Vault-13

FIRST TR EXCHANGE-TRADED FD GRID

NASDQ CLN EDGE · ETP · CUSIP 33737A108

180 institutional holders +6 vs Q2 2023
6,250,3116.3m shares reported held*
$587.0mreported value*
31 new 74 added 33 reduced 27 sold out net bought ≈ $147.4m (+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 ($110.1k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $93.92. Options: 2 managers hold calls ($253.5k notional), 2 hold puts ($93.9k).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 147Q4 22: 149Q1 23: 157Q2 23: 174Q3 23: 180180Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022147
Q4 2022149
Q1 2023157
Q2 2023174
Q3 2023180

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 61 bought or addedQ4 22: 70 cut or sold outQ4 22Q1 23: 69 bought or addedQ1 23: 64 cut or sold outQ1 23Q2 23: 90 bought or addedQ2 23: 63 cut or sold outQ2 23Q3 23: 105 bought or addedQ3 23: 60 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20226170
Q1 20236964
Q2 20239063
Q3 202310560

Calls vs puts

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

CallsPuts
$0$100k$200k$300kQ4 22 calls: $0Q4 22 puts: $0Q4 22P/C —Q1 23 calls: $0Q1 23 puts: $0Q1 23P/C —Q2 23 calls: $272.8kQ2 23 puts: $0Q2 23P/C 0.00Q3 23 calls: $253.5kQ3 23 puts: $93.9kQ3 23P/C 0.37
Numbers
QuarterCallsPutsP/C
Q4 2022$0$0—
Q1 2023$0$0—
Q2 2023$272.8k$00.00
Q3 2023$253.5k$93.9k0.37

Biggest buyers

ASSETMARK, INC Added +1,089,012+1.1m
OSAIC HOLDINGS, INC. Added +200,226+200.2k
JANE STREET GROUP, LLC Added +139,809+139.8k
BARINGS LLC Added +122,206+122.2k
Arlington Financial Advisors, LLC New +113,720+113.7k
ENVESTNET ASSET MANAGEMENT INC Added +91,289+91.3k
BANK OF AMERICA CORP /DE/ Added +53,904+53.9k
Concorde Asset Management, LLC Added +51,382+51.4k
HighTower Advisors, LLC Added +44,578+44.6k
Aveo Capital Partners, LLC New +37,582+37.6k

Biggest sellers

Mivtachim The Workers Social Insurance Fund Ltd. (Under Special Management) Sold out -422,220-422.2k
Portfolio Strategies, Inc. Reduced -182,343-182.3k
360 Financial, Inc. Sold out -70,627-70.6k
Money Design Co.,Ltd. Reduced -23,051-23.1k
Ascent Group, LLC Sold out -16,974-17.0k
STEPHENS INC /AR/ Sold out -8,897-8.9k
BAROMETER CAPITAL MANAGEMENT INC. Sold out -8,470-8.5k
PRUDENTIAL PLC Sold out -6,800-6.8k
CIBC WORLD MARKET INC. Sold out -6,702-6.7k
GOLDMAN SACHS GROUP INC Sold out -6,212-6.2k

Biggest calls

Belvedere Trading LLC Added $253.5k2.7k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

Belvedere Trading LLC New $93.9k1.0k shares
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 ASSETMARK, INC 0.41% of their portfolio CONCORD, CA 1,089,1911.1m $102.3m $102.3m 0.41% Added +1.1m +1,089,012
2 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 482,755482.8k $45.3m $45.3m 0.00% Added +9.1k +9,071
3 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 402,152402.2k $37.8m $37.8m 0.00% Added +53.9k +53,904
4 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 318,810318.8k $29.9m $29.9m 0.02% Added +37.2k +37,232
5 BARINGS LLC 1.00% of their portfolio CHARLOTTE, NC 311,246311.2k $29.2m $29.2m 1.00% Added +122.2k +122,206
6 Raymond James Financial Services Advisors, Inc. 0.05% of their portfolio ST. PETERSBURG, FL 290,140290.1k $27.2m $27.2m 0.05% Added +23.8k +23,811
7 OSAIC HOLDINGS, INC. 0.03% of their portfolio SCOTTSDALE, AZ 249,222249.2k $23.4m $23.4m 0.03% Added +200.2k +200,226
8 UBS Group AG 0.01% of their portfolio ZURICH, V8 239,718239.7k $22.5m $22.5m 0.01% Added +34.4k +34,353
9 COMMONWEALTH EQUITY SERVICES, LLC 0.04% of their portfolio WALTHAM, MA 212,591212.6k $20.0m $20.0m 0.04% Reduced -5.6k -5,595
10 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 191,834191.8k $18.0m $18.0m 0.01% Added +18.1k +18,055
11 JANE STREET GROUP, LLC 0.03% of their portfolio NEW YORK, NY 171,887171.9k $16.1m $16.1m 0.03% Added +139.8k +139,809
12 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 117,110117.1k $11.0m $11.0m 0.01% Added +91.3k +91,289
13 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 115,445115.4k $10.9m $10.9m 0.00% Reduced -6.1k -6,131
14 Arlington Financial Advisors, LLC 3.78% of their portfolio SANTA BARBARA, CA 113,720113.7k $10.7m $10.7m 3.78% New
15 Kestra Advisory Services, LLC 0.10% of their portfolio AUSTIN, TX 104,930104.9k $9.9m $9.9m 0.10% Added +31.7k +31,735
16 Private Advisor Group, LLC 0.09% of their portfolio MORRISTOWN, NJ 102,956103.0k $9.7m $9.7m 0.09% Reduced -928 -928
17 Portfolio Strategies, Inc. 1.61% of their portfolio MONTVALE, NJ 88,89088.9k $8.3m $8.3m 1.61% Reduced -182.3k -182,343
18 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 83,31783.3k $7.8m $7.8m 0.01% Added +1.3k +1,252
19 Cerity Partners LLC 0.03% of their portfolio NEW YORK, NY 71,37871.4k $6.7m $6.7m 0.03% Added +2.5k +2,539
20 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 64,97865.0k $6.1m $6.1m 0.03% Added +13.1k +13,140
21 DUDLEY & SHANLEY, INC. 1.15% of their portfolio PALM BEACH, FL 64,90064.9k $6.1m $6.1m 1.15% Unchanged
22 Money Design Co.,Ltd. 0.32% of their portfolio TOKYO, M0 55,84155.8k $5.2m $5.2m 0.32% Reduced -23.1k -23,051
23 Concorde Asset Management, LLC 4.51% of their portfolio ANN ARBOR, MI 53,38253.4k $5.0m $5.0m 4.51% Added +51.4k +51,382
24 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 51,92351.9k $4.9m $4.9m 0.01% Added +44.6k +44,578
25 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 49,88449.9k $4.7m $4.7m 0.00% Added +10.6k +10,622
26 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 47,67747.7k $4.5m $4.5m 0.00% Added +7.5k +7,496
27 MANCHESTER FINANCIAL INC 1.17% of their portfolio Westlake Village, CA 42,57142.6k $4.0m $4.0m 1.17% Reduced -95 -95
28 MML INVESTORS SERVICES, LLC 0.02% of their portfolio SPRINGFIELD, MA 41,85341.9k $3.9m $3.9m 0.02% Added +20.1k +20,125
29 MEITAV INVESTMENT HOUSE LTD 0.06% of their portfolio BENE-BERAQ, L3 40,88040.9k $3.9m $3.9m 0.06% Reduced -4.2k -4,206
30 First Heartland Consultants, Inc. 0.47% of their portfolio LAKE ST. LOUIS, MO 40,11440.1k $3.8m $3.8m 0.47% Reduced -5.0k -4,992
31 Aveo Capital Partners, LLC 0.46% of their portfolio ENGLEWOOD, CO 37,58237.6k $3.5m $3.5m 0.46% New
32 Cetera Advisor Networks LLC 0.02% of their portfolio EL SEGUNDO, CA 37,24537.2k $3.5m $3.5m 0.02% Added +9.5k +9,500
33 NewEdge Advisors, LLC 0.03% of their portfolio NEW ORLEANS, LA 30,61630.6k $2.9m $2.9m 0.03% Added +3.8k +3,838
34 Owen LaRue, LLC 2.62% of their portfolio ELIZABETHTOWN, KY 25,37825.4k $2.4m $2.4m 2.62% Added +1.1k +1,119
35 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 24,82824.8k $2.3m $2.3m 0.00% Added +4.6k +4,648
36 Algorithmic Investment Models, LLC 1.57% of their portfolio Boston, MA 23,18023.2k $2.2m $2.2m 1.57% New
37 SEAVIEW INVESTMENT MANAGERS LLC 0.71% of their portfolio MIAMI, FL 22,54422.5k $2.1m $2.1m 0.71% Added +352 +352
38 GREAT VALLEY ADVISOR GROUP, INC. 0.09% of their portfolio WILMINGTON, DE 21,83821.8k $2.1m $2.1m 0.09% Reduced -992 -992
39 Cetera Investment Advisers 0.02% of their portfolio SCHAUMBURG, IL 21,60421.6k $2.0m $2.0m 0.02% Added +1.3k +1,328
40 Keystone Financial Group 0.32% of their portfolio LEXINGTON, KY 20,48120.5k $1.9m $1.9m 0.32% Added +17.0k +17,028
41 Integrated Wealth Concepts LLC 0.03% of their portfolio WALTHAM, MA 19,79319.8k $1.9m $1.9m 0.03% Reduced -123 -123
42 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 19,55619.6k $1.8m $1.8m 0.00% Reduced -649 -649
43 BENJAMIN F. EDWARDS & COMPANY, INC. 0.07% of their portfolio ST. LOUIS, MO 18,36618.4k $1.7m $1.7m 0.07% Reduced -508 -508
44 Csenge Advisory Group 0.11% of their portfolio CLEARWATER, FL 17,90817.9k $1.7m $1.7m 0.11% New
45 WCG Wealth Advisors LLC 0.13% of their portfolio LAS VEGAS, NV 17,53517.5k $1.7m $1.7m 0.13% Added +3.3k +3,347
46 Snowden Capital Advisors LLC 0.06% of their portfolio New York, NY 16,09316.1k $1.5m $1.5m 0.06% Reduced -861 -861
47 OPPENHEIMER & CO INC 0.03% of their portfolio NEW YORK, NY 15,93415.9k $1.5m $1.5m 0.03% Added +3.8k +3,842
48 Waverly Advisors, LLC 0.06% of their portfolio BIRMINGHAM, AL 15,50915.5k $1.5m $1.5m 0.06% Unchanged
49 Stegent Equity Advisors, Inc. 1.81% of their portfolio HOUSTON, TX 15,22315.2k $1.4m $1.4m 1.81% Added +373 +373
50 KRAEMATON INVESTMENT ADVISORS, INC 1.72% of their portfolio BRAINTREE, MA 14,84414.8k $1.4m $1.4m 1.72% Reduced -298 -298
51 Stratos Wealth Partners, LTD. 0.03% of their portfolio BEACHWOOD, OH 14,49914.5k $1.4m $1.4m 0.03% Added +4.3k +4,322
52 Rathbones Group PLC 0.01% of their portfolio Liverpool, X0 13,79913.8k $1.3m $1.3m 0.01% Reduced -427 -427
53 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 13,77313.8k $1.3m $1.3m 0.00% New
54 Capital Analysts, LLC 0.07% of their portfolio FORT WASHINGTON, PA 13,71013.7k $1.3m $1.3m 0.07% Added +11.7k +11,674
55 Flaharty Asset Management, LLC 0.21% of their portfolio CLEARWATER, FL 13,63613.6k $1.3m $1.3m 0.21% New
56 WEDBUSH SECURITIES INC 0.06% of their portfolio PASADENA, CA 13,62413.6k $1.3m $1.3m 0.06% Added +651 +651
57 Advisory Services Network, LLC 0.03% of their portfolio ATLANTA, GA 13,12913.1k $1.2m $1.2m 0.03% New
58 OLD MISSION CAPITAL LLC 0.04% of their portfolio CHICAGO, IL 13,09013.1k $1.2m $1.2m 0.04% New
59 IHT Wealth Management, LLC 0.06% of their portfolio Chicago, IL 12,51112.5k $1.2m $1.2m 0.06% Added +479 +479
60 WealthBridge Capital Management, LLC 0.48% of their portfolio WESTERVILLE, OH 12,30812.3k $1.2m $1.2m 0.48% Added +274 +274
61 American Institute for Advanced Investment Management, LLP 1.04% of their portfolio Scottsdale, AZ 11,47711.5k $1.1m $1.1m 1.04% Added +1.6k +1,599
62 GREENWOOD CAPITAL ASSOCIATES LLC 0.15% of their portfolio GREENWOOD, SC 11,25311.3k $1.1m $1.1m 0.15% Added +81 +81
63 Kingsview Wealth Management, LLC 0.04% of their portfolio GRANTS PASS, OR 11,14211.1k $1.0m $1.0m 0.04% Added +2.7k +2,690
64 FLAGSHIP HARBOR ADVISORS, LLC 0.08% of their portfolio BOSTON, MA 10,74310.7k $1.0m $1.0m 0.08% Added +522 +522
65 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 10,06710.1k $945.0k $945.0k 0.00% Added +933 +933
66 McKinley Carter Wealth Services, Inc. 0.07% of their portfolio WHEELING, WV 9,99810.0k $938.7k $938.7k 0.07% Added +1 +1
67 BANK HAPOALIM BM 0.15% of their portfolio TEL AVIV, L3 9,7159.7k $912.0k $912.0k 0.15% Reduced -2.7k -2,670
68 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 9,6149.6k $902.7k $902.7k 0.01% Added +788 +788
69 EUDAIMONIA ADVISORS LLC 0.60% of their portfolio Winchester, TN 9,1519.2k $859.2k $859.2k 0.60% Added +3.0k +3,010
70 CORRADO ADVISORS, LLC 0.58% of their portfolio RAMSEY, NJ 9,0049.0k $845.4k $845.4k 0.58% Added +933 +933
71 Eudaimonia Partners, LLC 0.18% of their portfolio Winchester, TN 7,8647.9k $738.4k $738.4k 0.18% Added +2.9k +2,866
72 J.P. Morgan Private Wealth Advisors LLC 0.00% of their portfolio SAN FRANCISCO, CA 7,2857.3k $684.0k $684.0k 0.00% New
73 PFG Investments, LLC 0.13% of their portfolio WOODBURY, NY 7,1157.1k $668.0k $668.0k 0.13% Added +1.1k +1,072
74 MGO ONE SEVEN LLC 0.05% of their portfolio Beachwood, OH 6,6226.6k $621.7k $621.7k 0.05% Reduced -220 -220
75 Stonebridge Financial Planning Group, LLC 0.39% of their portfolio ORLANDO, FL 6,4556.5k $606.1k $606.1k 0.39% Reduced -205 -205
76 CoreCap Advisors, LLC 0.04% of their portfolio SOUTHFIELD, MI 6,1056.1k $573.2k $573.2k 0.04% Reduced -1.1k -1,112
77 Concentrum Wealth Management 0.34% of their portfolio SAN JOSE, CA 6,0296.0k $566.3k $566.3k 0.34% New
78 Vontobel Holding Ltd. 0.01% of their portfolio ZURICH, V8 6,0006.0k $563.3k $563.3k 0.01% Reduced -2.4k -2,387
79 Ignite Planners, LLC 0.16% of their portfolio SAN CLEMENTE, CA 5,6545.7k $515.9k $515.9k 0.16% New
80 SYNOVUS FINANCIAL CORP 0.01% of their portfolio Columbus, GA 5,4615.5k $512.9k $512.9k 0.01% Added +76 +76
81 Envestnet Portfolio Solutions, Inc. 0.00% of their portfolio BERWYN, PA 5,3405.3k $501.4k $501.4k 0.00% First filing
82 PRUDENTIAL FINANCIAL INC 0.00% of their portfolio NEWARK, NJ 5,1705.2k $485.4k $485.4k 0.00% New
83 LANARK FINANCIAL, INC. 0.05% of their portfolio BIRMINGHAM, AL 5,1395.1k $482.0k $482.0k 0.05% First filing
84 EQUITABLE TRUST CO 0.04% of their portfolio NASHVILLE, TN 4,9394.9k $463.7k $463.7k 0.04% Unchanged
85 FLAGSTAR SECURITIES, INC 0.17% of their portfolio New York, NY 4,8074.8k $451.3k $451.3k 0.17% Added +717 +717
86 Apeiron RIA LLC 0.15% of their portfolio Dallas, TX 4,6564.7k $437.2k $437.2k 0.15% Added +303 +303
87 Capital Investment Advisory Services, LLC 0.04% of their portfolio RALEIGH, NC 4,6504.7k $436.6k $436.6k 0.04% Unchanged
88 BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio PARIS, I0 4,6024.6k $432.1k $432.1k 0.00% Reduced -905 -905
89 Collaborative Wealth Managment Inc. 0.26% of their portfolio LAKE MARY, FL 4,5974.6k $431.6k $431.6k 0.26% Unchanged
90 CWM, LLC 0.00% of their portfolio OMAHA, NE 4,5364.5k $426.0k $426.0k 0.00% Reduced -42 -42
91 VestGen Investment Management 0.13% of their portfolio EGG HARBOR TOWNSHIP, NJ 4,5354.5k $425.8k $425.8k 0.13% New
92 Outlook Wealth Advisors, LLC 0.16% of their portfolio SHENANDOAH, TX 4,4714.5k $419.8k $419.8k 0.16% New
93 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.04% of their portfolio CEDAR RAPIDS, IA 4,4124.4k $414.3k $414.3k 0.04% Added +1.8k +1,820
94 DEBUSSY CAPITAL MANAGEMENT LP 0.13% of their portfolio CHICAGO, IL 4,3374.3k $407.2k $407.2k 0.13% Unchanged
95 Compound Planning, Inc. 0.13% of their portfolio NEW YORK, NY 4,1784.2k $392.3k $392.3k 0.13% New
96 BOURGEON CAPITAL MANAGEMENT LLC 0.09% of their portfolio Darien, CT 4,0764.1k $382.7k $382.7k 0.09% New
97 Gladstone Institutional Advisory LLC 0.02% of their portfolio Bedminster, NJ 3,8593.9k $362.3k $362.3k 0.02% Added +617 +617
98 Walkner Condon Financial Advisors LLC 0.10% of their portfolio MADISON, WI 3,8383.8k $360.4k $360.4k 0.10% Added +157 +157
99 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 3,8283.8k $349.8k $349.8k 0.00% Reduced -41 -41
100 D.A. DAVIDSON & CO. 0.00% of their portfolio GREAT FALLS, MT 3,7913.8k $355.9k $355.9k 0.00% Reduced -1.7k -1,675