Vault-13

FIRST TR EXCHANGE-TRADED ALP FNY

MID CP GR ALPH · ETP · CUSIP 33737M102

90 institutional holders +7 vs Q3 2023
3,494,1843.5m shares reported held*
$238.0mreported value*
12 new 25 added 27 reduced 8 sold out net bought ≈ $52.0m (+758.4k 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. Holder counts are more reliable. Implied quarter-end price ≈ $68.11. Options: 2 managers hold calls ($252.0k notional), 1 hold puts ($0).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 87Q4 22: 82Q1 23: 79Q2 23: 83Q3 23: 83Q4 23: 9090Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202287
Q4 202282
Q1 202379
Q2 202383
Q3 202383
Q4 202390

Buyers vs sellers

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

Bought or addedCut or sold out
50050Q4 22: 32 bought or addedQ4 22: 43 cut or sold outQ4 22Q1 23: 31 bought or addedQ1 23: 41 cut or sold outQ1 23Q2 23: 24 bought or addedQ2 23: 37 cut or sold outQ2 23Q3 23: 32 bought or addedQ3 23: 38 cut or sold outQ3 23Q4 23: 37 bought or addedQ4 23: 35 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20223243
Q1 20233141
Q2 20232437
Q3 20233238
Q4 20233735

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: $233.2kQ2 23 puts: $0Q2 23P/C 0.00Q3 23 calls: $218.5kQ3 23 puts: $0Q3 23P/C 0.00Q4 23 calls: $252.0kQ4 23 puts: $0Q4 23P/C 0.00
Numbers
QuarterCallsPutsP/C
Q1 2023$0$0—
Q2 2023$233.2k$00.00
Q3 2023$218.5k$00.00
Q4 2023$252.0k$00.00

Biggest buyers

MORGAN STANLEY Added +453,044+453.0k
WELLS FARGO & COMPANY/MN Added +317,707+317.7k
Cambridge Investment Research Advisors, Inc. Added +52,803+52.8k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added +25,682+25.7k
LPL Financial LLC Added +22,311+22.3k
RiverTree Advisors, LLC New +15,631+15.6k
Braun-Bostich & Associates Inc. New +14,934+14.9k
Raymond James Financial Services Advisors, Inc. Added +13,165+13.2k
Kingsview Wealth Management, LLC Added +10,589+10.6k
UBS Group AG Added +9,317+9.3k

Biggest sellers

OSAIC HOLDINGS, INC. Reduced -62,890-62.9k
RAYMOND JAMES & ASSOCIATES Reduced -34,157-34.2k
CITADEL ADVISORS LLC Sold out -29,396-29.4k
Baird Financial Group, Inc. Reduced -26,024-26.0k
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC Sold out -15,446-15.4k
ASSETMARK, INC Sold out -11,194-11.2k
MML INVESTORS SERVICES, LLC Reduced -9,793-9.8k
BENJAMIN F. EDWARDS & COMPANY, INC. Reduced -6,948-6.9k
ENVESTNET ASSET MANAGEMENT INC Reduced -5,483-5.5k
ROYAL BANK OF CANADA Reduced -5,425-5.4k

Biggest calls

Belvedere Trading LLC Added $252.0k3.7k shares
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, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 734,790734.8k $50.1m $50.1m 0.00% Added +453.0k +453,044
2 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 589,895589.9k $40.2m $40.2m 0.01% Added +317.7k +317,707
3 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 560,308560.3k $38.2m $38.2m 0.02% Added +22.3k +22,311
4 UBS Group AG 0.01% of their portfolio ZURICH, V8 315,443315.4k $21.5m $21.5m 0.01% Added +9.3k +9,317
5 NewEdge Advisors, LLC 0.10% of their portfolio NEW ORLEANS, LA 158,208158.2k $10.8m $10.8m 0.10% Added +4.7k +4,714
6 Cambridge Investment Research Advisors, Inc. 0.03% of their portfolio FAIRFIELD, IA 87,15387.2k $5.9m $5.9m 0.03% Added +52.8k +52,803
7 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 84,50484.5k $5.8m $5.8m 0.01% Added +13.2k +13,165
8 BENJAMIN F. EDWARDS & COMPANY, INC. 0.10% of their portfolio ST. LOUIS, MO 75,26975.3k $5.1m $5.1m 0.10% Reduced -6.9k -6,948
9 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 60,63860.6k $4.1m $4.1m 0.01% Reduced -62.9k -62,890
10 Cetera Investment Advisers 0.03% of their portfolio SCHAUMBURG, IL 57,70257.7k $3.9m $3.9m 0.03% Added +3.0k +3,050
11 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 50,00050.0k $3.4m $3.4m 0.00% Unchanged
12 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 45,62945.6k $3.1m $3.1m 0.02% Added +351 +351
13 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 42,51442.5k $2.9m $2.9m 0.01% Added +1.4k +1,442
14 Kingsview Wealth Management, LLC 0.08% of their portfolio GRANTS PASS, OR 41,36441.4k $2.8m $2.8m 0.08% Added +10.6k +10,589
15 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 39,87039.9k $2.7m $2.7m 0.00% Added +25.7k +25,682
16 KCM INVESTMENT ADVISORS LLC 0.11% of their portfolio GREENBRAE, CA 39,61839.6k $2.7m $2.7m 0.11% Unchanged
17 Wealth Management Partners, LLC 1.41% of their portfolio TUCSON, AZ 36,98637.0k $2.5m $2.5m 1.41% Reduced -659 -659
18 Kestra Advisory Services, LLC 0.02% of their portfolio AUSTIN, TX 28,44228.4k $1.9m $1.9m 0.02% Added +1.1k +1,136
19 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 27,69327.7k $1.9m $1.9m 0.00% Reduced -3.7k -3,734
20 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 25,70425.7k $1.8m $1.8m 0.02% Added +811 +811
21 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.00% of their portfolio PLYMOUTH, MN 19,93119.9k $1.4m $1.4m 0.00% Added +6.2k +6,150
22 MTM Investment Management, LLC 0.58% of their portfolio SPARTANBURG, SC 18,58018.6k $1.3m $1.3m 0.58% Unchanged
23 Equitable Holdings, Inc. 0.02% of their portfolio NEW YORK, NY 17,91917.9k $1.2m $1.2m 0.02% Added +150 +150
24 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 17,59117.6k $1.2m $1.2m 0.00% Added +608 +608
25 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 16,81316.8k $1.1m $1.1m 0.00% Reduced -5.4k -5,425
26 RiverTree Advisors, LLC 0.72% of their portfolio WINTER PARK, FL 15,63115.6k $1.1m $1.1m 0.72% New
27 Braun-Bostich & Associates Inc. 0.92% of their portfolio CANONSBURG, PA 14,93414.9k $1.0m $1.0m 0.92% New
28 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 12,41512.4k $845.7k $845.7k 0.00% Reduced -34.2k -34,157
29 MML INVESTORS SERVICES, LLC 0.00% of their portfolio SPRINGFIELD, MA 11,23611.2k $765.0k $765.0k 0.00% Reduced -9.8k -9,793
30 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 10,71810.7k $730.1k $730.1k 0.00% Added +153 +153
31 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 10,66110.7k $726.0k $726.0k 0.00% Added +1.4k +1,370
32 COMERICA BANK 0.00% of their portfolio DALLAS, TX 10,59010.6k $721.4k $721.4k 0.00% Unchanged
33 Clarus Wealth Advisors 0.41% of their portfolio PEORIA, AZ 10,41010.4k $690.3k $690.3k 0.41% First filing
34 Purus Wealth Management, LLC 0.39% of their portfolio Newport Beach, CA 9,97710.0k $679.6k $679.6k 0.39% Reduced -234 -234
35 ARS Wealth Advisors Group, LLC 0.09% of their portfolio St. Petersburg, FL 9,4099.4k $640.9k $640.9k 0.09% Reduced -1.0k -1,014
36 GREAT VALLEY ADVISOR GROUP, INC. 0.02% of their portfolio WILMINGTON, DE 8,7538.8k $595.8k $595.8k 0.02% Added +4 +4
37 D.A. DAVIDSON & CO. 0.01% of their portfolio GREAT FALLS, MT 8,5228.5k $580.5k $580.5k 0.01% Reduced -118 -118
38 Dominguez Wealth Management Solutions, Inc. 0.47% of their portfolio WILLIAMSBURG, VA 8,3408.3k $568.1k $568.1k 0.47% Reduced -62 -62
39 Global Retirement Partners, LLC 0.02% of their portfolio San Rafael, CA 8,2988.3k $548.0k $548.0k 0.02% Added +7.2k +7,244
40 Mariner, LLC 0.00% of their portfolio Overland Park, KS 8,0898.1k $551.0k $551.0k 0.00% Reduced -1.5k -1,481
41 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 7,8877.9k $537.3k $537.3k 0.00% Reduced -26.0k -26,024
42 Stonebridge Financial Planning Group, LLC 0.29% of their portfolio ORLANDO, FL 7,4507.5k $507.5k $507.5k 0.29% Unchanged
43 Stratos Wealth Partners, LTD. 0.01% of their portfolio BEACHWOOD, OH 7,0557.1k $480.6k $480.6k 0.01% Reduced -33 -33
44 Koshinski Asset Management, Inc. 0.07% of their portfolio DECATUR, IL 6,8906.9k $469.3k $469.3k 0.07% New
45 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 6,8466.8k $466.5k $466.5k 0.00% Added +3.4k +3,424
46 Element Wealth, LLC 0.26% of their portfolio RIDGELAND, MS 6,2126.2k $423.2k $423.2k 0.26% Reduced -307 -307
47 Cornerstone Wealth Management, LLC 0.03% of their portfolio ST. PETERS, MO 5,9335.9k $404.1k $404.1k 0.03% Unchanged
48 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 5,6625.7k $385.7k $385.7k 0.00% Reduced -5.5k -5,483
49 Integrated Wealth Concepts LLC 0.01% of their portfolio WALTHAM, MA 5,6045.6k $381.7k $381.7k 0.01% Added +325 +325
50 Beacon Pointe Advisors, LLC 0.00% of their portfolio NEWPORT BEACH, CA 5,5005.5k $374.7k $374.7k 0.00% Unchanged
51 Clear Point Advisors Inc. 0.32% of their portfolio MELVILLE, NY 5,3265.3k $362.8k $362.8k 0.32% First filing
52 IFP Advisors, Inc 0.02% of their portfolio TAMPA, FL 5,0345.0k $342.9k $342.9k 0.02% Unchanged
53 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 4,7174.7k $321.0k $321.0k 0.00% Unchanged
54 TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio NEW YORK, NY 4,3004.3k $292.9k $292.9k 0.00% New
55 Keystone Wealth Services, LLC 0.10% of their portfolio PALM DESERT, CA 4,1984.2k $286.0k $286.0k 0.10% Reduced -200 -200
56 WMG Financial Advisors, LLC 0.19% of their portfolio Knoxville, TN 4,1844.2k $285.0k $285.0k 0.19% Reduced -57 -57
57 Mutual Advisors, LLC 0.01% of their portfolio OMAHA, NE 3,9974.0k $272.3k $272.3k 0.01% Reduced -954 -954
58 Pine Valley Investments Ltd Liability Co 0.02% of their portfolio MARLTON, NJ 3,8393.8k $261.5k $261.5k 0.02% Added +328 +328
59 1776 Wealth LLC 0.12% of their portfolio ATLANTA, GA 3,6273.6k $247.1k $247.1k 0.12% Unchanged
60 Sigma Planning Corp 0.02% of their portfolio ANN ARBOR, MI 3,5373.5k $241.0k $241.0k 0.02% Reduced -2.9k -2,905
61 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 3,3823.4k $230.4k $230.4k 0.00% New
62 Alpha Omega Group, Inc. 0.40% of their portfolio RESTON, VA 3,3543.4k $228.5k $228.5k 0.40% Unchanged
63 Financial Advocates Investment Management 0.01% of their portfolio OLYMPIA, WA 3,3143.3k $225.8k $225.8k 0.01% Reduced -169 -169
64 Kowal Investment Group, LLC 0.05% of their portfolio BROOKFIELD, WI 3,2763.3k $223.2k $223.2k 0.05% Reduced -139 -139
65 Ashton Thomas Private Wealth, LLC 0.01% of their portfolio SCOTTSDALE, AZ 3,2213.2k $219.4k $219.4k 0.01% New
66 CWM, LLC 0.00% of their portfolio OMAHA, NE 3,1443.1k $214.0k $214.0k 0.00% Unchanged
67 Venture Visionary Partners LLC 0.01% of their portfolio Sylvania, OH 3,0003.0k $204.4k $204.4k 0.01% New
68 Founders Financial Alliance, LLC 0.06% of their portfolio RALEIGH, NC 2,0842.1k $142.0k $142.0k 0.06% Unchanged
69 Tower Research Capital LLC (TRC) 0.00% of their portfolio NEW YORK, NY 1,8851.9k $128.4k $128.4k 0.00% Reduced -2.8k -2,784
70 Geneos Wealth Management Inc. 0.01% of their portfolio ENGLEWOOD, CO 1,8821.9k $128.2k $128.2k 0.01% Reduced -76 -76
71 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 1,4321.4k $97.5k $97.5k 0.00% Added +211 +211
72 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 1,2411.2k $84.5k $84.5k 0.00% Unchanged
73 CHESAPEAKE ASSET MANAGEMENT LLC 0.06% of their portfolio NEW YORK, NY 966966 $65.8k $65.8k 0.06% Unchanged
74 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 689689 $46.9k $46.9k 0.00% Unchanged
75 LANARK FINANCIAL, INC. 0.00% of their portfolio BIRMINGHAM, AL 608608 $41.0k $41.0k 0.00% Unchanged
76 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 482482 $32.8k $32.8k 0.00% Unchanged
77 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 442442 $30.1k $30.1k 0.00% Reduced -909 -909
78 Tyler-Stone Wealth Management 0.02% of their portfolio Beachwood, OH 442442 $30.1k $30.1k 0.02% Unchanged
79 Pacifica Partners Inc. 0.01% of their portfolio SURREY, Z4 250250 $15.9k $15.9k 0.01% Unchanged
80 PRIVATE TRUST CO NA 0.00% of their portfolio CLEVELAND, OH 169169 $11.5k $11.5k 0.00% Unchanged
81 Coppell Advisory Solutions LLC 0.00% of their portfolio COPPELL, TX 117117 $8.0k $8.0k 0.00% New
82 Financial Gravity Asset Management, Inc. 0.00% of their portfolio Lakeway, TX 112112 $7.6k $7.6k 0.00% New
83 HUNTINGTON NATIONAL BANK 0.00% of their portfolio COLUMBUS, OH 102102 $6.9k $6.9k 0.00% New
84 PSI Advisors, LLC 0.00% of their portfolio TAMPA, FL 100100 $6.8k $6.8k 0.00% New
85 FARMERS & MERCHANTS INVESTMENTS INC 0.00% of their portfolio LINCOLN, NE 7676 $5.2k $5.2k 0.00% New
86 Caitlin John, LLC 0.00% of their portfolio BRIGHTON, MI 7171 $4.8k $4.8k 0.00% First filing
87 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 3939 $2.7k $2.7k 0.00% Unchanged
88 Transamerica Financial Advisors, LLC 0.00% of their portfolio CEDAR RAPIDS, IA 3535 $3.0k $3.0k 0.00% Reduced -1 -1
89 FMR LLC 0.00% of their portfolio BOSTON, MA 2626 $1.8k $1.8k 0.00% Reduced -1 -1
90 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged