Vault-13

FIRST TR EXCHANGE-TRADED FD FTSL

SENIOR LN FD · ETP · CUSIP 33738D309

300 institutional holders -2 vs Q2 2023
33,163,75933.2m shares reported held*
$1.5bnreported value*
29 new 116 added 120 reduced 34 sold out net sold ≈ $36.5m (-800.3k 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 ($260.0k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $45.57. Options: 1 managers hold calls ($0 notional), 0 hold puts (—).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0200400Q3 22: 324Q4 22: 333Q1 23: 313Q2 23: 302Q3 23: 300300Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022324
Q4 2022333
Q1 2023313
Q2 2023302
Q3 2023300

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 144 bought or addedQ4 22: 178 cut or sold outQ4 22Q1 23: 136 bought or addedQ1 23: 193 cut or sold outQ1 23Q2 23: 124 bought or addedQ2 23: 171 cut or sold outQ2 23Q3 23: 145 bought or addedQ3 23: 154 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022144178
Q1 2023136193
Q2 2023124171
Q3 2023145154

Calls vs puts

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

CallsPuts
$0$100k$200k$300kQ4 22 calls: $0Q4 22 puts: $254.2kQ4 22P/C —Q1 23 calls: $0Q1 23 puts: $0Q1 23P/C —Q2 23 calls: $0Q2 23 puts: $0Q2 23P/C —Q3 23 calls: $0Q3 23 puts: $0Q3 23P/C —
Numbers
QuarterCallsPutsP/C
Q4 2022$0$254.2k—
Q1 2023$0$0—
Q2 2023$0$0—
Q3 2023$0$0—

Biggest buyers

OSAIC HOLDINGS, INC. Added +301,923+301.9k
Ocean Park Asset Management, LLC New +249,700+249.7k
Synergy Asset Management, LLC New +217,353+217.4k
One Capital Management, LLC Added +205,280+205.3k
Cambridge Investment Research Advisors, Inc. Added +149,556+149.6k
Little Harbor Advisors, LLC New +135,202+135.2k
COMMONWEALTH EQUITY SERVICES, LLC Added +118,812+118.8k
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC New +95,522+95.5k
Friedenthal Financial New +88,252+88.3k
COMERICA BANK New +66,625+66.6k

Biggest sellers

JANE STREET GROUP, LLC Reduced -1,006,273-1.0m
ROYAL BANK OF CANADA Reduced -434,643-434.6k
Tanager Wealth Management LLP Reduced -378,394-378.4k
Edmonds Duncan Registered Investment Advisors, LLC Sold out -273,415-273.4k
BANK OF AMERICA CORP /DE/ Reduced -123,771-123.8k
Cranbrook Wealth Management, LLC Reduced -123,605-123.6k
RENAISSANCE TECHNOLOGIES LLC Reduced -89,656-89.7k
MORGAN STANLEY Reduced -76,106-76.1k
BEACON FINANCIAL GROUP Reduced -74,405-74.4k
RiverFront Investment Group, LLC Sold out -68,075-68.1k

Biggest calls

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

None

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 0.02% of their portfolio NEW YORK, NY 3,968,3894.0m $181.5m $181.5m 0.02% Reduced -76.1k -76,106
2 ROYAL BANK OF CANADA 0.03% of their portfolio TORONTO, A6 2,535,4912.5m $116.0m $116.0m 0.03% Reduced -434.6k -434,643
3 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 2,089,7222.1m $95.6m $95.6m 0.01% Reduced -123.8k -123,771
4 LPL Financial LLC 0.05% of their portfolio FORT MILL, SC 1,632,2861.6m $74.7m $74.7m 0.05% Added +50.2k +50,250
5 WELLS FARGO & COMPANY/MN 0.02% of their portfolio SAN FRANCISCO, CA 1,458,8471.5m $66.7m $66.7m 0.02% Added +37.3k +37,310
6 UBS Group AG 0.03% of their portfolio ZURICH, V8 1,344,9381.3m $61.5m $61.5m 0.03% Added +24.2k +24,208
7 One Capital Management, LLC 1.99% of their portfolio WESTLAKE VILLAGE, CA 981,470981.5k $44.9m $44.9m 1.99% Added +205.3k +205,280
8 Wagner Wealth Management, LLC 16.05% of their portfolio GREENVILLE, SC 955,642955.6k $43.7m $43.7m 16.05% Added +60.4k +60,408
9 OSAIC HOLDINGS, INC. 0.06% of their portfolio SCOTTSDALE, AZ 917,276917.3k $42.0m $42.0m 0.06% Added +301.9k +301,923
10 Flaharty Asset Management, LLC 5.98% of their portfolio CLEARWATER, FL 780,698780.7k $35.7m $35.7m 5.98% Added +28.1k +28,072
11 Raymond James Financial Services Advisors, Inc. 0.06% of their portfolio ST. PETERSBURG, FL 722,206722.2k $33.0m $33.0m 0.06% Added +49.1k +49,087
12 FIRST TRUST ADVISORS LP 0.04% of their portfolio Wheaton, IL 667,674667.7k $30.6m $30.6m 0.04% Reduced -32.6k -32,598
13 RAYMOND JAMES & ASSOCIATES 0.02% of their portfolio ST PETERSBURG, FL 581,733581.7k $26.6m $26.6m 0.02% Added +25.4k +25,418
14 Welch & Forbes LLC 0.43% of their portfolio Boston, MA 575,154575.2k $26.3m $26.3m 0.43% Added +32.9k +32,850
15 STIFEL FINANCIAL CORP 0.03% of their portfolio ST. LOUIS, MO 454,379454.4k $20.8m $20.8m 0.03% Reduced -39.8k -39,808
16 TL Private Wealth 11.66% of their portfolio SOUTHLAKE, TX 444,839444.8k $20.4m $20.4m 11.66% Added +11.8k +11,783
17 TELEMUS CAPITAL, LLC 1.83% of their portfolio Southfield, MI 431,967432.0k $19.8m $19.8m 1.83% Reduced -7.2k -7,189
18 Virtue Capital Management, LLC 2.74% of their portfolio BRENTWOOD, TN 355,550355.6k $16.1m $16.1m 2.74% Unchanged
19 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 345,008345.0k $15.8m $15.8m 0.01% Added +32.8k +32,767
20 Kestra Advisory Services, LLC 0.15% of their portfolio AUSTIN, TX 336,864336.9k $15.4m $15.4m 0.15% Added +24.4k +24,405
21 Cyndeo Wealth Partners, LLC 1.60% of their portfolio ST. PETERSBURG, FL 335,459335.5k $15.3m $15.3m 1.60% Added +6.2k +6,232
22 COMMONWEALTH EQUITY SERVICES, LLC 0.03% of their portfolio WALTHAM, MA 322,415322.4k $14.7m $14.7m 0.03% Added +118.8k +118,812
23 Cambridge Investment Research Advisors, Inc. 0.07% of their portfolio FAIRFIELD, IA 309,857309.9k $14.2m $14.2m 0.07% Added +149.6k +149,556
24 Ocean Park Asset Management, LLC 0.51% of their portfolio SANTA MONICA, CA 249,700249.7k $11.4m $11.4m 0.51% New
25 Synergy Asset Management, LLC 1.97% of their portfolio VANCOUVER, WA 217,353217.4k $9.9m $9.9m 1.97% New
26 CWM, LLC 0.06% of their portfolio OMAHA, NE 212,581212.6k $9.7m $9.7m 0.06% Added +42.8k +42,766
27 BEACON FINANCIAL GROUP 0.58% of their portfolio DALLAS, TX 206,690206.7k $4.1m $4.1m 0.58% Reduced -74.4k -74,405
28 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 195,361195.4k $8.9m $8.9m 0.01% Added +12.9k +12,925
29 RENAISSANCE TECHNOLOGIES LLC 0.01% of their portfolio NEW YORK, NY 174,144174.1k $8.0m $8.0m 0.01% Reduced -89.7k -89,656
30 Janney Montgomery Scott LLC 0.03% of their portfolio PHILADELPHIA, PA 170,779170.8k $7.8m $7.8m 0.03% Reduced -5.1k -5,059
31 NewEdge Advisors, LLC 0.08% of their portfolio NEW ORLEANS, LA 168,224168.2k $7.7m $7.7m 0.08% Added +3.6k +3,555
32 Cherry Creek Investment Advisors, Inc. 5.18% of their portfolio ENGLEWOOD, CO 166,952167.0k $7.6m $7.6m 5.18% Added +10.4k +10,377
33 Financial Partners Group, Inc 1.50% of their portfolio Overland Park, KS 159,250159.2k $7.3m $7.3m 1.50% Reduced -34.0k -33,994
34 RFG Advisory, LLC 0.31% of their portfolio BIRMINGHAM, AL 151,565151.6k $6.9m $6.9m 0.31% Added +397 +397
35 Cetera Advisor Networks LLC 0.04% of their portfolio EL SEGUNDO, CA 149,697149.7k $6.8m $6.8m 0.04% Added +41.3k +41,301
36 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.27% of their portfolio Seattle, WA 147,740147.7k $6.8m $6.8m 0.27% Added +1.0k +1,049
37 Asset Allocation & Management Company, LLC 3.90% of their portfolio CHICAGO, IL 142,360142.4k $6.5m $6.5m 3.90% Unchanged
38 Presidio Capital Management, LLC 5.68% of their portfolio SAN DIEGO, CA 141,378141.4k $6.5m $6.5m 5.68% Added +31.0k +31,035
39 AXXCESS WEALTH MANAGEMENT, LLC 0.22% of their portfolio CARLSBAD, CA 140,822140.8k $6.4m $6.4m 0.22% Added +30.5k +30,488
40 Nilsine Partners, LLC 0.96% of their portfolio GREENWOOD VILLAGE, CO 139,250139.2k $6.4m $6.4m 0.96% Reduced -102 -102
41 Little Harbor Advisors, LLC 5.00% of their portfolio MARBLEHEAD, MA 135,202135.2k $6.2m $6.2m 5.00% New
42 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 132,315132.3k $6.1m $6.1m 0.01% Added +21.1k +21,144
43 HARBOUR INVESTMENTS, INC. 0.30% of their portfolio MADISON, WI 131,045131.0k $6.0m $6.0m 0.30% Added +7.5k +7,509
44 Sowell Financial Services LLC 0.37% of their portfolio NORTH LITTLE ROCK, AR 130,595130.6k $6.0m $6.0m 0.37% Reduced -3.8k -3,754
45 LAKE STREET PRIVATE WEALTH, LLC 1.07% of their portfolio CHICAGO, IL 130,195130.2k $5.9m $5.9m 1.07% Reduced -4.4k -4,434
46 Lokken Investment Group LLC 3.79% of their portfolio LEWES, DE 126,390126.4k $5.8m $5.8m 3.79% Added +5.1k +5,112
47 RPg Family Wealth Advisory, LLC 2.36% of their portfolio BURLINGTON, MA 125,505125.5k $5.7m $5.7m 2.36% Added +9.9k +9,864
48 Accel Wealth Management 3.14% of their portfolio WAVERLY, IA 123,275123.3k $5.6m $5.6m 3.14% Added +66 +66
49 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 119,861119.9k $5.5m $5.5m 0.01% Added +271 +271
50 Chicago Partners Investment Group LLC 0.29% of their portfolio CHICAGO, IL 118,146118.1k $5.4m $5.4m 0.29% Added +1.6k +1,565
51 Asset Allocation Strategies LLC 2.43% of their portfolio FARMINGTON, MI 114,980115.0k $5.3m $5.3m 2.43% Added +4.8k +4,842
52 Cetera Advisors LLC 0.08% of their portfolio DENVER, CO 106,882106.9k $4.9m $4.9m 0.08% Added +48.4k +48,364
53 Geneos Wealth Management Inc. 0.25% of their portfolio ENGLEWOOD, CO 105,332105.3k $4.8m $4.8m 0.25% Added +24.8k +24,794
54 Midwest Heritage Bank, FSB 3.43% of their portfolio WEST DES MOINES, IA 99,84599.8k $4.6m $4.6m 3.43% Reduced -1.2k -1,153
55 Steward Partners Investment Advisory, LLC 0.07% of their portfolio STAMFORD, CT 99,78099.8k $4.6m $4.6m 0.07% Added +2.0k +1,992
56 Private Advisor Group, LLC 0.04% of their portfolio MORRISTOWN, NJ 99,38299.4k $4.5m $4.5m 0.04% Reduced -7.7k -7,731
57 Colorado Capital Management, Inc. 3.31% of their portfolio BOULDER, CO 95,56495.6k $4.4m $4.4m 3.31% Reduced -8.0k -8,006
58 Integrated Advisors Network LLC 0.27% of their portfolio DALLAS, TX 95,53595.5k $4.4m $4.4m 0.27% Added +2.2k +2,236
59 Aspen Investment Management Inc 2.65% of their portfolio GRAND RAPIDS, MI 95,53095.5k $4.4m $4.4m 2.65% Reduced -3.0k -3,007
60 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.01% of their portfolio PLYMOUTH, MN 95,52295.5k $4.4m $4.4m 0.01% New
61 Friedenthal Financial 2.74% of their portfolio MARLTON, NJ 88,25288.3k $4.0m $4.0m 2.74% New
62 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.03% of their portfolio IRVING, TX 83,84383.8k $3.8m $3.8m 0.03% Reduced -25.3k -25,314
63 J.W. COLE ADVISORS, INC. 0.28% of their portfolio TAMPA, FL 83,19383.2k $3.8m $3.8m 0.28% Added +3.8k +3,818
64 Anfield Capital Management, LLC 1.79% of their portfolio IRVINE, CA 82,27882.3k $3.8m $3.8m 1.79% Added +1.3k +1,253
65 MML INVESTORS SERVICES, LLC 0.02% of their portfolio SPRINGFIELD, MA 80,99581.0k $3.7m $3.7m 0.02% Added +10.5k +10,460
66 COTTONWOOD CAPITAL ADVISORS, LLC 3.42% of their portfolio SALT LAKE CITY, UT 79,90779.9k $3.7m $3.7m 3.42% Added +8.6k +8,579
67 American Financial Advisors, LLC 0.57% of their portfolio Marietta, GA 79,66079.7k $3.6m $3.6m 0.57% Reduced -39.1k -39,060
68 Csenge Advisory Group 0.24% of their portfolio CLEARWATER, FL 78,33678.3k $3.6m $3.6m 0.24% Reduced -9.9k -9,881
69 SageView Advisory Group, LLC 0.20% of their portfolio Newport Beach, CA 77,41177.4k $3.5m $3.5m 0.20% Reduced -116 -116
70 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 77,04777.0k $3.5m $3.5m 0.00% Added +22.0k +22,047
71 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 73,33173.3k $3.4m $3.4m 0.01% Added +5.3k +5,260
72 Integrity Financial Corp /WA 2.51% of their portfolio JACKSON, WY 72,60172.6k $3.3m $3.3m 2.51% Added +935 +935
73 Mutual Advisors, LLC 0.13% of their portfolio OMAHA, NE 70,92270.9k $3.2m $3.2m 0.13% Added +35.0k +35,016
74 PRUDENTIAL PLC 0.04% of their portfolio LONDON, X0 68,20068.2k $3.1m $3.1m 0.04% Reduced -7.6k -7,600
75 COMERICA BANK 0.02% of their portfolio DALLAS, TX 66,62566.6k $3.0m $3.0m 0.02% New
76 Financial Enhancement Group LLC 0.59% of their portfolio ANDERSON, IN 66,40666.4k $3.0m $3.0m 0.59% Reduced -4.7k -4,684
77 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.31% of their portfolio CEDAR RAPIDS, IA 66,23666.2k $3.0m $3.0m 0.31% Reduced -296 -296
78 Trivium Point Advisory, LLC 0.82% of their portfolio WILTON, CT 65,74865.7k $3.0m $3.0m 0.82% Reduced -2.0k -1,980
79 Adams Wealth Management 1.01% of their portfolio LOGAN, UT 65,23365.2k $3.0m $3.0m 1.01% Added +7.8k +7,786
80 Kingsview Wealth Management, LLC 0.11% of their portfolio GRANTS PASS, OR 64,99165.0k $3.0m $3.0m 0.11% Added +5.6k +5,594
81 OneDigital Investment Advisors LLC 0.06% of their portfolio OVERLAND PARK, KS 63,52363.5k $2.9m $2.9m 0.06% Reduced -1.6k -1,646
82 Prospera Financial Services Inc 0.11% of their portfolio Dallas, TX 62,31562.3k $2.9m $2.9m 0.11% Reduced -24.4k -24,388
83 Mariner, LLC 0.01% of their portfolio Overland Park, KS 62,12462.1k $2.8m $2.8m 0.01% Added +31.7k +31,743
84 U.S. Capital Wealth Advisors, LLC 0.13% of their portfolio AUSTIN, TX 62,01662.0k $2.8m $2.8m 0.13% Reduced -5.0k -4,984
85 Gladstone Institutional Advisory LLC 0.18% of their portfolio Bedminster, NJ 59,98360.0k $2.7m $2.7m 0.18% Reduced -3.2k -3,197
86 Cetera Investment Advisers 0.02% of their portfolio SCHAUMBURG, IL 58,94558.9k $2.7m $2.7m 0.02% Added +1.8k +1,780
87 Foundations Investment Advisors, LLC 0.08% of their portfolio PHOENIX, AZ 58,74758.7k $2.7m $2.7m 0.08% Added +3.0k +2,999
88 Kovack Advisors, Inc. 0.36% of their portfolio FT. LAUDERDALE, FL 57,01857.0k $2.6m $2.6m 0.36% Reduced -38.0k -38,041
89 McNaughton Wealth Management, LLC 1.71% of their portfolio SAN DIEGO, CA 56,10656.1k $2.6m $2.6m 1.71% Added +31.2k +31,155
90 Composition Wealth, LLC 0.08% of their portfolio LOS ANGELES, CA 56,09556.1k $2.6m $2.6m 0.08% Reduced -5.1k -5,072
91 First Heartland Consultants, Inc. 0.32% of their portfolio LAKE ST. LOUIS, MO 55,98056.0k $2.6m $2.6m 0.32% Added +342 +342
92 Oder Investment Management, LLC 2.74% of their portfolio WOODLAND HILLS, CA 55,37555.4k $2.5m $2.5m 2.74% New
93 Clear Creek Financial Management, LLC 0.44% of their portfolio SILVERDALE, WA 54,92354.9k $2.5m $2.5m 0.44% Reduced -756 -756
94 Aurora Private Wealth, Inc. 2.69% of their portfolio ROCKAWAY, NJ 53,18453.2k $2.4m $2.4m 2.69% Added +7.4k +7,442
95 B. Riley Wealth Advisors, Inc. 0.07% of their portfolio MEMPHIS, TN 52,97353.0k $2.4m $2.4m 0.07% Reduced -914 -914
96 Blackhawk Capital Partners, LLC 1.77% of their portfolio THIENSVILLE, WI 52,87952.9k $2.4m $2.4m 1.77% Added +490 +490
97 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 52,04652.0k $2.4m $2.4m 0.01% Added +33.3k +33,272
98 Apollon Wealth Management, LLC 0.12% of their portfolio MOUNT PLEASANT, SC 50,19450.2k $2.3m $2.3m 0.12% Added +3.3k +3,302
99 DHK Financial Advisors, Inc. 2.04% of their portfolio PORTSMOUTH, NH 50,17350.2k $2.3m $2.3m 2.04% Added +17.1k +17,079
100 Western Wealth Management, LLC 0.19% of their portfolio GOLDEN, CO 49,64249.6k $2.3m $2.3m 0.19% Added +1.8k +1,807