Vault-13

FIRST TR EXCHANGE-TRADED ALP FYT

SML CAP VAL ALPH · ETP · CUSIP 33737M409

75 institutional holders +5 vs Q2 2024
2,351,8582.4m shares reported held*
$130.6mreported value*
6 new 20 added 29 reduced 2 sold out net sold ≈ $16.4m (-294.7k 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 ($83.0k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $55.55. Options: 1 managers hold calls ($0 notional), 1 hold puts ($0).

Trends to Q3 2024

Institutional holders

Managers reporting a position, each quarter

0255075Q3 22: 68Q4 22: 63Q1 23: 67Q2 23: 58Q3 23: 60Q4 23: 69Q1 24: 73Q2 24: 70Q3 24: 7575Q3 22Q1 23Q3 23Q1 24Q3 24
Numbers
QuarterHolders
Q3 202268
Q4 202263
Q1 202367
Q2 202358
Q3 202360
Q4 202369
Q1 202473
Q2 202470
Q3 202475

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q4 22: 26 bought or addedQ4 22: 36 cut or sold outQ1 23: 36 bought or addedQ1 23: 20 cut or sold outQ1 23Q2 23: 21 bought or addedQ2 23: 34 cut or sold outQ3 23: 16 bought or addedQ3 23: 32 cut or sold outQ3 23Q4 23: 29 bought or addedQ4 23: 24 cut or sold outQ1 24: 33 bought or addedQ1 24: 23 cut or sold outQ1 24Q2 24: 23 bought or addedQ2 24: 32 cut or sold outQ3 24: 26 bought or addedQ3 24: 31 cut or sold outQ3 24
Numbers
QuarterBought or addedCut or sold out
Q4 20222636
Q1 20233620
Q2 20232134
Q3 20231632
Q4 20232924
Q1 20243323
Q2 20242332
Q3 20242631

Biggest buyers

Kingsview Wealth Management, LLC Added +41,881+41.9k
Baird Financial Group, Inc. New +25,145+25.1k
STIFEL FINANCIAL CORP Added +17,091+17.1k
Cetera Investment Advisers New +12,126+12.1k
TWO SIGMA INVESTMENTS, LP New +10,700+10.7k
GOLDMAN SACHS GROUP INC Added +9,427+9.4k
Simplicity Wealth,LLC Added +4,541+4.5k
Blueprint Investment Partners LLC Added +4,428+4.4k
Janney Montgomery Scott LLC New +4,231+4.2k
CITADEL ADVISORS LLC Added +4,114+4.1k

Biggest sellers

Regal Investment Advisors LLC Reduced -86,536-86.5k
ROYAL BANK OF CANADA Reduced -82,540-82.5k
RAYMOND JAMES & ASSOCIATES Reduced -62,785-62.8k
HARBOUR INVESTMENTS, INC. Reduced -59,493-59.5k
WELLS FARGO & COMPANY/MN Reduced -50,182-50.2k
LPL Financial LLC Reduced -28,979-29.0k
Sanctuary Advisors, LLC Sold out -17,091-17.1k
COMMONWEALTH EQUITY SERVICES, LLC Reduced -16,703-16.7k
Tower Research Capital LLC (TRC) Reduced -11,033-11.0k
OSAIC HOLDINGS, INC. Reduced -7,591-7.6k

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 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Simplicity Wealth,LLC 1.49% of their portfolio SUMMIT, NJ 289,519289.5k $16.1m $16.1m 1.49% Added +4.5k +4,541
2 Blueprint Investment Partners LLC 2.58% of their portfolio GREENSBORO, NC 255,990256.0k $14.2m $14.2m 2.58% Added +4.4k +4,428
3 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 240,616240.6k $13.4m $13.4m 0.00% Reduced -50.2k -50,182
4 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 236,676236.7k $13.1m $13.1m 0.01% Reduced -29.0k -28,979
5 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 181,229181.2k $10.1m $10.1m 0.00% Reduced -2.7k -2,660
6 Kingsview Wealth Management, LLC 0.14% of their portfolio GRANTS PASS, OR 117,206117.2k $6.5m $6.5m 0.14% Added +41.9k +41,881
7 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 86,60286.6k $4.8m $4.8m 0.00% Reduced -82.5k -82,540
8 Private Advisor Group, LLC 0.03% of their portfolio MORRISTOWN, NJ 78,70278.7k $4.4m $4.4m 0.03% Reduced -6.6k -6,564
9 Proactive Wealth Strategies LLC 2.41% of their portfolio MARIETTA, GA 78,11978.1k $4.3m $4.3m 2.41% First filing
10 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 70,49670.5k $3.9m $3.9m 0.00% Added +17.1k +17,091
11 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 63,97164.0k $3.6m $3.6m 0.00% Added +563 +563
12 UBS Group AG 0.00% of their portfolio ZURICH, V8 53,38253.4k $3.0m $3.0m 0.00% Reduced -1.2k -1,175
13 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 53,13153.1k $3.0m $3.0m 0.00% Added +1.8k +1,846
14 Regal Investment Advisors LLC 0.18% of their portfolio KENTWOOD, MI 46,87846.9k $2.6m $2.6m 0.18% Reduced -86.5k -86,536
15 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 42,96543.0k $2.4m $2.4m 0.00% Added +4.1k +4,114
16 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 40,64140.6k $2.3m $2.3m 0.00% Added +413 +413
17 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 37,28037.3k $2.1m $2.1m 0.00% Reduced -16.7k -16,703
18 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 30,03330.0k $1.7m $1.7m 0.01% Reduced -785 -785
19 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 26,58426.6k $1.5m $1.5m 0.00% Added +1.0k +1,018
20 Baird Financial Group, Inc. 0.00% of their portfolio MILWAUKEE, WI 25,14525.1k $1.4m $1.4m 0.00% New
21 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 18,44818.4k $1.0m $1.0m 0.00% Added +9.4k +9,427
22 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 17,76217.8k $987.2k $987.2k 0.00% Reduced -7.6k -7,591
23 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 17,38717.4k $965.8k $965.8k 0.01% Added +566 +566
24 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 16,87716.9k $937.5k $937.5k 0.00% Reduced -62.8k -62,785
25 Tower Research Capital LLC (TRC) 0.02% of their portfolio NEW YORK, NY 16,72216.7k $928.9k $928.9k 0.02% Reduced -11.0k -11,033
26 Belpointe Asset Management LLC 0.05% of their portfolio RENO, NV 14,58014.6k $810.0k $810.0k 0.05% Reduced -1.7k -1,664
27 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 14,28814.3k $793.7k $793.7k 0.01% Reduced -59 -59
28 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 13,76113.8k $764.0k $764.0k 0.00% Added +672 +672
29 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 12,12612.1k $673.6k $673.6k 0.00% New
30 Pinnacle Bancorp, Inc. 0.17% of their portfolio BEATRICE, NE 11,41311.4k $634.0k $634.0k 0.17% Unchanged
31 Gateway Wealth Partners, LLC 0.17% of their portfolio APPLETON, WI 11,25711.3k $625.3k $625.3k 0.17% Reduced -609 -609
32 TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio NEW YORK, NY 10,70010.7k $594.4k $594.4k 0.00% New
33 Chicago Partners Investment Group LLC 0.02% of their portfolio CHICAGO, IL 9,3689.4k $508.1k $508.1k 0.02% Added +211 +211
34 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 9,0749.1k $504.1k $504.1k 0.00% Reduced -4.1k -4,115
35 TCFG WEALTH MANAGEMENT, LLC 0.25% of their portfolio LAGUNA NIGUEL, CA 9,0099.0k $500.5k $500.5k 0.25% First filing
36 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 8,1418.1k $452.3k $452.3k 0.01% Reduced -59.5k -59,493
37 M&R CAPITAL MANAGEMENT INC 0.09% of their portfolio SUMMIT, NJ 7,7207.7k $428.9k $428.9k 0.09% Unchanged
38 MML INVESTORS SERVICES, LLC 0.00% of their portfolio SPRINGFIELD, MA 7,6967.7k $428.0k $428.0k 0.00% Added +88 +88
39 Ameritas Advisory Services, LLC 0.02% of their portfolio Lincoln, NE 6,8406.8k $380.0k $380.0k 0.02% Reduced -341 -341
40 SMITH, MOORE & CO. 0.04% of their portfolio CLAYTON, MO 6,6346.6k $368.5k $368.5k 0.04% Reduced -437 -437
41 Gilliland Jeter Wealth Management LLC 0.06% of their portfolio LITTLE ROCK, AR 6,0006.0k $329.6k $329.6k 0.06% Added +3.0k +3,000
42 Cornerstone Wealth Management, LLC 0.02% of their portfolio ST. PETERS, MO 5,8105.8k $322.8k $322.8k 0.02% Unchanged
43 Koshinski Asset Management, Inc. 0.02% of their portfolio DECATUR, IL 4,6964.7k $260.9k $260.9k 0.02% Reduced -55 -55
44 D.A. DAVIDSON & CO. 0.00% of their portfolio GREAT FALLS, MT 4,5854.6k $254.8k $254.8k 0.00% Reduced -40 -40
45 9258 Wealth Management, LLC 0.04% of their portfolio BLUE ASH, OH 4,3774.4k $243.1k $243.1k 0.04% Added +273 +273
46 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 4,2314.2k $235.0k $235.0k 0.00% New
47 NORTHWEST WEALTH MANAGEMENT, LLC 0.05% of their portfolio SPENCER, IA 3,7313.7k $207.3k $207.3k 0.05% New
48 Focus Partners Advisor Solutions, LLC 0.00% of their portfolio SAINT LOUIS, MO 3,7313.7k $207.3k $207.3k 0.00% New
49 Wagner Wealth Management, LLC 0.05% of their portfolio GREENVILLE, SC 3,6553.7k $203.1k $203.1k 0.05% Added +27 +27
50 Founders Financial Alliance, LLC 0.04% of their portfolio RALEIGH, NC 2,8032.8k $155.7k $155.7k 0.04% Added +12 +12
51 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 1,9261.9k $107.0k $107.0k 0.00% Reduced -258 -258
52 Cranbrook Wealth Management, LLC 0.02% of their portfolio Bloomfield Hills, MI 1,8201.8k $101.1k $101.1k 0.02% Unchanged
53 CREATIVE FINANCIAL DESIGNS INC /ADV 0.01% of their portfolio KOKOMO, IN 1,8181.8k $101.0k $101.0k 0.01% Reduced -169 -169
54 JONES FINANCIAL COMPANIES LLLP 0.00% of their portfolio DES PERES, MO 1,5981.6k $88.3k $88.3k 0.00% Added +1.5k +1,513
55 Capital Analysts, LLC 0.00% of their portfolio FORT WASHINGTON, PA 1,4111.4k $78.0k $78.0k 0.00% Reduced -287 -287
56 GAMMA Investing LLC 0.01% of their portfolio FOSTER CITY, CA 1,2591.3k $69.9k $69.9k 0.01% Unchanged
57 Accordant Advisory Group Inc 0.04% of their portfolio ANNAPOLIS, MD 1,0001.0k $55.6k $55.6k 0.04% Unchanged
58 MTM Investment Management, LLC 0.01% of their portfolio SPARTANBURG, SC 605605 $33.1k $33.1k 0.01% Unchanged
59 LANARK FINANCIAL, INC. 0.00% of their portfolio BIRMINGHAM, AL 500500 $27.0k $27.0k 0.00% Unchanged
60 FMR LLC 0.00% of their portfolio BOSTON, MA 468468 $26.0k $26.0k 0.00% Unchanged
61 COMERICA BANK 0.00% of their portfolio DALLAS, TX 420420 $23.3k $23.3k 0.00% Reduced -8 -8
62 CWM, LLC 0.00% of their portfolio OMAHA, NE 322322 $18.0k $18.0k 0.00% Reduced -202 -202
63 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 302302 $16.8k $16.8k 0.00% Added +2 +2
64 Sunbelt Securities, Inc. 0.00% of their portfolio HOUSTON, TX 250250 $13.9k $13.9k 0.00% Unchanged
65 Global Retirement Partners, LLC 0.00% of their portfolio San Rafael, CA 228228 $12.7k $12.7k 0.00% Unchanged
66 Farther Finance Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 195195 $10.8k $10.8k 0.00% Unchanged
67 IFP Advisors, Inc 0.00% of their portfolio TAMPA, FL 175175 $9.7k $9.7k 0.00% Unchanged
68 Hilltop National Bank 0.00% of their portfolio CASPER, WY 143143 $7.9k $7.9k 0.00% Reduced -93 -93
69 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 9595 $5.3k $5.3k 0.00% Unchanged
70 Spire Wealth Management 0.00% of their portfolio MCLEAN, VA 7777 $4.3k $4.3k 0.00% Unchanged
71 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 6565 $3.6k $3.6k 0.00% Unchanged
72 Creekmur Asset Management LLC 0.00% of their portfolio MORTON, IL 4747 $2.6k $2.6k 0.00% Unchanged
73 Transamerica Financial Advisors, LLC 0.00% of their portfolio CEDAR RAPIDS, IA 3131 $2.0k $2.0k 0.00% Reduced -38 -38
74 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 88 $444 $444 0.00% Reduced -23 -23
75 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged