FIRST TR EXCHANGE-TRADED ALP FYC
SML CP GRW ALP · ETP · CUSIP 33737M300
69
institutional holders
+1 vs Q2 2023
2.7m
shares reported held*
$152.5mreported value*
6 new
25 added
22 reduced
7 sold out
net bought ≈ $24.5m (+409.0k 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 ≈ $56.36. Options: 1 managers hold calls ($0 notional), 1 hold puts ($0).
Trends to Q3 2023
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 73 |
| Q4 2022 | 72 |
| Q1 2023 | 73 |
| Q2 2023 | 68 |
| Q3 2023 | 69 |
Buyers vs sellers
Managers adding to or starting a position, vs cutting or selling out
Bought or addedCut or sold out
Numbers
| Quarter | Bought or added | Cut or sold out |
|---|---|---|
| Q4 2022 | 32 | 34 |
| Q1 2023 | 30 | 34 |
| Q2 2023 | 20 | 40 |
| Q3 2023 | 31 | 29 |
Biggest buyers
| FIRST TRUST ADVISORS LP | New | +444.8k |
| J Arnold Wealth Management Co | New | +198.2k |
| ROYAL BANK OF CANADA | Added | +23.4k |
| Cetera Advisor Networks LLC | New | +15.1k |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | Added | +11.3k |
| UBS Group AG | Added | +11.2k |
| OSAIC HOLDINGS, INC. | Added | +7.8k |
| BANK OF AMERICA CORP /DE/ | Added | +5.6k |
| Pinnacle Bancorp, Inc. | New | +4.4k |
| FLOW TRADERS U.S. LLC | Added | +4.0k |
Biggest sellers
| IFP Advisors, Inc | Reduced | -96.0k |
| WELLS FARGO & COMPANY/MN | Reduced | -66.1k |
| LPL Financial LLC | Reduced | -54.6k |
| MORGAN STANLEY | Reduced | -22.0k |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | Sold out | -16.2k |
| Atria Wealth Solutions, Inc. | Reduced | -14.7k |
| BENJAMIN F. EDWARDS & COMPANY, INC. | Reduced | -13.9k |
| Raymond James Financial Services Advisors, Inc. | Reduced | -11.0k |
| Stratos Wealth Partners, LTD. | Sold out | -8.8k |
| RFG Advisory, LLC | Sold out | -8.2k |
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
| Manager | Shares | Change |
|---|---|---|
| FIRST TRUST ADVISORS LP 0.03% of their portfolio | 444.8k $25.1m | New |
| LPL Financial LLC 0.02% of their portfolio | 387.0k $21.8m | Reduced -54.6k |
| J Arnold Wealth Management Co 4.52% of their portfolio | 198.2k $11.2m | New |
| MORGAN STANLEY 0.00% of their portfolio | 158.9k $9.0m | Reduced -22.0k |
| Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio | 145.1k $8.2m | Reduced -11.0k |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 143.6k $8.1m | Added +5.6k |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 130.6k $7.4m | Added +23.4k |
| IFP Advisors, Inc 0.28% of their portfolio | 109.2k $6.2m | Reduced -96.0k |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 66.2k $3.7m | Reduced -66.1k |
| PNC Financial Services Group, Inc. 0.00% of their portfolio | 63.4k $3.6m | Added +2.3k |
| ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio | 58.1k $3.3m | Added +144 |
| MONEYWISE, INC. 1.97% of their portfolio | 55.8k $3.1m | Reduced -999 |
| RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio | 54.8k $3.1m | Reduced -1.1k |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 46.3k $2.6m | Added +7.8k |
| BEDEL FINANCIAL CONSULTING INC 0.52% of their portfolio | 45.3k $2.6m | First filing |
| Bedel Financial Consulting, Inc. 0.52% of their portfolio | 45.3k $2.6m | Added +1.5k |
| MONECO ADVISORS, LLC 0.68% of their portfolio | 44.2k $2.5m | Reduced -3.0k |
| Kingsview Wealth Management, LLC 0.08% of their portfolio | 41.0k $2.3m | Added +2.1k |
| IAG Wealth Partners, LLC 0.64% of their portfolio | 40.4k $2.3m | Reduced -1.2k |
| BENJAMIN F. EDWARDS & COMPANY, INC. 0.08% of their portfolio | 37.4k $2.1m | Reduced -13.9k |
| Equitable Holdings, Inc. 0.03% of their portfolio | 36.7k $2.1m | Added +40 |
| UBS Group AG 0.00% of their portfolio | 36.5k $2.1m | Added +11.2k |
| Dunhill Financial, LLC 0.96% of their portfolio | 27.1k $1.5m | Added +1.3k |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio | 25.9k $1.5m | Added +11.3k |
| MTM Investment Management, LLC 0.55% of their portfolio | 19.2k $1.1m | Unchanged |
| Steward Partners Investment Advisory, LLC 0.02% of their portfolio | 18.8k $1.1m | Added +20 |
| Kestra Advisory Services, LLC 0.01% of their portfolio | 18.7k $1.1m | Added +1.0k |
| US BANCORP \DE\ 0.00% of their portfolio | 18.6k $1.1m | Reduced -30 |
| HFG Advisors, Inc. 1.11% of their portfolio | 18.0k $1.0m | Added +101 |
| Cetera Advisor Networks LLC 0.01% of their portfolio | 15.1k $853.6k | New |
| Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio | 15.1k $851.0k | Reduced -1.1k |
| FLOW TRADERS U.S. LLC 0.04% of their portfolio | 13.6k $769.0k | Added +4.0k |
| Tower Research Capital LLC (TRC) 0.02% of their portfolio | 13.6k $769.0k | Added +1.1k |
| MML INVESTORS SERVICES, LLC 0.00% of their portfolio | 11.1k $625.0k | Added +2.0k |
| STIFEL FINANCIAL CORP 0.00% of their portfolio | 10.8k $608.3k | Added +1.4k |
| AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio | 8.1k $459.2k | Added +906 |
| Clearwater Capital Advisors, LLC 0.06% of their portfolio | 8.1k $456.3k | Reduced -1.1k |
| COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio | 7.2k $408.0k | Reduced -3.9k |
| Independent Wealth Network Inc. 0.24% of their portfolio | 6.9k $387.6k | Added +190 |
| Geneos Wealth Management Inc. 0.02% of their portfolio | 6.7k $375.6k | Added +453 |
| Janney Montgomery Scott LLC 0.00% of their portfolio | 6.4k $362.0k | Reduced -200 |
| Strid Group, LLC 0.07% of their portfolio | 6.3k $355.4k | Unchanged |
| IHT Wealth Management, LLC 0.02% of their portfolio | 6.0k $340.5k | Added +620 |
| Atria Wealth Solutions, Inc. 0.00% of their portfolio | 4.6k $261.1k | Reduced -14.7k |
| Pinnacle Bancorp, Inc. 0.09% of their portfolio | 4.4k $245.8k | New |
| Quantum Private Wealth, LLC 0.11% of their portfolio | 4.2k $236.9k | Unchanged |
| Financial Advocates Investment Management 0.02% of their portfolio | 4.0k $225.7k | Reduced -302 |
| Cornerstone Wealth Management, LLC 0.02% of their portfolio | 3.6k $201.7k | Reduced -140 |
| Wagner Wealth Management, LLC 0.07% of their portfolio | 3.3k $186.5k | Reduced -104 |
| HARBOUR INVESTMENTS, INC. 0.01% of their portfolio | 2.6k $147.4k | Reduced -142 |
| Founders Financial Alliance, LLC 0.05% of their portfolio | 2.1k $116.4k | Unchanged |
| Key Financial Inc 0.02% of their portfolio | 1.0k $58.4k | Unchanged |
| CWM, LLC 0.00% of their portfolio | 952 $54.0k | Unchanged |
| Global Retirement Partners, LLC 0.00% of their portfolio | 930 $50.7k | Reduced -100 |
| CHESAPEAKE ASSET MANAGEMENT LLC 0.05% of their portfolio | 827 $46.6k | Unchanged |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio | 812 $45.8k | Added +30 |
| COMERICA BANK 0.00% of their portfolio | 720 $40.6k | New |
| FMR LLC 0.00% of their portfolio | 475 $26.8k | Reduced -587 |
| PSI Advisors, LLC 0.01% of their portfolio | 276 $15.5k | Added +101 |
| LANARK FINANCIAL, INC. 0.00% of their portfolio | 250 $14.0k | First filing |
| NewEdge Advisors, LLC 0.00% of their portfolio | 213 $12.0k | Unchanged |
| CITY HOLDING CO 0.00% of their portfolio | 211 $11.9k | Unchanged |
| Spire Wealth Management 0.00% of their portfolio | 127 $7.2k | Unchanged |
| Transamerica Financial Advisors, LLC 0.00% of their portfolio | 98 $6.0k | Added +2 |
| Qube Research & Technologies Ltd 0.00% of their portfolio | 68 $3.8k | New |
| Capital Analysts, LLC 0.00% of their portfolio | 25 $1.0k | Unchanged |
| SIGNATUREFD, LLC 0.00% of their portfolio | 12 $676 | Unchanged |
| VitalStone Financial, LLC 0.00% of their portfolio | 7 $0 | Unchanged |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |