Vault-13

FIRST TR EXCHANGE TRADED FD FXN

ENERGY ALPHADX · ETP · CUSIP 33734X127

145 institutional holders -9 vs Q4 2023
27,976,87728.0m shares reported held*
$515.5mreported value*
13 new 46 added 67 reduced 23 sold out net bought ≈ $36.2m (+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 ($7.9m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $18.43.

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 167Q4 22: 189Q1 23: 166Q2 23: 150Q3 23: 156Q4 23: 154Q1 24: 145145Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 2022167
Q4 2022189
Q1 2023166
Q2 2023150
Q3 2023156
Q4 2023154
Q1 2024145

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 23Q1 24: 59 bought or addedQ1 24: 90 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 202210971
Q1 202357132
Q2 202354107
Q3 20236979
Q4 20236784
Q1 20245990

Calls vs puts

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

CallsPuts
$0$250k$500k$750k$1mQ2 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 —Q1 24 calls: $0Q1 24 puts: $0Q1 24P/C —
Numbers
QuarterCallsPutsP/C
Q2 2023$0$982.2k—
Q3 2023$0$0—
Q4 2023$0$0—
Q1 2024$0$0—

Biggest buyers

MORGAN STANLEY Added +2,735,293+2.7m
Global Assets Advisory, LLC Added +422,371+422.4k
ENVESTNET ASSET MANAGEMENT INC Added +361,503+361.5k
BANK OF NOVA SCOTIA New +303,100+303.1k
D. E. Shaw & Co., Inc. Added +289,969+290.0k
ROYAL BANK OF CANADA Added +273,476+273.5k
COMMONWEALTH EQUITY SERVICES, LLC Added +112,317+112.3k
Cetera Investment Advisers Added +90,472+90.5k
LPL Financial LLC Added +80,117+80.1k
Avestar Capital, LLC Added +78,268+78.3k

Biggest sellers

Prostatis Group LLC Reduced -368,006-368.0k
WELLS FARGO & COMPANY/MN Reduced -210,614-210.6k
NAVELLIER & ASSOCIATES INC Reduced -186,473-186.5k
NewEdge Advisors, LLC Reduced -182,019-182.0k
UBS Group AG Reduced -154,734-154.7k
RAYMOND JAMES & ASSOCIATES Reduced -147,652-147.7k
CITADEL ADVISORS LLC Reduced -124,215-124.2k
Cetera Advisor Networks LLC Sold out -110,519-110.5k
OSAIC HOLDINGS, INC. Reduced -84,259-84.3k
BANK OF AMERICA CORP /DE/ Reduced -78,360-78.4k

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 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 10,088,92510.1m $189.0m $189.0m 0.01% Added +2.7m +2,735,293
2 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 2,645,1962.6m $49.5m $49.5m 0.01% Reduced -210.6k -210,614
3 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 2,323,2372.3m $43.5m $43.5m 0.02% Added +80.1k +80,117
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 1,739,1931.7m $32.6m $32.6m 0.01% Reduced -154.7k -154,734
5 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 824,598824.6k $15.4m $15.4m 0.01% Added +361.5k +361,503
6 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 787,095787.1k $14.7m $14.7m 0.00% Added +273.5k +273,476
7 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 767,460767.5k $14.4m $14.4m 0.00% Reduced -78.4k -78,360
8 Crumly & Associates Inc. 2.85% of their portfolio SPRINGFIELD, IL 579,454579.5k $10.9m $10.9m 2.85% Reduced -3.6k -3,608
9 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 462,045462.0k $8.7m $8.7m 0.01% Reduced -147.7k -147,652
10 Global Assets Advisory, LLC 0.91% of their portfolio ORLANDO, FL 446,020446.0k $23.6k $23.6k 0.91% Added +422.4k +422,371
11 Vestmark Advisory Solutions, Inc. 0.34% of their portfolio Wakefield, MA 419,680419.7k $7.9m $7.9m 0.34% Added +15.0k +15,029
12 Avestar Capital, LLC 0.75% of their portfolio New York, NY 349,276349.3k $6.5m $6.5m 0.75% Added +78.3k +78,268
13 D. E. Shaw & Co., Inc. 0.01% of their portfolio New York, NY 322,368322.4k $6.0m $6.0m 0.01% Added +290.0k +289,969
14 StoneX Group Inc. 0.53% of their portfolio NEW YORK, NY 317,717317.7k $6.0m $6.0m 0.53% Reduced -53.4k -53,447
15 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 313,330313.3k $5.9m $5.9m 0.01% Reduced -73.9k -73,858
16 BANK OF NOVA SCOTIA 0.01% of their portfolio TORONTO, A6 303,100303.1k $5.7m $5.7m 0.01% New
17 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 292,920292.9k $5.5m $5.5m 0.01% Added +112.3k +112,317
18 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 284,431284.4k $5.3m $5.3m 0.02% Reduced -61.6k -61,642
19 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 269,731269.7k $5.1m $5.1m 0.00% Reduced -124.2k -124,215
20 Trinity Wealth Management, LLC 2.27% of their portfolio BERWYN, PA 234,444234.4k $4.4m $4.4m 2.27% Added +33.7k +33,651
21 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 233,812233.8k $4.4m $4.4m 0.01% Reduced -13.9k -13,900
22 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 204,115204.1k $3.8m $3.8m 0.01% Added +90.5k +90,472
23 Kestra Advisory Services, LLC 0.03% of their portfolio AUSTIN, TX 203,830203.8k $3.8m $3.8m 0.03% Added +7.1k +7,094
24 D.A. DAVIDSON & CO. 0.03% of their portfolio GREAT FALLS, MT 201,488201.5k $3.8m $3.8m 0.03% Reduced -1.6k -1,597
25 PCG Wealth Advisors, LLC 1.71% of their portfolio OVERLAND PARK, KS 191,578191.6k $3.6m $3.6m 1.71% Added +5.3k +5,296
26 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 187,376187.4k $3.5m $3.5m 0.01% Reduced -84.3k -84,259
27 IronBridge Private Wealth, LLC 1.41% of their portfolio Austin, TX 181,643181.6k $3.4m $3.4m 1.41% Reduced -4.3k -4,294
28 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 171,480171.5k $3.2m $3.2m 0.01% Added +1.1k +1,053
29 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 169,588169.6k $3.2m $3.2m 0.00% Reduced -71.4k -71,439
30 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 164,868164.9k $3.1m $3.1m 0.01% Reduced -54.9k -54,858
31 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 128,952129.0k $2.4m $2.4m 0.00% Added +15.6k +15,626
32 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 128,467128.5k $2.4m $2.4m 0.02% Added +39.1k +39,093
33 TAP Consulting, LLC 0.50% of their portfolio KIRKWOOD, MO 120,421120.4k $2.3m $2.3m 0.50% Reduced -4.6k -4,561
34 WORLD EQUITY GROUP, INC. 0.45% of their portfolio SCHAUMBURG, IL 117,558117.6k $2.2m $2.2m 0.45% Reduced -48.5k -48,513
35 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 100,500100.5k $1.9m $1.9m 0.00% Added +49.2k +49,190
36 Stratos Wealth Partners, LTD. 0.03% of their portfolio BEACHWOOD, OH 92,41092.4k $1.7m $1.7m 0.03% Reduced -3.7k -3,665
37 BENJAMIN F. EDWARDS & COMPANY, INC. 0.03% of their portfolio ST. LOUIS, MO 77,92677.9k $1.5m $1.5m 0.03% Added +1.9k +1,851
38 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 74,96875.0k $1.4m $1.4m 0.01% Reduced -182.0k -182,019
39 GSA CAPITAL PARTNERS LLP 0.11% of their portfolio LONDON, X0 74,30074.3k $1.4m $1.4m 0.11% New
40 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 73,92073.9k $1.4m $1.4m 0.01% Reduced -19.9k -19,924
41 Coppell Advisory Solutions Corp. 0.24% of their portfolio COPPELL, TX 68,67268.7k $1.3m $1.3m 0.24% First filing
42 TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio NEW YORK, NY 56,11156.1k $1.1m $1.1m 0.00% Reduced -55.2k -55,200
43 Gateway Wealth Partners, LLC 0.37% of their portfolio APPLETON, WI 55,24455.2k $1.0m $1.0m 0.37% Added +3.0k +3,042
44 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 54,74154.7k $1.0m $1.0m 0.01% Added +836 +836
45 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 51,27351.3k $960.3k $960.3k 0.00% New
46 Prospera Financial Services Inc 0.03% of their portfolio Dallas, TX 49,13449.1k $920.3k $920.3k 0.03% Reduced -830 -830
47 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 47,18547.2k $883.4k $883.4k 0.00% Added +125 +125
48 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 45,52145.5k $793.0k $793.0k 0.02% Reduced -5.2k -5,167
49 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 45,17945.2k $846.2k $846.2k 0.01% Reduced -7.6k -7,637
50 Kesler, Norman & Wride, LLC 0.18% of their portfolio OGDEN, UT 44,50444.5k $833.6k $833.6k 0.18% Unchanged
51 LANARK FINANCIAL, INC. 0.08% of their portfolio BIRMINGHAM, AL 44,45544.5k $832.0k $832.0k 0.08% Reduced -8.5k -8,533
52 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 43,90043.9k $822.0k $822.0k 0.00% Added +7.7k +7,700
53 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 41,47841.5k $777.0k $777.0k 0.00% Added +1.7k +1,665
54 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 40,62840.6k $761.0k $761.0k 0.00% Reduced -3.4k -3,397
55 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 38,75438.8k $725.9k $725.9k 0.00% New
56 Sigma Planning Corp 0.02% of their portfolio ANN ARBOR, MI 36,78436.8k $689.0k $689.0k 0.02% Reduced -5.3k -5,317
57 JBR Co Financial Management Inc 0.47% of their portfolio ARDMORE, OK 31,46431.5k $589.3k $589.3k 0.47% Reduced -5.7k -5,722
58 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 29,25329.3k $547.9k $547.9k 0.00% Reduced -1.2k -1,235
59 IFP Advisors, Inc 0.02% of their portfolio TAMPA, FL 28,25328.3k $529.2k $529.2k 0.02% Reduced -12.2k -12,156
60 Envestnet Portfolio Solutions, Inc. 0.00% of their portfolio BERWYN, PA 27,30527.3k $511.4k $511.4k 0.00% Added +5.9k +5,891
61 NAVELLIER & ASSOCIATES INC 0.06% of their portfolio Reno, NV 25,11625.1k $470.4k $470.4k 0.06% Reduced -186.5k -186,473
62 CENTAURUS FINANCIAL, INC. 0.03% of their portfolio ANAHEIM, CA 24,38824.4k $457.0k $457.0k 0.03% Reduced -5.8k -5,758
63 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 24,09924.1k $451.4k $451.4k 0.00% Reduced -7.3k -7,334
64 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.05% of their portfolio ORLANDO, FL 23,51723.5k $443.5k $443.5k 0.05% Reduced -13.8k -13,848
65 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 23,20223.2k $434.6k $434.6k 0.00% Added +12.2k +12,193
66 RPg Family Wealth Advisory, LLC 0.13% of their portfolio BURLINGTON, MA 22,52622.5k $421.9k $421.9k 0.13% Reduced -5.2k -5,160
67 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 22,26822.3k $417.1k $417.1k 0.01% Reduced -1.0k -1,046
68 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 21,94921.9k $411.1k $411.1k 0.00% New
69 Stonebridge Financial Planning Group, LLC 0.22% of their portfolio ORLANDO, FL 21,84321.8k $409.1k $409.1k 0.22% Reduced -6.2k -6,236
70 SignalPoint Asset Management, LLC 0.11% of their portfolio SPRINGFIELD, MO 21,52921.5k $403.2k $403.2k 0.11% Reduced -1.0k -1,049
71 Orion Porfolio Solutions, LLC 0.00% of their portfolio OMAHA, NE 21,51621.5k $403.0k $403.0k 0.00% Added +3.4k +3,399
72 Orion Portfolio Solutions, LLC 0.00% of their portfolio Omaha, NE 21,51621.5k $403.0k $403.0k 0.00% Added +3.4k +3,399
73 COTTONWOOD CAPITAL ADVISORS, LLC 0.32% of their portfolio SALT LAKE CITY, UT 21,48821.5k $401.6k $401.6k 0.32% Reduced -1.8k -1,814
74 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 20,30220.3k $380.3k $380.3k 0.00% Reduced -25.6k -25,610
75 1776 Wealth LLC 0.18% of their portfolio ATLANTA, GA 20,10020.1k $376.5k $376.5k 0.18% Unchanged
76 KESTRA PRIVATE WEALTH SERVICES, LLC 0.01% of their portfolio AUSTIN, TX 19,88219.9k $372.4k $372.4k 0.01% Reduced -3.7k -3,688
77 LEVEL FOUR ADVISORY SERVICES, LLC 0.02% of their portfolio DALLAS, TX 19,19519.2k $320.4k $320.4k 0.02% Unchanged
78 HFG Advisors, Inc. 0.32% of their portfolio CINCINATTI, OH 19,17919.2k $359.2k $359.2k 0.32% Unchanged
79 REAP Financial Group, LLC 0.10% of their portfolio AUSTIN, TX 19,04319.0k $356.7k $356.7k 0.10% Added +1.1k +1,056
80 IAMS WEALTH MANAGEMENT, LLC 0.19% of their portfolio OMAHA, NE 18,58518.6k $314.1k $314.1k 0.19% Added +1.4k +1,408
81 Blackhawk Capital Partners, LLC 0.21% of their portfolio THIENSVILLE, WI 18,18418.2k $340.6k $340.6k 0.21% Reduced -812 -812
82 OneDigital Investment Advisors LLC 0.00% of their portfolio OVERLAND PARK, KS 16,71216.7k $313.0k $313.0k 0.00% Reduced -25.0k -24,987
83 INSIGNEO ADVISORY SERVICES, LLC 0.04% of their portfolio MIAMI, FL 16,70016.7k $312.8k $312.8k 0.04% Reduced -5.7k -5,726
84 Prosperity Financial Group, Inc. 0.19% of their portfolio San Ramon, CA 16,50716.5k $309.2k $309.2k 0.19% Added +3.0k +3,017
85 PARK AVENUE SECURITIES LLC 0.00% of their portfolio NEW YORK, NY 15,56215.6k $291.0k $291.0k 0.00% Reduced -349 -349
86 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 15,39415.4k $288.3k $288.3k 0.00% Reduced -5.0k -4,999
87 CIBC WORLD MARKET INC. 0.00% of their portfolio TORONTO, A6 14,93814.9k $280.0k $280.0k 0.00% Added +1.0k +1,035
88 Y-Intercept (Hong Kong) Ltd 0.02% of their portfolio HONG KONG, K3 14,92214.9k $279.5k $279.5k 0.02% New
89 Gladstone Institutional Advisory LLC 0.02% of their portfolio Bedminster, NJ 14,90714.9k $279.2k $279.2k 0.02% Unchanged
90 HBW ADVISORY SERVICES LLC 0.04% of their portfolio SIMI VALLEY, CA 14,33914.3k $239.0k $239.0k 0.04% Unchanged
91 Csenge Advisory Group 0.01% of their portfolio CLEARWATER, FL 14,13114.1k $264.7k $264.7k 0.01% Reduced -30.0k -30,039
92 Secure Asset Management, LLC 0.06% of their portfolio Troy, MI 14,11414.1k $264.4k $264.4k 0.06% Reduced -4.7k -4,686
93 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 13,55213.6k $253.8k $253.8k 0.00% Reduced -3.4k -3,390
94 Pinnacle Family Advisors, LLC 0.13% of their portfolio Springfield, MO 13,44613.4k $251.9k $251.9k 0.13% Added +937 +937
95 COMERICA BANK 0.00% of their portfolio DALLAS, TX 12,53612.5k $234.8k $234.8k 0.00% Reduced -261 -261
96 Certified Advisory Corp 0.03% of their portfolio ALTAMONTE SPRINGS, FL 12,40312.4k $232.3k $232.3k 0.03% Reduced -2.7k -2,728
97 Moors & Cabot, Inc. 0.01% of their portfolio BOSTON, MA 12,30812.3k $230.5k $230.5k 0.01% Added +7 +7
98 PFG Advisors 0.02% of their portfolio Phoenix, AZ 11,90711.9k $223.0k $223.0k 0.02% Added +282 +282
99 Geneos Wealth Management Inc. 0.01% of their portfolio ENGLEWOOD, CO 11,81311.8k $221.3k $221.3k 0.01% Added +8.1k +8,118
100 INDEPENDENT FINANCIAL GROUP, LLC 0.01% of their portfolio SAN DIEGO, CA 11,31511.3k $211.9k $211.9k 0.01% Reduced -28.0k -28,035