Vault-13

FIRST TR EXCH TRADED FD III FPE

PFD SECS INC ETF · ETP · CUSIP 33739E108

427 institutional holders +20 vs Q3 2022
205,591,850205.6m shares reported held*
$3.5bnreported value*
46 new 118 added 191 reduced 45 sold out net sold ≈ $248.0m (-15.5m 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 ($4.1m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $16.84. Options: 3 managers hold calls ($603.7k notional), 1 hold puts ($0).

Trends to Q4 2022

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 407Q4 22: 427427Q3 22Q4 22
Numbers
QuarterHolders
Q3 2022407
Q4 2022427

Calls vs puts

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

CallsPuts
$0$200k$400k$600k$800kQ3 22 calls: $0Q3 22 puts: $0Q3 22P/C —Q4 22 calls: $603.7kQ4 22 puts: $0Q4 22P/C 0.00
Numbers
QuarterCallsPutsP/C
Q3 2022$0$0—
Q4 2022$603.7k$00.00

Biggest buyers

JANE STREET GROUP, LLC Added +5,321,750+5.3m
STONEBRIDGE ADVISORS LLC Added +2,547,786+2.5m
LEVEL FOUR ADVISORY SERVICES, LLC New +304,713+304.7k
FLYNN ZITO CAPITAL MANAGEMENT, LLC New +257,904+257.9k
Advisory Services Network, LLC Added +247,188+247.2k
MILLENNIUM MANAGEMENT LLC New +245,680+245.7k
Cambridge Investment Research Advisors, Inc. Added +216,469+216.5k
MGO ONE SEVEN LLC Added +196,321+196.3k
Sound Income Strategies, LLC Added +193,341+193.3k
Wayfinding Financial, LLC New +179,753+179.8k

Biggest sellers

MORGAN STANLEY Reduced -5,131,597-5.1m
ROYAL BANK OF CANADA Reduced -3,758,832-3.8m
Flaharty Asset Management, LLC Reduced -1,863,108-1.9m
State of Tennessee, Department of Treasury Reduced -1,777,800-1.8m
UBS Group AG Reduced -1,492,251-1.5m
Raymond James Financial Services Advisors, Inc. Reduced -1,124,255-1.1m
AMERIPRISE FINANCIAL INC Reduced -1,020,801-1.0m
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO Reduced -886,093-886.1k
BANK OF AMERICA CORP /DE/ Reduced -837,425-837.4k
Composition Wealth, LLC Reduced -658,517-658.5k

Biggest calls

Prostatis Group LLC New $568.4k33.8k shares
CITADEL ADVISORS LLC New $35.3k2.1k 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 2022

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.10% of their portfolio NEW YORK, NY 50,836,82850.8m $854.1m $854.1m 0.10% Reduced -5.1m -5,131,597
2 ROYAL BANK OF CANADA 0.10% of their portfolio TORONTO, A6 20,470,25820.5m $343.9m $343.9m 0.10% Reduced -3.8m -3,758,832
3 UBS Group AG 0.08% of their portfolio ZURICH, V8 10,221,98610.2m $171.7m $171.7m 0.08% Reduced -1.5m -1,492,251
4 LPL Financial LLC 0.13% of their portfolio FORT MILL, SC 9,138,0589.1m $153.5m $153.5m 0.13% Added +171.1k +171,137
5 WELLS FARGO & COMPANY/MN 0.05% of their portfolio SAN FRANCISCO, CA 8,564,5728.6m $143.9m $143.9m 0.05% Added +179.2k +179,216
6 JANE STREET GROUP, LLC 0.25% of their portfolio NEW YORK, NY 7,885,1157.9m $132.5m $132.5m 0.25% Added +5.3m +5,321,750
7 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 7,095,9667.1m $119.2m $119.2m 0.01% Reduced -837.4k -837,425
8 Raymond James Financial Services Advisors, Inc. 0.19% of their portfolio ST. PETERSBURG, FL 5,498,8695.5m $92.4m $92.4m 0.19% Reduced -1.1m -1,124,255
9 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 1.21% of their portfolio PLYMOUTH, MN 5,257,5865.3m $94.4m $94.4m 1.21% Reduced -318.5k -318,536
10 PARK NATIONAL CORP /OH/ 3.03% of their portfolio NEWARK, OH 4,047,0324.0m $68.0m $68.0m 3.03% Reduced -317.0k -317,041
11 STONEBRIDGE ADVISORS LLC 32.53% of their portfolio WILTON, CT 3,208,1653.2m $53.9m $53.9m 32.53% Added +2.5m +2,547,786
12 RAYMOND JAMES & ASSOCIATES 0.04% of their portfolio ST PETERSBURG, FL 2,733,0542.7m $45.9m $45.9m 0.04% Added +173.7k +173,698
13 OSAIC HOLDINGS, INC. 0.09% of their portfolio SCOTTSDALE, AZ 2,555,0572.6m $42.9m $42.9m 0.09% Reduced -509.3k -509,306
14 STIFEL FINANCIAL CORP 0.06% of their portfolio ST. LOUIS, MO 2,535,2072.5m $42.6m $42.6m 0.06% Reduced -86.7k -86,668
15 Composition Wealth, LLC 1.22% of their portfolio LOS ANGELES, CA 2,122,1092.1m $35.7m $35.7m 1.22% Reduced -658.5k -658,517
16 COUNTRY TRUST BANK 1.04% of their portfolio Bloomington, IL 2,086,0892.1m $35.0m $35.0m 1.04% Reduced -162.1k -162,086
17 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.05% of their portfolio MILWAUKEE, WI 2,056,3412.1m $34.5m $34.5m 0.05% Reduced -886.1k -886,093
18 ENVESTNET ASSET MANAGEMENT INC 0.02% of their portfolio Berwyn, PA 1,981,6582.0m $33.3m $33.3m 0.02% Reduced -384.1k -384,082
19 TRUIST FINANCIAL CORP 0.05% of their portfolio CHARLOTTE, NC 1,690,7691.7m $28.4m $28.4m 0.05% Reduced -243.0k -242,970
20 Baird Financial Group, Inc. 0.07% of their portfolio MILWAUKEE, WI 1,530,4191.5m $25.7m $25.7m 0.07% Reduced -91.4k -91,359
21 Cambridge Investment Research Advisors, Inc. 0.13% of their portfolio FAIRFIELD, IA 1,513,0461.5m $25.4m $25.4m 0.13% Added +216.5k +216,469
22 Berger Financial Group, Inc 3.18% of their portfolio PLYMOUTH, MN 1,433,9301.4m $24.1m $24.1m 3.18% Reduced -73.5k -73,543
23 Janney Montgomery Scott LLC 0.09% of their portfolio PHILADELPHIA, PA 1,317,0451.3m $22.1m $22.1m 0.09% Reduced -32.2k -32,193
24 COMMONWEALTH EQUITY SERVICES, LLC 0.05% of their portfolio WALTHAM, MA 1,310,5361.3m $22.0m $22.0m 0.05% Reduced -84.8k -84,794
25 Clearwater Capital Advisors, LLC 2.59% of their portfolio HOFFMAN ESTATES, IL 1,183,5621.2m $19.9m $19.9m 2.59% Added +53.1k +53,057
26 Arax Advisory Partners 2.56% of their portfolio NEW YORK, NY 1,099,4071.1m $18.5m $18.5m 2.56% Added +54.0k +53,961
27 Magnus Financial Group LLC 3.00% of their portfolio NEW YORK, NY 1,095,9001.1m $18.4m $18.4m 3.00% Reduced -124.2k -124,240
28 MML INVESTORS SERVICES, LLC 0.11% of their portfolio SPRINGFIELD, MA 1,000,2531.0m $16.8m $16.8m 0.11% Added +104.9k +104,876
29 Trinity Legacy Partners, LLC 6.42% of their portfolio HOUSTON, TX 959,560959.6k $16.1m $16.1m 6.42% Reduced -140.7k -140,656
30 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.74% of their portfolio Seattle, WA 933,264933.3k $15.7m $15.7m 0.74% Added +44.1k +44,146
31 TRUSTMARK BANK TRUST DEPARTMENT 1.37% of their portfolio JACKSON, MS 880,775880.8k $14.8m $14.8m 1.37% Reduced -92.2k -92,234
32 HCR Wealth Advisors 2.89% of their portfolio LOS ANGELES, CA 818,719818.7k $13.8m $13.8m 2.89% Reduced -36.7k -36,655
33 Bouchey Financial Group, Ltd. 1.86% of their portfolio TROY, NY 767,831767.8k $12.9m $12.9m 1.86% Added +39.2k +39,205
34 BANK OF MONTREAL /CAN/ 0.01% of their portfolio TORONTO, A6 760,653760.7k $12.9m $12.9m 0.01% Added +178.4k +178,383
35 RED CEDAR INVESTMENT MANAGEMENT, LLC 1.84% of their portfolio GRAND RAPIDS, MI 695,630695.6k $11.7m $11.7m 1.84% Added +45.5k +45,517
36 Kestra Advisory Services, LLC 0.10% of their portfolio AUSTIN, TX 656,781656.8k $11.0m $11.0m 0.10% Reduced -234.3k -234,258
37 HARBOUR INVESTMENTS, INC. 0.65% of their portfolio MADISON, WI 636,059636.1k $10.7m $10.7m 0.65% Added +75.2k +75,175
38 Transform Wealth, LLC 1.17% of their portfolio GREENWOOD VILLAGE, CO 623,602623.6k $10.5m $10.5m 1.17% Added +14.6k +14,601
39 StrategIQ Financial Group, LLC 1.20% of their portfolio MERRILLVILLE, IN 614,859614.9k $10.3m $10.3m 1.20% Added +39.9k +39,882
40 Csenge Advisory Group 0.74% of their portfolio CLEARWATER, FL 567,830567.8k $9.5m $9.5m 0.74% Reduced -492.4k -492,411
41 Archer Investment Corp 3.40% of their portfolio Carmel, IN 521,298521.3k $8.8m $8.8m 3.40% Reduced -9.6k -9,571
42 Avidian Wealth Enterprises, LLC 0.56% of their portfolio Houston, TX 512,663512.7k $8.6m $8.6m 0.56% Reduced -268.1k -268,126
43 FLAGSTAR SECURITIES, INC 2.98% of their portfolio New York, NY 504,859504.9k $8.5m $8.5m 2.98% Reduced -28.6k -28,591
44 Gradient Investments LLC 0.27% of their portfolio ARDEN HILLS, MN 504,487504.5k $8.5m $8.5m 0.27% Added +26.7k +26,675
45 COMERICA BANK 0.07% of their portfolio DALLAS, TX 499,092499.1k $8.9m $8.9m 0.07% Reduced -18.6k -18,610
46 Private Advisor Group, LLC 0.25% of their portfolio MORRISTOWN, NJ 495,919495.9k $8.3m $8.3m 0.25% Reduced -113.1k -113,149
47 CWM, LLC 0.06% of their portfolio OMAHA, NE 487,652487.7k $8.2m $8.2m 0.06% Reduced -506.5k -506,477
48 Cetera Advisor Networks LLC 0.06% of their portfolio EL SEGUNDO, CA 467,540467.5k $7.9m $7.9m 0.06% Reduced -50.3k -50,305
49 NewEdge Advisors, LLC 0.19% of their portfolio NEW ORLEANS, LA 445,618445.6k $7.1m $7.1m 0.19% Added +166.9k +166,912
50 Equitable Holdings, Inc. 0.12% of their portfolio NEW YORK, NY 412,102412.1k $6.9m $6.9m 0.12% Reduced -34.7k -34,703
51 Quad-Cities Investment Group, LLC 5.07% of their portfolio DAVENPORT, IA 409,536409.5k $6.9m $6.9m 5.07% Reduced -22.9k -22,909
52 Cetera Investment Advisers 0.06% of their portfolio SCHAUMBURG, IL 404,875404.9k $6.8m $6.8m 0.06% Reduced -576.2k -576,179
53 Financial Enhancement Group LLC 1.38% of their portfolio ANDERSON, IN 399,095399.1k $7.2m $7.2m 1.38% Added +36.0k +35,996
54 CITIGROUP INC 0.01% of their portfolio NEW YORK, NY 397,858397.9k $6.7m $6.7m 0.01% Reduced -82.8k -82,761
55 Advisor OS, LLC 1.77% of their portfolio CHICAGO, IL 396,851396.9k $6.7m $6.7m 1.77% Added +14.9k +14,928
56 Mariner, LLC 0.02% of their portfolio Overland Park, KS 390,772390.8k $6.6m $6.6m 0.02% Added +113.3k +113,308
57 RFG Advisory, LLC 0.34% of their portfolio BIRMINGHAM, AL 373,338373.3k $6.8m $6.8m 0.34% Added +122.2k +122,241
58 Wealthspire Retirement, LLC 1.30% of their portfolio ALISO VIEJO, CA 351,117351.1k $5.9m $5.9m 1.30% Added +43.3k +43,252
59 Glass Jacobson Investment Advisors llc 2.89% of their portfolio OWINGS MILLS, MD 346,772346.8k $5.8m $5.8m 2.89% First filing
60 Prospera Financial Services Inc 0.29% of their portfolio Dallas, TX 344,979345.0k $5.8m $5.8m 0.29% Reduced -12.3k -12,254
61 Keebeck Wealth Management 1.01% of their portfolio Chicago, IL 342,200342.2k $5.7m $5.7m 1.01% Unchanged
62 Kinloch Capital, LLC 3.28% of their portfolio GLEN ALLEN, VA 335,406335.4k $5.6m $5.6m 3.28% Added +168.0k +168,047
63 Advisory Services Network, LLC 0.17% of their portfolio ATLANTA, GA 333,515333.5k $5.6m $5.6m 0.17% Added +247.2k +247,188
64 Essex LLC 1.67% of their portfolio DEER PARK, IL 329,388329.4k $5.5m $5.5m 1.67% Added +86.8k +86,829
65 Triumph Capital Management 2.94% of their portfolio DENVER, CO 327,314327.3k $5.5m $5.5m 2.94% Added +5.9k +5,880
66 Summit Wealth Partners, LLC 1.44% of their portfolio Orlando, FL 322,655322.7k $5.4m $5.4m 1.44% Reduced -20.1k -20,136
67 BARINGS LLC 0.19% of their portfolio CHARLOTTE, NC 315,551315.6k $5.3m $5.3m 0.19% Added +46.5k +46,478
68 State of Tennessee, Department of Treasury 0.02% of their portfolio NASHVILLE, TN 315,100315.1k $5.3m $5.3m 0.02% Reduced -1.8m -1,777,800
69 1834 INVESTMENT ADVISORS CO 0.75% of their portfolio Milwaukee, WI 314,082314.1k $5.3m $5.3m 0.75% Reduced -444.9k -444,943
70 AVANTAX ADVISORY SERVICES, INC. 0.07% of their portfolio DALLAS, TX 312,703312.7k $5.3m $5.3m 0.07% Added +5.7k +5,745
71 LEVEL FOUR ADVISORY SERVICES, LLC 0.38% of their portfolio DALLAS, TX 304,713304.7k $5.1m $5.1m 0.38% New
72 WINTRUST INVESTMENTS LLC 0.72% of their portfolio CHICAGO, IL 303,816303.8k $5.1m $5.1m 0.72% Added +4.8k +4,849
73 Biltmore Family Office, LLC 1.00% of their portfolio CHARLOTTE, NC 289,472289.5k $4.9m $4.9m 1.00% Added +123.1k +123,065
74 Wills Financial Group, Inc. 2.70% of their portfolio RICHMOND, VA 288,316288.3k $4.8m $4.8m 2.70% Reduced -71.2k -71,248
75 Family Legacy, Inc. 2.26% of their portfolio GREENVILLE, SC 287,974288.0k $5.2m $5.2m 2.26% Reduced -33.3k -33,295
76 Ironwood Investment Counsel, LLC 1.17% of their portfolio SCOTTSDALE, AZ 287,103287.1k $4.8m $4.8m 1.17% Added +29.9k +29,896
77 GILL CAPITAL PARTNERS, LLC 2.17% of their portfolio DENVER, CO 273,643273.6k $4.6m $4.6m 2.17% Reduced -457 -457
78 INVICTUS PRIVATE WEALTH, LLC 0.57% of their portfolio Denver, CO 264,588264.6k $4.4m $4.4m 0.57% First filing
79 First Heartland Consultants, Inc. 0.69% of their portfolio LAKE ST. LOUIS, MO 264,038264.0k $4.4m $4.4m 0.69% Reduced -34.6k -34,650
80 Steward Partners Investment Advisory, LLC 0.08% of their portfolio STAMFORD, CT 263,646263.6k $4.4m $4.4m 0.08% Reduced -13.9k -13,941
81 Western Wealth Management, LLC 0.44% of their portfolio GOLDEN, CO 258,127258.1k $4.3m $4.3m 0.44% Reduced -485.8k -485,813
82 FLYNN ZITO CAPITAL MANAGEMENT, LLC 3.62% of their portfolio GARDEN CITY, NY 257,904257.9k $4.3m $4.3m 3.62% New
83 Glassy Mountain Advisors, Inc. 2.38% of their portfolio BETHESDA, MD 257,611257.6k $4.3m $4.3m 2.38% First filing
84 ATTICUS WEALTH MANAGEMENT, LLC 1.78% of their portfolio Palm Beach Gardens, FL 257,436257.4k $4.3m $4.3m 1.78% Added +81.2k +81,168
85 Choice Wealth Advisors LLC 3.23% of their portfolio WATERVILLE, ME 256,396256.4k $4.3m $4.3m 3.23% Added +4.2k +4,194
86 SSI INVESTMENT MANAGEMENT LLC 0.27% of their portfolio Los Angeles, CA 254,477254.5k $4.3m $4.3m 0.27% Reduced -493 -493
87 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 245,680245.7k $4.1m $4.1m 0.00% New
88 D.A. DAVIDSON & CO. 0.05% of their portfolio GREAT FALLS, MT 244,711244.7k $4.1m $4.1m 0.05% Added +37.1k +37,064
89 PFS Partners, LLC 4.31% of their portfolio MINE HILL, NJ 243,943243.9k $4.1m $4.1m 4.31% Reduced -43.3k -43,256
90 Gladstone Institutional Advisory LLC 0.29% of their portfolio Bedminster, NJ 243,002243.0k $4.1m $4.1m 0.29% Added +1.3k +1,302
91 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 241,879241.9k $4.1m $4.1m 0.00% Reduced -40.8k -40,848
92 Newman Dignan & Sheerar, Inc. 1.33% of their portfolio PROVIDENCE, RI 238,532238.5k $4.0m $4.0m 1.33% Reduced -4.9k -4,912
93 KESTRA PRIVATE WEALTH SERVICES, LLC 0.20% of their portfolio AUSTIN, TX 236,664236.7k $4.0m $4.0m 0.20% Added +109.8k +109,846
94 Chicago Partners Investment Group LLC 0.26% of their portfolio CHICAGO, IL 235,308235.3k $4.2m $4.2m 0.26% Added +54.0k +53,978
95 Aspen Investment Management Inc 2.42% of their portfolio GRAND RAPIDS, MI 220,616220.6k $3.7m $3.7m 2.42% Reduced -21.0k -20,991
96 Measured Wealth Private Client Group, LLC 1.50% of their portfolio PORTSMOUTH, NH 216,668216.7k $3.6m $3.6m 1.50% Added +7.6k +7,635
97 MGO ONE SEVEN LLC 0.36% of their portfolio Beachwood, OH 214,844214.8k $3.6m $3.6m 0.36% Added +196.3k +196,321
98 Atria Investments, Inc 0.07% of their portfolio Charlotte, NC 214,393214.4k $3.6m $3.6m 0.07% Reduced -4.5k -4,472
99 Atlas Private Wealth Management, LLC 1.62% of their portfolio ALBANY, NY 209,483209.5k $3.5m $3.5m 1.62% Added +4.3k +4,334
100 Atria Wealth Solutions, Inc. 0.06% of their portfolio NEW YORK, NY 208,136208.1k $3.5m $3.5m 0.06% Reduced -17.8k -17,841