Vault-13

FIRST TR EXCHANGE TRADED FD FXN

ENERGY ALPHADX · ETP · CUSIP 33734X127

154 institutional holders -2 vs Q3 2023
25,564,88425.6m shares reported held*
$426.6mreported value*
18 new 49 added 59 reduced 25 sold out net bought ≈ $26.9m (+1.6m 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 ($6.8m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $16.69.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 167Q4 22: 189Q1 23: 166Q2 23: 150Q3 23: 156Q4 23: 154154Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022167
Q4 2022189
Q1 2023166
Q2 2023150
Q3 2023156
Q4 2023154

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 23Q4 23: 67 bought or addedQ4 23: 84 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 202210971
Q1 202357132
Q2 202354107
Q3 20236979
Q4 20236784

Calls vs puts

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

CallsPuts
$0$250k$500k$750k$1mQ1 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 —Q4 23 calls: $0Q4 23 puts: $0Q4 23P/C —
Numbers
QuarterCallsPutsP/C
Q1 2023$8.0k$00.00
Q2 2023$0$982.2k—
Q3 2023$0$0—
Q4 2023$0$0—

Biggest buyers

MORGAN STANLEY Added +3,118,291+3.1m
CITADEL ADVISORS LLC New +393,946+393.9k
Prostatis Group LLC New +378,334+378.3k
TWO SIGMA INVESTMENTS, LP New +111,311+111.3k
UBS Group AG Added +78,951+79.0k
Crumly & Associates Inc. Added +63,661+63.7k
MML INVESTORS SERVICES, LLC Added +60,949+60.9k
WORLD EQUITY GROUP, INC. Added +60,260+60.3k
GTS SECURITIES LLC New +54,834+54.8k
Tower Research Capital LLC (TRC) New +50,457+50.5k

Biggest sellers

WELLS FARGO & COMPANY/MN Reduced -510,379-510.4k
Raymond James Financial Services Advisors, Inc. Reduced -405,336-405.3k
D.A. DAVIDSON & CO. Reduced -328,609-328.6k
ENVESTNET ASSET MANAGEMENT INC Reduced -300,098-300.1k
TRUIST FINANCIAL CORP Reduced -282,388-282.4k
BNP PARIBAS FINANCIAL MARKETS Reduced -149,690-149.7k
BANK OF AMERICA CORP /DE/ Reduced -104,626-104.6k
OSAIC HOLDINGS, INC. Reduced -100,678-100.7k
KESTRA PRIVATE WEALTH SERVICES, LLC Reduced -99,406-99.4k
Savior LLC Sold out -92,876-92.9k

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, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 7,353,6327.4m $122.7m $122.7m 0.01% Added +3.1m +3,118,291
2 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 2,855,8102.9m $47.7m $47.7m 0.01% Reduced -510.4k -510,379
3 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 2,243,1202.2m $37.4m $37.4m 0.02% Reduced -4.7k -4,743
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 1,893,9271.9m $31.6m $31.6m 0.01% Added +79.0k +78,951
5 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 845,820845.8k $14.1m $14.1m 0.00% Reduced -104.6k -104,626
6 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 609,697609.7k $10.2m $10.2m 0.01% Added +37.3k +37,325
7 Crumly & Associates Inc. 2.83% of their portfolio SPRINGFIELD, IL 583,062583.1k $9.7m $9.7m 2.83% Added +63.7k +63,661
8 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 513,619513.6k $8.6m $8.6m 0.00% Reduced -40.8k -40,751
9 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 463,095463.1k $7.7m $7.7m 0.00% Reduced -300.1k -300,098
10 Vestmark Advisory Solutions, Inc. 0.34% of their portfolio Wakefield, MA 404,651404.7k $6.8m $6.8m 0.34% Added +24.8k +24,785
11 CITADEL ADVISORS LLC 0.01% of their portfolio MIAMI, FL 393,946393.9k $6.6m $6.6m 0.01% New
12 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 387,188387.2k $6.5m $6.5m 0.01% Reduced -405.3k -405,336
13 Prostatis Group LLC 2.64% of their portfolio HANOVER, MD 378,334378.3k $6.3m $6.3m 2.64% New
14 StoneX Group Inc. 0.62% of their portfolio NEW YORK, NY 371,164371.2k $6.2m $6.2m 0.62% Reduced -681 -681
15 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 346,073346.1k $5.8m $5.8m 0.02% Reduced -27.9k -27,936
16 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 271,635271.6k $4.5m $4.5m 0.01% Reduced -100.7k -100,678
17 Avestar Capital, LLC 0.56% of their portfolio New York, NY 271,008271.0k $4.5m $4.5m 0.56% Reduced -3.9k -3,899
18 NewEdge Advisors, LLC 0.04% of their portfolio NEW ORLEANS, LA 256,987257.0k $4.2m $4.2m 0.04% Added +26.2k +26,158
19 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 247,712247.7k $4.1m $4.1m 0.01% Reduced -15.2k -15,172
20 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 241,027241.0k $4.0m $4.0m 0.01% Reduced -50.5k -50,463
21 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 219,726219.7k $3.7m $3.7m 0.01% Reduced -8.7k -8,671
22 NAVELLIER & ASSOCIATES INC 0.53% of their portfolio Reno, NV 211,589211.6k $3.5m $3.5m 0.53% Added +10.0k +9,997
23 D.A. DAVIDSON & CO. 0.03% of their portfolio GREAT FALLS, MT 203,085203.1k $3.4m $3.4m 0.03% Reduced -328.6k -328,609
24 Trinity Wealth Management, LLC 2.01% of their portfolio BERWYN, PA 200,793200.8k $3.4m $3.4m 2.01% Added +35.7k +35,748
25 Kestra Advisory Services, LLC 0.03% of their portfolio AUSTIN, TX 196,736196.7k $3.3m $3.3m 0.03% Added +4.3k +4,320
26 PCG Wealth Advisors, LLC 1.74% of their portfolio OVERLAND PARK, KS 186,282186.3k $3.1m $3.1m 1.74% Added +8.7k +8,706
27 IronBridge Private Wealth, LLC 1.51% of their portfolio Austin, TX 185,937185.9k $3.1m $3.1m 1.51% Reduced -3.7k -3,655
28 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 180,603180.6k $3.0m $3.0m 0.01% Reduced -21.0k -20,992
29 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 170,427170.4k $2.8m $2.8m 0.01% Added +14.0k +13,963
30 WORLD EQUITY GROUP, INC. 0.56% of their portfolio SCHAUMBURG, IL 166,071166.1k $2.8m $2.8m 0.56% Added +60.3k +60,260
31 TAP Consulting, LLC 0.50% of their portfolio KIRKWOOD, MO 124,982125.0k $2.1m $2.1m 0.50% Reduced -19.6k -19,551
32 Cetera Investment Advisers 0.02% of their portfolio SCHAUMBURG, IL 113,643113.6k $1.9m $1.9m 0.02% Reduced -23.2k -23,210
33 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 113,326113.3k $1.9m $1.9m 0.00% Added +13.3k +13,323
34 TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio NEW YORK, NY 111,311111.3k $1.9m $1.9m 0.00% New
35 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 110,519110.5k $1.8m $1.8m 0.01% Reduced -6.4k -6,432
36 Stratos Wealth Partners, LTD. 0.03% of their portfolio BEACHWOOD, OH 96,07596.1k $1.6m $1.6m 0.03% Added +41.3k +41,286
37 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 93,84493.8k $1.6m $1.6m 0.01% Added +60.9k +60,949
38 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 89,37489.4k $1.5m $1.5m 0.01% Reduced -12.2k -12,154
39 BENJAMIN F. EDWARDS & COMPANY, INC. 0.03% of their portfolio ST. LOUIS, MO 76,07576.1k $1.3m $1.3m 0.03% Reduced -3.6k -3,643
40 Financial Advocates Investment Management 0.06% of their portfolio OLYMPIA, WA 58,98759.0k $984.5k $984.5k 0.06% Reduced -83.8k -83,829
41 GTS SECURITIES LLC 0.02% of their portfolio NEW YORK, NY 54,83454.8k $915.2k $915.2k 0.02% New
42 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 53,90553.9k $899.7k $899.7k 0.01% Added +3.4k +3,441
43 LANARK FINANCIAL, INC. 0.09% of their portfolio BIRMINGHAM, AL 52,98853.0k $884.0k $884.0k 0.09% Reduced -2.5k -2,520
44 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 52,81652.8k $881.5k $881.5k 0.01% Reduced -20.7k -20,734
45 Gateway Wealth Partners, LLC 0.35% of their portfolio APPLETON, WI 52,20252.2k $871.3k $871.3k 0.35% Reduced -375 -375
46 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 51,31051.3k $856.4k $856.4k 0.00% Reduced -149.7k -149,690
47 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 50,68850.7k $846.0k $846.0k 0.02% Added +5.2k +5,167
48 Tower Research Capital LLC (TRC) 0.01% of their portfolio NEW YORK, NY 50,45750.5k $842.1k $842.1k 0.01% New
49 Prospera Financial Services Inc 0.03% of their portfolio Dallas, TX 49,96450.0k $833.9k $833.9k 0.03% Added +162 +162
50 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 47,06047.1k $785.4k $785.4k 0.00% Added +3.5k +3,520
51 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 46,48446.5k $775.8k $775.8k 0.00% New
52 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 45,91245.9k $755.7k $755.7k 0.00% Reduced -4.6k -4,577
53 Kesler, Norman & Wride, LLC 0.17% of their portfolio OGDEN, UT 44,50444.5k $742.8k $742.8k 0.17% Reduced -105 -105
54 Csenge Advisory Group 0.05% of their portfolio CLEARWATER, FL 44,17044.2k $737.2k $737.2k 0.05% Reduced -6.5k -6,452
55 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 44,02544.0k $734.8k $734.8k 0.00% Reduced -282.4k -282,388
56 Sigma Planning Corp 0.05% of their portfolio ANN ARBOR, MI 42,10142.1k $702.7k $702.7k 0.05% Reduced -52.9k -52,913
57 OneDigital Investment Advisors LLC 0.01% of their portfolio OVERLAND PARK, KS 41,69941.7k $696.0k $696.0k 0.01% Reduced -1.4k -1,351
58 IFP Advisors, Inc 0.03% of their portfolio TAMPA, FL 40,40940.4k $674.4k $674.4k 0.03% Reduced -9.4k -9,355
59 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 39,81339.8k $664.0k $664.0k 0.00% Reduced -267 -267
60 INDEPENDENT FINANCIAL GROUP, LLC 0.04% of their portfolio SAN DIEGO, CA 39,35039.4k $656.8k $656.8k 0.04% Reduced -10.9k -10,924
61 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.08% of their portfolio ORLANDO, FL 37,36537.4k $623.6k $623.6k 0.08% New
62 JBR Co Financial Management Inc 0.58% of their portfolio ARDMORE, OK 37,18637.2k $620.6k $620.6k 0.58% First filing
63 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 36,20036.2k $604.0k $604.0k 0.00% Added +25.6k +25,600
64 Trexquant Investment LP 0.01% of their portfolio STAMFORD, CT 35,18335.2k $587.2k $587.2k 0.01% Added +17.2k +17,199
65 Monument Capital Management 0.18% of their portfolio ALEXANDRIA, VA 32,67732.7k $545.4k $545.4k 0.18% Added +4.1k +4,057
66 D. E. Shaw & Co., Inc. 0.00% of their portfolio New York, NY 32,39932.4k $540.7k $540.7k 0.00% New
67 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 32,27832.3k $538.7k $538.7k 0.01% Added +2.2k +2,233
68 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 31,43331.4k $524.6k $524.6k 0.01% Reduced -413 -413
69 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 30,87330.9k $515.3k $515.3k 0.00% New
70 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 30,48830.5k $508.8k $508.8k 0.00% Added +671 +671
71 CENTAURUS FINANCIAL, INC. 0.04% of their portfolio ANAHEIM, CA 30,14630.1k $503.0k $503.0k 0.04% Reduced -310 -310
72 Stonebridge Financial Planning Group, LLC 0.27% of their portfolio ORLANDO, FL 28,07928.1k $468.6k $468.6k 0.27% Reduced -32.3k -32,279
73 RPg Family Wealth Advisory, LLC 0.17% of their portfolio BURLINGTON, MA 27,68627.7k $462.1k $462.1k 0.17% Added +2.5k +2,450
74 CREATIVE FINANCIAL DESIGNS INC /ADV 0.05% of their portfolio KOKOMO, IN 26,56926.6k $443.4k $443.4k 0.05% Added +466 +466
75 Global Assets Advisory, LLC 0.52% of their portfolio ORLANDO, FL 23,64923.6k $399.0k $399.0k 0.52% Added +289 +289
76 KESTRA PRIVATE WEALTH SERVICES, LLC 0.01% of their portfolio AUSTIN, TX 23,57023.6k $393.4k $393.4k 0.01% Reduced -99.4k -99,406
77 HARBOUR INVESTMENTS, INC. 0.02% of their portfolio MADISON, WI 23,31423.3k $389.1k $389.1k 0.02% Added +2.2k +2,231
78 COTTONWOOD CAPITAL ADVISORS, LLC 0.32% of their portfolio SALT LAKE CITY, UT 23,30223.3k $388.9k $388.9k 0.32% Unchanged
79 SignalPoint Asset Management, LLC 0.11% of their portfolio SPRINGFIELD, MO 22,57822.6k $376.0k $376.0k 0.11% Added +7 +7
80 INSIGNEO ADVISORY SERVICES, LLC 0.05% of their portfolio MIAMI, FL 22,42622.4k $374.3k $374.3k 0.05% Unchanged
81 Envestnet Portfolio Solutions, Inc. 0.00% of their portfolio BERWYN, PA 21,41421.4k $357.4k $357.4k 0.00% Added +2 +2
82 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 20,39320.4k $340.4k $340.4k 0.00% Added +1.3k +1,335
83 1776 Wealth LLC 0.17% of their portfolio ATLANTA, GA 20,10020.1k $335.5k $335.5k 0.17% Reduced -2.9k -2,850
84 LEVEL FOUR ADVISORY SERVICES, LLC 0.02% of their portfolio DALLAS, TX 19,19519.2k $320.4k $320.4k 0.02% Unchanged
85 HFG Advisors, Inc. 0.31% of their portfolio CINCINATTI, OH 19,17919.2k $320.1k $320.1k 0.31% Unchanged
86 Blackhawk Capital Partners, LLC 0.21% of their portfolio THIENSVILLE, WI 18,99619.0k $317.0k $317.0k 0.21% Reduced -2.0k -2,033
87 Secure Asset Management, LLC 0.08% of their portfolio Troy, MI 18,80018.8k $313.8k $313.8k 0.08% Added +3.0k +2,963
88 Orion Porfolio Solutions, LLC 0.00% of their portfolio OMAHA, NE 18,11718.1k $300.7k $300.7k 0.00% Added +1.8k +1,753
89 Orion Portfolio Solutions, LLC 0.00% of their portfolio Omaha, NE 18,11718.1k $300.7k $300.7k 0.00% Added +1.8k +1,753
90 REAP Financial Group, LLC 0.09% of their portfolio AUSTIN, TX 17,98718.0k $300.2k $300.2k 0.09% First filing
91 TWO SIGMA SECURITIES, LLC 0.01% of their portfolio NEW YORK, NY 17,50517.5k $292.2k $292.2k 0.01% New
92 IAMS WEALTH MANAGEMENT, LLC 0.19% of their portfolio OMAHA, NE 17,17717.2k $286.7k $286.7k 0.19% Reduced -4.2k -4,171
93 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 16,94216.9k $282.8k $282.8k 0.00% Reduced -1.9k -1,914
94 Truepoint, Inc. 0.01% of their portfolio CINCINNATI, OH 16,30016.3k $272.0k $272.0k 0.01% Unchanged
95 PARK AVENUE SECURITIES LLC 0.00% of their portfolio NEW YORK, NY 15,91115.9k $266.0k $266.0k 0.00% Reduced -463 -463
96 Certified Advisory Corp 0.04% of their portfolio ALTAMONTE SPRINGS, FL 15,13115.1k $252.5k $252.5k 0.04% Unchanged
97 VitalStone Financial, LLC 0.20% of their portfolio SHAVANO PARK, TX 15,05715.1k $251.0k $251.0k 0.20% Added +97 +97
98 Gladstone Institutional Advisory LLC 0.01% of their portfolio Bedminster, NJ 14,90714.9k $248.8k $248.8k 0.01% Added +2.9k +2,852
99 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 14,74914.7k $246.2k $246.2k 0.00% Added +1.8k +1,761
100 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 14,57714.6k $243.0k $243.0k 0.00% Unchanged