715.8k $275.9k $275.9k 0.08% Reduced -2.1k -2,115
96 Davis Investment Partners, LLC 0.14% of their portfolio CHARLOTTE, NC 15,70015.7k $258.3k $258.3k 0.14% Unchanged
97 COMERICA BANK 0.00% of their portfolio DALLAS, TX 15,34015.3k $267.2k $267.2k 0.00% New
98 Certified Advisory Corp 0.05% of their portfolio ALTAMONTE SPRINGS, FL 15,13115.1k $263.6k $263.6k 0.05% Unchanged
99 tru Independence LLC 0.09% of their portfolio PORTLAND, OR 15,11615.1k $263.3k $263.3k 0.09% Added +3.2k +3,248
100 VitalStone Financial, LLC 0.21% of their portfolio SHAVANO PARK, TX 14,96015.0k $249.0k $249.0k 0.21% Added +14.2k +14,230