Vault-13

FIRST TR EXCHANGE TRADED FD FXO

FINLS ALPHADEX · ETP · CUSIP 33734X135

191 institutional holders +12 vs Q3 2023
12,325,41612.3m shares reported held*
$533.5mreported value*
18 new 41 added 90 reduced 16 sold out net bought ≈ $34.8m (+803.4k 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 ($4.8m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $43.29. Options: 0 managers hold calls (— notional), 1 hold puts ($0).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 188Q4 22: 215Q1 23: 210Q2 23: 179Q3 23: 179Q4 23: 191191Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022188
Q4 2022215
Q1 2023210
Q2 2023179
Q3 2023179
Q4 2023191

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 91 bought or addedQ4 22: 87 cut or sold outQ4 22Q1 23: 96 bought or addedQ1 23: 108 cut or sold outQ1 23Q2 23: 49 bought or addedQ2 23: 136 cut or sold outQ2 23Q3 23: 60 bought or addedQ3 23: 104 cut or sold outQ3 23Q4 23: 59 bought or addedQ4 23: 106 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20229187
Q1 202396108
Q2 202349136
Q3 202360104
Q4 202359106

Calls vs puts

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

CallsPuts
$0$100k$200k$300kQ1 23 calls: $0Q1 23 puts: $0Q1 23P/C —Q2 23 calls: $226.2kQ2 23 puts: $297.5kQ2 23P/C 1.32Q3 23 calls: $0Q3 23 puts: $0Q3 23P/C —Q4 23 calls: $0Q4 23 puts: $0Q4 23P/C —
Numbers
QuarterCallsPutsP/C
Q1 2023$0$0—
Q2 2023$226.2k$297.5k1.32
Q3 2023$0$0—
Q4 2023$0$0—

Biggest buyers

MORGAN STANLEY Added +1,873,654+1.9m
Cetera Advisor Networks LLC Added +59,788+59.8k
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC New +44,570+44.6k
MML INVESTORS SERVICES, LLC Added +32,043+32.0k
CreativeOne Wealth, LLC Added +18,512+18.5k
Monument Capital Management New +14,541+14.5k
GOLDMAN SACHS GROUP INC New +12,534+12.5k
Koshinski Asset Management, Inc. Added +11,528+11.5k
RENAISSANCE TECHNOLOGIES LLC New +9,500+9.5k
Stratos Wealth Partners, LTD. Added +7,979+8.0k

Biggest sellers

WELLS FARGO & COMPANY/MN Reduced -154,239-154.2k
Regal Investment Advisors LLC Reduced -110,681-110.7k
IronBridge Private Wealth, LLC Sold out -96,560-96.6k
Kestra Advisory Services, LLC Reduced -96,250-96.2k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -88,755-88.8k
JANE STREET GROUP, LLC Sold out -73,928-73.9k
LPL Financial LLC Reduced -66,364-66.4k
RAYMOND JAMES & ASSOCIATES Reduced -63,821-63.8k
AMERIPRISE FINANCIAL INC Reduced -54,126-54.1k
BANK OF AMERICA CORP /DE/ Reduced -37,143-37.1k

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.

No one currently above 5% in the filings since 19 Dec 2024.

Fell to 5% or below in the last year: FIRST TRUST PORTFOLIOS LP (0.1%, 2026-03-06)

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 3,998,2504.0m $173.1m $173.1m 0.01% Added +1.9m +1,873,654
2 WELLS FARGO & COMPANY/MN 0.02% of their portfolio SAN FRANCISCO, CA 1,503,2081.5m $65.1m $65.1m 0.02% Reduced -154.2k -154,239
3 LPL Financial LLC 0.03% of their portfolio FORT MILL, SC 1,325,8221.3m $57.4m $57.4m 0.03% Reduced -66.4k -66,364
4 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 472,112472.1k $20.4m $20.4m 0.00% Reduced -37.1k -37,143
5 UBS Group AG 0.01% of their portfolio ZURICH, V8 440,187440.2k $19.1m $19.1m 0.01% Added +5.1k +5,065
6 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 304,922304.9k $13.2m $13.2m 0.02% Reduced -13.7k -13,690
7 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 289,737289.7k $12.5m $12.5m 0.01% Reduced -63.8k -63,821
8 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 174,682174.7k $7.6m $7.6m 0.00% Reduced -54.1k -54,126
9 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 170,694170.7k $7.4m $7.4m 0.01% Reduced -35.4k -35,397
10 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 138,853138.9k $6.0m $6.0m 0.01% Reduced -6.7k -6,670
11 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 136,334136.3k $5.9m $5.9m 0.01% Reduced -27.1k -27,102
12 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 136,099136.1k $5.9m $5.9m 0.00% Reduced -21.8k -21,773
13 MML INVESTORS SERVICES, LLC 0.03% of their portfolio SPRINGFIELD, MA 125,875125.9k $5.4m $5.4m 0.03% Added +32.0k +32,043
14 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 123,113123.1k $5.3m $5.3m 0.02% Added +3.3k +3,341
15 Cetera Advisor Networks LLC 0.03% of their portfolio EL SEGUNDO, CA 114,352114.4k $5.0m $5.0m 0.03% Added +59.8k +59,788
16 Vestmark Advisory Solutions, Inc. 0.24% of their portfolio Wakefield, MA 109,568109.6k $4.7m $4.7m 0.24% Added +7.5k +7,512
17 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 105,550105.5k $4.6m $4.6m 0.00% Reduced -3.6k -3,633
18 Independent Advisor Alliance 0.16% of their portfolio CHARLOTTE, NC 104,758104.8k $4.5m $4.5m 0.16% Added +675 +675
19 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 101,497101.5k $4.4m $4.4m 0.01% Reduced -15.5k -15,511
20 SFI Advisors, LLC 3.60% of their portfolio Montclair, NJ 97,33497.3k $4.2m $4.2m 3.60% Reduced -14.9k -14,857
21 NAVELLIER & ASSOCIATES INC 0.57% of their portfolio Reno, NV 88,60088.6k $3.8m $3.8m 0.57% Added +4.1k +4,107
22 Crumly & Associates Inc. 1.07% of their portfolio SPRINGFIELD, IL 84,54684.5k $3.7m $3.7m 1.07% Reduced -14.5k -14,537
23 D.A. DAVIDSON & CO. 0.04% of their portfolio GREAT FALLS, MT 83,67083.7k $3.6m $3.6m 0.04% Added +825 +825
24 Concurrent Investment Advisors, LLC 0.16% of their portfolio Tampa, FL 80,08980.1k $3.5m $3.5m 0.16% First filing
25 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 78,86678.9k $3.4m $3.4m 0.01% Reduced -4.1k -4,051
26 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 73,59273.6k $3.2m $3.2m 0.01% Reduced -12.7k -12,736
27 Tower Research Capital LLC (TRC) 0.04% of their portfolio NEW YORK, NY 67,02867.0k $2.9m $2.9m 0.04% Reduced -29.4k -29,355
28 Kestra Advisory Services, LLC 0.02% of their portfolio AUSTIN, TX 63,87763.9k $2.8m $2.8m 0.02% Reduced -96.2k -96,250
29 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 54,42854.4k $2.4m $2.4m 0.01% Reduced -1.2k -1,249
30 Cetera Advisors LLC 0.03% of their portfolio DENVER, CO 53,83153.8k $2.3m $2.3m 0.03% Added +367 +367
31 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 50,19050.2k $2.2m $2.2m 0.00% Reduced -53 -53
32 LINCOLN NATIONAL CORP 0.04% of their portfolio RADNOR, PA 49,91449.9k $2.2m $2.2m 0.04% Added +404 +404
33 Secure Asset Management, LLC 0.55% of their portfolio Troy, MI 47,54547.5k $2.1m $2.1m 0.55% Reduced -10.6k -10,619
34 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.25% of their portfolio ORLANDO, FL 44,57044.6k $1.9m $1.9m 0.25% New
35 Western Wealth Management, LLC 0.13% of their portfolio GOLDEN, CO 42,63042.6k $1.8m $1.8m 0.13% Reduced -1.8k -1,821
36 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 41,01741.0k $1.8m $1.8m 0.00% Reduced -3.7k -3,692
37 Regal Investment Advisors LLC 0.13% of their portfolio KENTWOOD, MI 39,53839.5k $1.7m $1.7m 0.13% Reduced -110.7k -110,681
38 Choice Wealth Advisors LLC 1.01% of their portfolio WATERVILLE, ME 37,73537.7k $1.6m $1.6m 1.01% Reduced -587 -587
39 Plotkin Financial Advisors, LLC 1.23% of their portfolio CHEVY CHASE, MD 37,26837.3k $1.6m $1.6m 1.23% Reduced -792 -792
40 Pacific Sun Financial Corp 0.92% of their portfolio LOS ANGELES, CA 33,72533.7k $1.5m $1.5m 0.92% Reduced -850 -850
41 Koshinski Asset Management, Inc. 0.22% of their portfolio DECATUR, IL 32,77532.8k $1.4m $1.4m 0.22% Added +11.5k +11,528
42 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 32,65632.7k $1.4m $1.4m 0.00% Reduced -88.8k -88,755
43 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 32,22132.2k $1.4m $1.4m 0.01% Reduced -7.0k -7,050
44 Peak Planning Group, LLC 1.00% of their portfolio CENTENNIAL, CO 32,06232.1k $1.4m $1.4m 1.00% Reduced -592 -592
45 Ballew Advisors, Inc 0.92% of their portfolio Jackson, MS 28,84528.8k $1.2m $1.2m 0.92% Reduced -5.4k -5,361
46 DAYMARK WEALTH PARTNERS, LLC 0.08% of their portfolio CINCINNATI, OH 28,79528.8k $1.2m $1.2m 0.08% Added +470 +470
47 Prospera Financial Services Inc 0.04% of their portfolio Dallas, TX 27,20227.2k $1.2m $1.2m 0.04% Reduced -4.2k -4,191
48 Wagner Wealth Management, LLC 0.40% of their portfolio GREENVILLE, SC 27,17927.2k $1.2m $1.2m 0.40% Reduced -2.8k -2,782
49 Kesler, Norman & Wride, LLC 0.26% of their portfolio OGDEN, UT 26,69126.7k $1.2m $1.2m 0.26% Reduced -123 -123
50 Jacobi Capital Management LLC 0.12% of their portfolio PITTSTON, PA 26,37526.4k $1.1m $1.1m 0.12% Reduced -1.1k -1,069
51 Steward Partners Investment Advisory, LLC 0.02% of their portfolio STAMFORD, CT 26,28326.3k $1.1m $1.1m 0.02% Reduced -631 -631
52 DB Wealth Management Group, LLC 0.64% of their portfolio SAN DIEGO, CA 25,95626.0k $1.1m $1.1m 0.64% Reduced -4.6k -4,609
53 Schrum Private Wealth Management LLC 1.58% of their portfolio ST. AUGUSTINE, FL 25,71825.7k $1.1m $1.1m 1.58% Reduced -855 -855
54 HARBOUR INVESTMENTS, INC. 0.05% of their portfolio MADISON, WI 25,68125.7k $1.1m $1.1m 0.05% Reduced -477 -477
55 Certified Advisory Corp 0.16% of their portfolio ALTAMONTE SPRINGS, FL 24,14424.1k $1.0m $1.0m 0.16% Added +94 +94
56 CreativeOne Wealth, LLC 0.07% of their portfolio OVERLAND PARK, KS 24,09824.1k $1.0m $1.0m 0.07% Added +18.5k +18,512
57 Spire Wealth Management 0.03% of their portfolio MCLEAN, VA 23,98424.0k $1.0m $1.0m 0.03% Reduced -15.2k -15,210
58 SignalPoint Asset Management, LLC 0.27% of their portfolio SPRINGFIELD, MO 21,12821.1k $914.0k $914.0k 0.27% Added +1 +1
59 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 21,12421.1k $914.5k $914.5k 0.00% Reduced -16.2k -16,215
60 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 20,61020.6k $895.1k $895.1k 0.00% Reduced -1.2k -1,170
61 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 19,60019.6k $848.5k $848.5k 0.02% Added +8.0k +7,979
62 OneDigital Investment Advisors LLC 0.01% of their portfolio OVERLAND PARK, KS 19,03019.0k $823.8k $823.8k 0.01% Added +1.2k +1,201
63 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 18,60418.6k $805.4k $805.4k 0.01% Reduced -27.6k -27,615
64 Cutter & CO Brokerage, Inc. 0.22% of their portfolio Ballwin, MO 18,44018.4k $798.3k $798.3k 0.22% Reduced -2.8k -2,791
65 COMERICA BANK 0.00% of their portfolio DALLAS, TX 17,42917.4k $754.5k $754.5k 0.00% Added +2.0k +2,000
66 BENJAMIN F. EDWARDS & COMPANY, INC. 0.02% of their portfolio ST. LOUIS, MO 17,35717.4k $751.0k $751.0k 0.02% Reduced -682 -682
67 KESTRA PRIVATE WEALTH SERVICES, LLC 0.02% of their portfolio AUSTIN, TX 15,92815.9k $689.5k $689.5k 0.02% Reduced -770 -770
68 LANARK FINANCIAL, INC. 0.07% of their portfolio BIRMINGHAM, AL 15,15815.2k $656.0k $656.0k 0.07% Reduced -795 -795
69 HF Advisory Group, LLC 0.41% of their portfolio Annapolis, MD 14,98915.0k $648.9k $648.9k 0.41% Added +473 +473
70 Monument Capital Management 0.20% of their portfolio ALEXANDRIA, VA 14,54114.5k $629.5k $629.5k 0.20% New
71 Vishria Bird Financial Group, LLC 0.30% of their portfolio MEMPHIS, TN 14,51114.5k $628.0k $628.0k 0.30% Unchanged
72 1858 WEALTH MANAGEMENT, LLC 0.59% of their portfolio AKRON, OH 14,38214.4k $622.6k $622.6k 0.59% First filing
73 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 14,02214.0k $607.0k $607.0k 0.00% Added +3.6k +3,585
74 MGO ONE SEVEN LLC 0.03% of their portfolio Beachwood, OH 13,10413.1k $567.3k $567.3k 0.03% Added +622 +622
75 GREAT VALLEY ADVISOR GROUP, INC. 0.02% of their portfolio WILMINGTON, DE 12,77312.8k $552.6k $552.6k 0.02% Reduced -12.5k -12,509
76 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 12,53412.5k $542.6k $542.6k 0.00% New
77 FLOW TRADERS U.S. LLC 0.02% of their portfolio NEW YORK, NY 11,85711.9k $513.0k $513.0k 0.02% Reduced -11.6k -11,584
78 GPS Wealth Strategies Group, LLC 0.09% of their portfolio CENTENNIAL, CO 11,59511.6k $502.0k $502.0k 0.09% Reduced -263 -263
79 Southland Equity Partners LLC 0.15% of their portfolio WILDWOOD, MO 11,23911.2k $486.5k $486.5k 0.15% Reduced -261 -261
80 Ameritas Advisory Services, LLC 0.03% of their portfolio Lincoln, NE 11,10811.1k $487.1k $487.1k 0.03% Reduced -5.3k -5,321
81 BLAIR WILLIAM & CO/IL 0.00% of their portfolio CHICAGO, IL 10,89510.9k $471.6k $471.6k 0.00% Unchanged
82 RPg Family Wealth Advisory, LLC 0.17% of their portfolio BURLINGTON, MA 10,65510.7k $461.3k $461.3k 0.17% Added +495 +495
83 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 10,36010.4k $448.5k $448.5k 0.01% Reduced -1.7k -1,657
84 Argent Trust Co 0.02% of their portfolio NASHVILLE, TN 10,00010.0k $432.9k $432.9k 0.02% Unchanged
85 J.W. COLE ADVISORS, INC. 0.03% of their portfolio TAMPA, FL 9,95910.0k $431.1k $431.1k 0.03% Added +490 +490
86 B. Riley Wealth Advisors, Inc. 0.01% of their portfolio MEMPHIS, TN 9,9039.9k $428.7k $428.7k 0.01% Reduced -2.7k -2,697
87 MAI Capital Management 0.01% of their portfolio INDEPENDENCE, OH 9,8929.9k $428.2k $428.2k 0.01% Reduced -87 -87
88 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 9,7589.8k $422.4k $422.4k 0.01% Reduced -1.8k -1,750
89 World Investment Advisors 0.05% of their portfolio LINCROFT, NJ 9,6379.6k $417.2k $417.2k 0.05% Added +209 +209
90 STEPHENS INC /AR/ 0.01% of their portfolio LITTLE ROCK, AR 9,5669.6k $414.1k $414.1k 0.01% Added +7 +7
91 Financial Freedom, LLC 0.26% of their portfolio CINCINNATI, OH 9,5299.5k $412.5k $412.5k 0.26% Added +47 +47
92 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 9,5009.5k $411.0k $411.0k 0.00% New
93 Integrated Wealth Concepts LLC 0.01% of their portfolio WALTHAM, MA 8,8908.9k $384.8k $384.8k 0.01% Reduced -3.7k -3,700
94 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 8,8698.9k $383.9k $383.9k 0.00% Reduced -942 -942
95 CoreCap Advisors, LLC 0.02% of their portfolio SOUTHFIELD, MI 8,7128.7k $377.1k $377.1k 0.02% Reduced -176 -176
96 Cedar Brook Financial Partners, LLC 0.08% of their portfolio CLEVELAND, OH 8,2828.3k $357.1k $357.1k 0.08% Reduced -1.9k -1,880
97 Clearwater Capital Advisors, LLC 0.04% of their portfolio HOFFMAN ESTATES, IL 8,2738.3k $358.1k $358.1k 0.04% Reduced -2.5k -2,491
98 TrueWealth Advisors, LLC 0.14% of their portfolio BIRMINGHAM, AL 8,2698.3k $358.0k $358.0k 0.14% Reduced -2.9k -2,948
99 SeaCrest Wealth Management, LLC 0.04% of their portfolio PURCHASE, NY 8,1268.1k $352.5k $352.5k 0.04% Reduced -993 -993
100 Security Financial Services, INC. 0.09% of their portfolio Fort Wayne, IN 8,0478.0k $348.4k $348.4k 0.09% Added +17 +17