Vault-13

FIRST TRUST LRGCP GWT ALPHAD FTC

COM SHS · ETP · CUSIP 33735K108

185 institutional holders +13 vs Q2 2023
7,182,6767.2m shares reported held*
$694.9mreported value*
22 new 61 added 71 reduced 13 sold out net bought ≈ $36.1m (+357.6k 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 ($2.2m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $96.75. Options: 1 managers hold calls ($0 notional), 1 hold puts ($0).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 161Q4 22: 165Q1 23: 168Q2 23: 172Q3 23: 185185Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022161
Q4 2022165
Q1 2023168
Q2 2023172
Q3 2023185

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 64 bought or addedQ4 22: 71 cut or sold outQ4 22Q1 23: 82 bought or addedQ1 23: 67 cut or sold outQ1 23Q2 23: 74 bought or addedQ2 23: 75 cut or sold outQ2 23Q3 23: 83 bought or addedQ3 23: 84 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20226471
Q1 20238267
Q2 20237475
Q3 20238384

Calls vs puts

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

CallsPuts
$0$2m$4m$6mQ4 22 calls: $868.5kQ4 22 puts: $1.6mQ4 22P/C 1.83Q1 23 calls: $558.2kQ1 23 puts: $288.4kQ1 23P/C 0.52Q2 23 calls: $607.7kQ2 23 puts: $5.9mQ2 23P/C 9.64Q3 23 calls: $0Q3 23 puts: $0Q3 23P/C —
Numbers
QuarterCallsPutsP/C
Q4 2022$868.5k$1.6m1.83
Q1 2023$558.2k$288.4k0.52
Q2 2023$607.7k$5.9m9.64
Q3 2023$0$0—

Biggest buyers

FIRST TRUST ADVISORS LP Added +280,378+280.4k
Baird Financial Group, Inc. Added +101,315+101.3k
GeoWealth Management, LLC New +75,692+75.7k
ROYAL BANK OF CANADA Added +59,794+59.8k
Integrated Wealth Concepts LLC Added +43,851+43.9k
Kingsview Wealth Management, LLC Added +41,334+41.3k
CX Institutional Added +38,671+38.7k
RAYMOND JAMES & ASSOCIATES Added +31,060+31.1k
IAMS WEALTH MANAGEMENT, LLC New +27,061+27.1k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added +13,695+13.7k

Biggest sellers

ENVESTNET ASSET MANAGEMENT INC Reduced -97,388-97.4k
Raymond James Financial Services Advisors, Inc. Reduced -49,796-49.8k
IFP Advisors, Inc Reduced -48,147-48.1k
LPL Financial LLC Reduced -42,154-42.2k
Atria Wealth Solutions, Inc. Reduced -29,777-29.8k
MORGAN STANLEY Reduced -26,249-26.2k
Arden Trust Co Reduced -25,167-25.2k
Kraft, Davis & Associates, LLC Sold out -17,300-17.3k
Janney Montgomery Scott LLC Reduced -13,646-13.6k
Atria Investments, Inc Sold out -13,286-13.3k

Biggest calls

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

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.

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 990,634990.6k $95.9m $95.9m 0.01% Reduced -26.2k -26,249
2 LPL Financial LLC 0.07% of their portfolio FORT MILL, SC 960,657960.7k $93.0m $93.0m 0.07% Reduced -42.2k -42,154
3 Janney Montgomery Scott LLC 0.16% of their portfolio PHILADELPHIA, PA 451,858451.9k $43.7m $43.7m 0.16% Reduced -13.6k -13,646
4 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 386,673386.7k $37.4m $37.4m 0.01% Added +3.8k +3,821
5 FIRST TRUST ADVISORS LP 0.04% of their portfolio Wheaton, IL 320,644320.6k $31.0m $31.0m 0.04% Added +280.4k +280,378
6 UBS Group AG 0.01% of their portfolio ZURICH, V8 281,685281.7k $27.3m $27.3m 0.01% Reduced -9.4k -9,429
7 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 257,517257.5k $24.9m $24.9m 0.01% Reduced -97.4k -97,388
8 Cambridge Investment Research Advisors, Inc. 0.09% of their portfolio FAIRFIELD, IA 208,549208.5k $20.2m $20.2m 0.09% Reduced -4.7k -4,657
9 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 171,713171.7k $16.6m $16.6m 0.00% Added +835 +835
10 Raymond James Financial Services Advisors, Inc. 0.03% of their portfolio ST. PETERSBURG, FL 167,931167.9k $16.2m $16.2m 0.03% Reduced -49.8k -49,796
11 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 139,082139.1k $13.5m $13.5m 0.02% Added +5.8k +5,782
12 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 128,866128.9k $12.5m $12.5m 0.00% Added +59.8k +59,794
13 Kingsview Wealth Management, LLC 0.43% of their portfolio GRANTS PASS, OR 123,039123.0k $11.9m $11.9m 0.43% Added +41.3k +41,334
14 Baird Financial Group, Inc. 0.03% of their portfolio MILWAUKEE, WI 113,090113.1k $10.9m $10.9m 0.03% Added +101.3k +101,315
15 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 112,440112.4k $10.9m $10.9m 0.01% Added +31.1k +31,060
16 Integrated Wealth Concepts LLC 0.19% of their portfolio WALTHAM, MA 110,227110.2k $10.7m $10.7m 0.19% Added +43.9k +43,851
17 Arden Trust Co 1.61% of their portfolio WILMINGTON, DE 100,083100.1k $9.7m $9.7m 1.61% Reduced -25.2k -25,167
18 U.S. Capital Wealth Advisors, LLC 0.34% of their portfolio AUSTIN, TX 78,63378.6k $7.6m $7.6m 0.34% Added +1.3k +1,254
19 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 76,49376.5k $7.4m $7.4m 0.01% Reduced -13.0k -12,967
20 GeoWealth Management, LLC 0.83% of their portfolio CHICAGO, IL 75,69275.7k $7.3m $7.3m 0.83% New
21 CX Institutional 0.40% of their portfolio AUBURN, IN 74,21074.2k $7.2m $7.2m 0.40% Added +38.7k +38,671
22 AVANTAX ADVISORY SERVICES, INC. 0.07% of their portfolio DALLAS, TX 65,80865.8k $6.4m $6.4m 0.07% Reduced -1.4k -1,423
23 Cetera Investment Advisers 0.05% of their portfolio SCHAUMBURG, IL 61,26161.3k $5.9m $5.9m 0.05% Reduced -8.9k -8,893
24 Snowden Capital Advisors LLC 0.25% of their portfolio New York, NY 60,58360.6k $5.9m $5.9m 0.25% Reduced -744 -744
25 D.A. DAVIDSON & CO. 0.06% of their portfolio GREAT FALLS, MT 57,49157.5k $5.6m $5.6m 0.06% Reduced -1.6k -1,632
26 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 57,25957.3k $5.5m $5.5m 0.01% Added +4.7k +4,653
27 Cetera Advisor Networks LLC 0.03% of their portfolio EL SEGUNDO, CA 56,42856.4k $5.5m $5.5m 0.03% Added +12.2k +12,161
28 Sterling Manor Financial, LLC 4.15% of their portfolio Saratoga Springs, NY 47,39147.4k $4.6m $4.6m 4.15% Reduced -1.1k -1,057
29 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 46,71146.7k $4.5m $4.5m 0.00% Added +1.5k +1,516
30 Beck Bode, LLC 1.14% of their portfolio DEDHAM, MA 46,05546.1k $4.5m $4.5m 1.14% Reduced -2.4k -2,428
31 IFP Advisors, Inc 0.19% of their portfolio TAMPA, FL 43,88743.9k $4.2m $4.2m 0.19% Reduced -48.1k -48,147
32 IHT Wealth Management, LLC 0.20% of their portfolio Chicago, IL 40,53740.5k $3.9m $3.9m 0.20% Reduced -3.6k -3,579
33 Atria Wealth Solutions, Inc. 0.05% of their portfolio NEW YORK, NY 39,39539.4k $3.8m $3.8m 0.05% Reduced -29.8k -29,777
34 Coppell Advisory Solutions LLC 1.22% of their portfolio COPPELL, TX 38,86838.9k $3.6m $3.6m 1.22% Reduced -12.1k -12,101
35 FSB PREMIER WEALTH MANAGEMENT, INC. 1.97% of their portfolio WATERLOO, IA 36,63836.6k $3.5m $3.5m 1.97% Reduced -1.8k -1,787
36 LVZ, Inc. 0.48% of their portfolio Holland, MI 30,83530.8k $3.0m $3.0m 0.48% Added +47 +47
37 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 30,45130.5k $2.9m $2.9m 0.00% Added +13.7k +13,695
38 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 28,42128.4k $2.7m $2.7m 0.00% Reduced -11.8k -11,819
39 IAMS WEALTH MANAGEMENT, LLC 1.81% of their portfolio OMAHA, NE 27,06127.1k $2.6m $2.6m 1.81% New
40 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 27,03927.0k $2.6m $2.6m 0.02% Reduced -245 -245
41 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 25,36325.4k $2.5m $2.5m 0.00% Added +204 +204
42 Equitable Holdings, Inc. 0.03% of their portfolio NEW YORK, NY 25,12325.1k $2.4m $2.4m 0.03% Added +138 +138
43 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 24,91524.9k $2.4m $2.4m 0.01% Reduced -3.1k -3,064
44 HARBOUR INVESTMENTS, INC. 0.12% of their portfolio MADISON, WI 24,33624.3k $2.4m $2.4m 0.12% Added +6.4k +6,449
45 HFG Advisors, Inc. 2.55% of their portfolio CINCINATTI, OH 24,08824.1k $2.3m $2.3m 2.55% Added +87 +87
46 CoreCap Advisors, LLC 0.16% of their portfolio SOUTHFIELD, MI 23,14223.1k $2.2m $2.2m 0.16% Added +2.3k +2,297
47 Clearwater Capital Advisors, LLC 0.27% of their portfolio HOFFMAN ESTATES, IL 22,66822.7k $2.2m $2.2m 0.27% Reduced -2.0k -1,990
48 Kestra Advisory Services, LLC 0.02% of their portfolio AUSTIN, TX 22,33722.3k $2.2m $2.2m 0.02% Added +458 +458
49 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 21,53321.5k $2.1m $2.1m 0.00% Reduced -4.5k -4,532
50 Vestmark Advisory Solutions, Inc. 0.15% of their portfolio Wakefield, MA 21,42221.4k $2.1m $2.1m 0.15% Reduced -5.3k -5,345
51 Stratos Wealth Partners, LTD. 0.04% of their portfolio BEACHWOOD, OH 20,00620.0k $1.9m $1.9m 0.04% Added +511 +511
52 StoneX Group Inc. 0.21% of their portfolio NEW YORK, NY 19,61019.6k $1.9m $1.9m 0.21% Reduced -803 -803
53 Cetera Advisors LLC 0.03% of their portfolio DENVER, CO 18,82218.8k $1.8m $1.8m 0.03% Reduced -1.7k -1,731
54 SignalPoint Asset Management, LLC 0.58% of their portfolio SPRINGFIELD, MO 18,65418.7k $1.8m $1.8m 0.58% Reduced -1.1k -1,076
55 BENJAMIN F. EDWARDS & COMPANY, INC. 0.07% of their portfolio ST. LOUIS, MO 18,34218.3k $1.8m $1.8m 0.07% Reduced -2.4k -2,372
56 Apollon Wealth Management, LLC 0.08% of their portfolio MOUNT PLEASANT, SC 16,79716.8k $1.6m $1.6m 0.08% Reduced -237 -237
57 NewEdge Wealth, LLC 0.05% of their portfolio STAMFORD, CT 16,77016.8k $1.6m $1.6m 0.05% Added +1.3k +1,265
58 ASSETMARK, INC 0.01% of their portfolio CONCORD, CA 16,74116.7k $1.7m $1.7m 0.01% Added +10.6k +10,605
59 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 16,29516.3k $1.6m $1.6m 0.01% Added +57 +57
60 Western Wealth Management, LLC 0.13% of their portfolio GOLDEN, CO 16,25516.3k $1.6m $1.6m 0.13% Added +3.2k +3,199
61 Envestnet Portfolio Solutions, Inc. 0.01% of their portfolio BERWYN, PA 16,10116.1k $1.6m $1.6m 0.01% First filing
62 ETFIDEA, LLC 0.66% of their portfolio SYRACUSE, NY 16,09416.1k $1.6m $1.6m 0.66% Added +750 +750
63 Transamerica Financial Advisors, LLC 0.19% of their portfolio CEDAR RAPIDS, IA 14,49114.5k $1.4m $1.4m 0.19% Added +2.9k +2,890
64 Gateway Wealth Partners, LLC 0.23% of their portfolio APPLETON, WI 13,17313.2k $1.3m $1.3m 0.23% Added +3.0k +3,020
65 Krilogy Financial LLC 0.12% of their portfolio ST. LOUIS, MO 13,11213.1k $1.3m $1.3m 0.12% Added +9 +9
66 CWM, LLC 0.01% of their portfolio OMAHA, NE 13,10213.1k $1.3m $1.3m 0.01% Added +33 +33
67 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 12,95413.0k $1.3m $1.3m 0.00% New
68 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 12,87712.9k $1.2m $1.2m 0.00% Added +487 +487
69 KESTRA PRIVATE WEALTH SERVICES, LLC 0.04% of their portfolio AUSTIN, TX 12,19612.2k $1.2m $1.2m 0.04% Reduced -1.4k -1,434
70 Horizon Family Wealth, Inc. 1.12% of their portfolio CHICAGO, IL 11,92111.9k $1.2m $1.2m 1.12% Added +9 +9
71 Keystone Wealth Services, LLC 0.42% of their portfolio PALM DESERT, CA 11,42011.4k $1.1m $1.1m 0.42% Unchanged
72 LANARK FINANCIAL, INC. 0.12% of their portfolio BIRMINGHAM, AL 11,41811.4k $1.1m $1.1m 0.12% First filing
73 Three Seasons Wealth, LLC 0.99% of their portfolio SALT LAKE CITY, UT 10,37810.4k $1.0m $1.0m 0.99% First filing
74 True Link Financial Advisors, LLC 0.12% of their portfolio SAN FRANCISCO, CA 10,24710.2k $991.5k $991.5k 0.12% Unchanged
75 Stonebridge Financial Planning Group, LLC 0.61% of their portfolio ORLANDO, FL 9,8829.9k $956.2k $956.2k 0.61% Reduced -325 -325
76 IFG Advisory, LLC 0.08% of their portfolio ATLANTA, GA 9,5929.6k $928.2k $928.2k 0.08% New
77 OPPENHEIMER & CO INC 0.02% of their portfolio NEW YORK, NY 9,3149.3k $901.2k $901.2k 0.02% Reduced -196 -196
78 Virtu Financial LLC 0.09% of their portfolio New York, NY 8,9038.9k $861.0k $861.0k 0.09% New
79 Allworth Financial LP 0.01% of their portfolio FOLSOM, CA 8,7998.8k $851.4k $851.4k 0.01% Reduced -302 -302
80 GREAT VALLEY ADVISOR GROUP, INC. 0.04% of their portfolio WILMINGTON, DE 8,7678.8k $848.7k $848.7k 0.04% Reduced -224 -224
81 Cresset Asset Management, LLC 0.01% of their portfolio Chicago, IL 8,7398.7k $845.6k $845.6k 0.01% Added +25 +25
82 Waterloo Capital, L.P. 0.25% of their portfolio AUSTIN, TX 8,7018.7k $841.9k $841.9k 0.25% New
83 Private Portfolio Partners LLC 0.22% of their portfolio PARAMUS, NJ 8,6818.7k $840.0k $840.0k 0.22% Added +1.6k +1,596
84 PARK AVENUE SECURITIES LLC 0.01% of their portfolio NEW YORK, NY 8,6548.7k $837.0k $837.0k 0.01% New
85 Prospera Financial Services Inc 0.03% of their portfolio Dallas, TX 8,6048.6k $832.5k $832.5k 0.03% Added +3.8k +3,772
86 Orion Porfolio Solutions, LLC 0.01% of their portfolio OMAHA, NE 8,3528.4k $808.1k $808.1k 0.01% Added +33 +33
87 Orion Portfolio Solutions, LLC 0.01% of their portfolio Omaha, NE 8,3528.4k $808.1k $808.1k 0.01% Added +33 +33
88 Virtue Capital Management, LLC 0.14% of their portfolio BRENTWOOD, TN 7,9918.0k $802.4k $802.4k 0.14% Unchanged
89 INDEPENDENT FINANCIAL GROUP, LLC 0.05% of their portfolio SAN DIEGO, CA 7,9828.0k $772.3k $772.3k 0.05% Added +982 +982
90 SILVER OAK SECURITIES, INCORPORATED 0.16% of their portfolio JACKSON, TN 7,6607.7k $741.2k $741.2k 0.16% Reduced -10.5k -10,479
91 FLOW TRADERS U.S. LLC 0.03% of their portfolio NEW YORK, NY 7,6387.6k $739.0k $739.0k 0.03% Added +3.0k +2,973
92 OneAscent Financial Services LLC 0.19% of their portfolio BIRMINGHAM, AL 7,3567.4k $712.0k $712.0k 0.19% Reduced -1.8k -1,849
93 Gladstone Institutional Advisory LLC 0.05% of their portfolio Bedminster, NJ 7,3267.3k $708.9k $708.9k 0.05% Added +84 +84
94 Walkner Condon Financial Advisors LLC 0.19% of their portfolio MADISON, WI 7,2337.2k $699.9k $699.9k 0.19% Reduced -92 -92
95 Sigma Planning Corp 0.03% of their portfolio ANN ARBOR, MI 7,1907.2k $695.8k $695.8k 0.03% Reduced -3.0k -3,039
96 Ashton Thomas Private Wealth, LLC 0.05% of their portfolio SCOTTSDALE, AZ 7,1497.1k $691.7k $691.7k 0.05% Unchanged
97 COMERICA BANK 0.00% of their portfolio DALLAS, TX 6,7216.7k $650.3k $650.3k 0.00% New
98 Cyndeo Wealth Partners, LLC 0.07% of their portfolio ST. PETERSBURG, FL 6,6046.6k $639.0k $639.0k 0.07% Unchanged
99 Ignite Planners, LLC 0.19% of their portfolio SAN CLEMENTE, CA 6,5796.6k $627.0k $627.0k 0.19% Unchanged
100 Wealthcare Advisory Partners LLC 0.03% of their portfolio WEST CHESTER, PA 6,4436.4k $623.4k $623.4k 0.03% Added +1.5k +1,531