Vault-13

FIRST TR EXCH TRADED FD III FPE

PFD SECS INC ETF · ETP · CUSIP 33739E108

398 institutional holders +0 vs Q1 2023
198,023,396198.0m shares reported held*
$3.1bnreported value*
39 new 136 added 163 reduced 41 sold out net bought ≈ $8.1m (+1.5m 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 ($2.9m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $15.90. Options: 2 managers hold calls ($124.6k notional), 2 hold puts ($33.5k).

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 407Q4 22: 427Q1 23: 398Q2 23: 398398Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022407
Q4 2022427
Q1 2023398
Q2 2023398

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q4 22: 164 bought or addedQ4 22: 236 cut or sold outQ4 22Q1 23: 179 bought or addedQ1 23: 210 cut or sold outQ1 23Q2 23: 175 bought or addedQ2 23: 204 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022164236
Q1 2023179210
Q2 2023175204

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 0.00Q1 23 calls: $105.2kQ1 23 puts: $36.7kQ1 23P/C 0.35Q2 23 calls: $124.6kQ2 23 puts: $33.5kQ2 23P/C 0.27
Numbers
QuarterCallsPutsP/C
Q3 2022$0$0—
Q4 2022$603.7k$00.00
Q1 2023$105.2k$36.7k0.35
Q2 2023$124.6k$33.5k0.27

Biggest buyers

JANE STREET GROUP, LLC Added +2,452,541+2.5m
Janney Montgomery Scott LLC New +1,205,618+1.2m
LPL Financial LLC Added +1,003,522+1.0m
Prostatis Group LLC Added +959,794+959.8k
MML INVESTORS SERVICES, LLC New +911,861+911.9k
RENAISSANCE TECHNOLOGIES LLC New +887,329+887.3k
ROYAL BANK OF CANADA Added +877,101+877.1k
Eldridge Investment Advisors, Inc. Added +349,766+349.8k
Glassy Mountain Advisors, Inc. New +260,570+260.6k
Gladstone Institutional Advisory LLC Added +240,604+240.6k

Biggest sellers

State of Tennessee, Department of Treasury Reduced -1,932,604-1.9m
MORGAN STANLEY Reduced -939,852-939.9k
Raymond James Financial Services Advisors, Inc. Reduced -866,631-866.6k
Bouchey Financial Group, Ltd. Sold out -770,964-771.0k
Composition Wealth, LLC Reduced -673,089-673.1k
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC Reduced -626,492-626.5k
STONEBRIDGE ADVISORS LLC Reduced -398,152-398.2k
ATTICUS WEALTH MANAGEMENT, LLC Reduced -381,268-381.3k
Baird Financial Group, Inc. Reduced -308,750-308.8k
ENVESTNET ASSET MANAGEMENT INC Reduced -299,103-299.1k

Biggest calls

CITADEL ADVISORS LLC Added $124.6k7.8k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CITADEL ADVISORS LLC Reduced $33.5k2.1k shares
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, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.08% of their portfolio NEW YORK, NY 51,358,66051.4m $820.2m $820.2m 0.08% Reduced -939.9k -939,852
2 ROYAL BANK OF CANADA 0.09% of their portfolio TORONTO, A6 20,163,11320.2m $322.0m $322.0m 0.09% Added +877.1k +877,101
3 LPL Financial LLC 0.12% of their portfolio FORT MILL, SC 10,806,59910.8m $172.6m $172.6m 0.12% Added +1.0m +1,003,522
4 WELLS FARGO & COMPANY/MN 0.05% of their portfolio SAN FRANCISCO, CA 10,598,38710.6m $169.3m $169.3m 0.05% Reduced -174.9k -174,859
5 UBS Group AG 0.07% of their portfolio ZURICH, V8 9,790,4259.8m $156.4m $156.4m 0.07% Added +65.5k +65,456
6 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 6,820,8786.8m $108.9m $108.9m 0.01% Added +102.5k +102,478
7 Raymond James Financial Services Advisors, Inc. 0.15% of their portfolio ST. PETERSBURG, FL 5,289,4955.3m $84.5m $84.5m 0.15% Reduced -866.6k -866,631
8 JANE STREET GROUP, LLC 0.09% of their portfolio NEW YORK, NY 4,070,8974.1m $65.0m $65.0m 0.09% Added +2.5m +2,452,541
9 PARK NATIONAL CORP /OH/ 2.69% of their portfolio NEWARK, OH 3,873,2483.9m $61.9m $61.9m 2.69% Reduced -71.3k -71,335
10 OSAIC HOLDINGS, INC. 0.09% of their portfolio SCOTTSDALE, AZ 2,994,4923.0m $47.8m $47.8m 0.09% Reduced -114.6k -114,582
11 RAYMOND JAMES & ASSOCIATES 0.04% of their portfolio ST PETERSBURG, FL 2,979,4103.0m $47.6m $47.6m 0.04% Reduced -45.7k -45,690
12 STIFEL FINANCIAL CORP 0.05% of their portfolio ST. LOUIS, MO 2,380,3892.4m $38.0m $38.0m 0.05% Added +3.0k +3,045
13 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.04% of their portfolio MILWAUKEE, WI 2,038,6632.0m $32.6m $32.6m 0.04% Reduced -18.9k -18,860
14 COUNTRY TRUST BANK 0.80% of their portfolio Bloomington, IL 1,858,6101.9m $29.7m $29.7m 0.80% Added +62.7k +62,683
15 Kestra Advisory Services, LLC 0.28% of their portfolio AUSTIN, TX 1,741,3321.7m $27.8m $27.8m 0.28% Reduced -23.8k -23,777
16 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 1,644,7651.6m $26.3m $26.3m 0.01% Reduced -299.1k -299,103
17 State of Tennessee, Department of Treasury 0.10% of their portfolio NASHVILLE, TN 1,523,2001.5m $24.3m $24.3m 0.10% Reduced -1.9m -1,932,604
18 Berger Financial Group, Inc 2.76% of their portfolio PLYMOUTH, MN 1,522,5391.5m $24.3m $24.3m 2.76% Added +24.7k +24,735
19 COMMONWEALTH EQUITY SERVICES, LLC 0.04% of their portfolio WALTHAM, MA 1,333,3481.3m $21.3m $21.3m 0.04% Reduced -75.0k -74,978
20 Cambridge Investment Research Advisors, Inc. 0.09% of their portfolio FAIRFIELD, IA 1,302,5201.3m $20.8m $20.8m 0.09% Added +23.6k +23,574
21 Rockefeller Capital Management L.P. 0.08% of their portfolio NEW YORK, NY 1,300,2881.3m $20.8m $20.8m 0.08% First filing
22 Janney Montgomery Scott LLC 0.07% of their portfolio PHILADELPHIA, PA 1,205,6181.2m $19.3m $19.3m 0.07% New
23 Magnus Financial Group LLC 2.70% of their portfolio NEW YORK, NY 1,186,9051.2m $19.0m $19.0m 2.70% Added +35.1k +35,125
24 Arax Advisory Partners 2.34% of their portfolio NEW YORK, NY 1,146,2211.1m $18.3m $18.3m 2.34% Added +50.5k +50,480
25 Composition Wealth, LLC 0.55% of their portfolio LOS ANGELES, CA 1,129,4351.1m $18.0m $18.0m 0.55% Reduced -673.1k -673,089
26 TRUIST FINANCIAL CORP 0.03% of their portfolio CHARLOTTE, NC 1,090,7941.1m $17.4m $17.4m 0.03% Reduced -250.9k -250,874
27 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.66% of their portfolio Seattle, WA 1,027,6511.0m $16.4m $16.4m 0.66% Added +37.5k +37,548
28 Prostatis Group LLC 0.48% of their portfolio HANOVER, MD 997,069997.1k $1.0m $1.0m 0.48% Added +959.8k +959,794
29 Baird Financial Group, Inc. 0.04% of their portfolio MILWAUKEE, WI 984,703984.7k $15.7m $15.7m 0.04% Reduced -308.8k -308,750
30 Trinity Legacy Partners, LLC 5.49% of their portfolio HOUSTON, TX 983,899983.9k $15.7m $15.7m 5.49% Reduced -3.6k -3,552
31 MML INVESTORS SERVICES, LLC 0.08% of their portfolio SPRINGFIELD, MA 911,861911.9k $14.6m $14.6m 0.08% New
32 TRUSTMARK BANK TRUST DEPARTMENT 1.33% of their portfolio JACKSON, MS 896,575896.6k $14.3m $14.3m 1.33% Reduced -27.5k -27,496
33 RENAISSANCE TECHNOLOGIES LLC 0.02% of their portfolio NEW YORK, NY 887,329887.3k $14.2m $14.2m 0.02% New
34 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 796,242796.2k $12.7m $12.7m 0.00% Reduced -7.6k -7,578
35 HCR Wealth Advisors 2.34% of their portfolio LOS ANGELES, CA 792,201792.2k $12.7m $12.7m 2.34% Reduced -1.5k -1,545
36 Avidian Wealth Enterprises, LLC 0.82% of their portfolio Houston, TX 781,354781.4k $12.5m $12.5m 0.82% Reduced -247.6k -247,567
37 Gradient Investments LLC 0.30% of their portfolio ARDEN HILLS, MN 730,109730.1k $11.7m $11.7m 0.30% Added +29.5k +29,482
38 NewEdge Advisors, LLC 0.13% of their portfolio NEW ORLEANS, LA 726,013726.0k $11.6m $11.6m 0.13% Added +96.1k +96,120
39 Clearwater Capital Advisors, LLC 1.36% of their portfolio HOFFMAN ESTATES, IL 716,637716.6k $11.4m $11.4m 1.36% Added +33.2k +33,160
40 StrategIQ Financial Group, LLC 1.24% of their portfolio MERRILLVILLE, IN 681,604681.6k $10.9m $10.9m 1.24% Added +35.1k +35,062
41 Transform Wealth, LLC 0.97% of their portfolio GREENWOOD VILLAGE, CO 671,643671.6k $10.7m $10.7m 0.97% Added +42.9k +42,930
42 Prospera Financial Services Inc 0.33% of their portfolio Dallas, TX 545,614545.6k $8.7m $8.7m 0.33% Added +168.9k +168,930
43 CITIGROUP INC 0.01% of their portfolio NEW YORK, NY 533,899533.9k $8.5m $8.5m 0.01% Added +43.2k +43,220
44 Mariner, LLC 0.02% of their portfolio Overland Park, KS 507,103507.1k $8.1m $8.1m 0.02% Added +24.9k +24,911
45 HARBOUR INVESTMENTS, INC. 0.40% of their portfolio MADISON, WI 502,621502.6k $8.0m $8.0m 0.40% Reduced -80.0k -80,018
46 FLAGSTAR SECURITIES, INC 2.88% of their portfolio New York, NY 479,931479.9k $7.7m $7.7m 2.88% Reduced -27.4k -27,363
47 Wealthspire Retirement, LLC 1.42% of their portfolio ALISO VIEJO, CA 478,324478.3k $7.6m $7.6m 1.42% Added +60.6k +60,551
48 Financial Enhancement Group LLC 1.40% of their portfolio ANDERSON, IN 465,833465.8k $7.5m $7.5m 1.40% Added +16.2k +16,185
49 RED CEDAR INVESTMENT MANAGEMENT, LLC 1.13% of their portfolio GRAND RAPIDS, MI 464,869464.9k $7.4m $7.4m 1.13% Reduced -231.8k -231,766
50 Cetera Advisor Networks LLC 0.05% of their portfolio EL SEGUNDO, CA 463,381463.4k $7.4m $7.4m 0.05% Reduced -38.5k -38,456
51 Private Advisor Group, LLC 0.06% of their portfolio MORRISTOWN, NJ 462,371462.4k $7.4m $7.4m 0.06% Reduced -7.5k -7,530
52 Advisor OS, LLC 1.20% of their portfolio CHICAGO, IL 459,270459.3k $7.3m $7.3m 1.20% Added +67.5k +67,468
53 Csenge Advisory Group 0.48% of their portfolio CLEARWATER, FL 447,449447.4k $7.1m $7.1m 0.48% Reduced -110.7k -110,735
54 Equitable Holdings, Inc. 0.10% of their portfolio NEW YORK, NY 439,828439.8k $7.0m $7.0m 0.10% Added +5.4k +5,413
55 Triumph Capital Management 3.10% of their portfolio DENVER, CO 427,837427.8k $6.8m $6.8m 3.10% Added +84.7k +84,697
56 Ironwood Investment Counsel, LLC 1.52% of their portfolio SCOTTSDALE, AZ 424,258424.3k $6.8m $6.8m 1.52% Added +92.2k +92,195
57 AVANTAX ADVISORY SERVICES, INC. 0.07% of their portfolio DALLAS, TX 399,473399.5k $6.4m $6.4m 0.07% Added +16.2k +16,204
58 Eldridge Investment Advisors, Inc. 2.08% of their portfolio MANCHESTER, NH 398,921398.9k $6.4m $6.4m 2.08% Added +349.8k +349,766
59 Archer Investment Corp 2.23% of their portfolio Carmel, IN 392,470392.5k $6.3m $6.3m 2.23% Reduced -22.0k -22,033
60 MGO ONE SEVEN LLC 0.57% of their portfolio Beachwood, OH 392,183392.2k $6.3m $6.3m 0.57% Reduced -40.5k -40,463
61 Quad-Cities Investment Group, LLC 4.09% of their portfolio DAVENPORT, IA 392,035392.0k $6.3m $6.3m 4.09% Reduced -25.5k -25,510
62 Cetera Investment Advisers 0.05% of their portfolio SCHAUMBURG, IL 380,588380.6k $6.1m $6.1m 0.05% Added +12.4k +12,434
63 Regal Investment Advisors LLC 0.50% of their portfolio KENTWOOD, MI 371,237371.2k $5.9m $5.9m 0.50% Added +150.8k +150,824
64 IFP Advisors, Inc 0.14% of their portfolio TAMPA, FL 367,162367.2k $6.4m $6.4m 0.14% Added +188.6k +188,614
65 Newman Dignan & Sheerar, Inc. 1.81% of their portfolio PROVIDENCE, RI 366,324366.3k $5.9m $5.9m 1.81% Added +47.5k +47,520
66 Gladstone Institutional Advisory LLC 0.34% of their portfolio Bedminster, NJ 352,108352.1k $5.6m $5.6m 0.34% Added +240.6k +240,604
67 Glass Jacobson Investment Advisors llc 2.58% of their portfolio OWINGS MILLS, MD 351,959352.0k $5.6m $5.6m 2.58% First filing
68 WINTRUST INVESTMENTS LLC 0.57% of their portfolio CHICAGO, IL 342,300342.3k $5.5m $5.5m 0.57% Added +29.8k +29,760
69 Keebeck Wealth Management 0.75% of their portfolio Chicago, IL 342,200342.2k $5.5m $5.5m 0.75% Unchanged
70 PFS Partners, LLC 4.52% of their portfolio MINE HILL, NJ 337,968338.0k $5.4m $5.4m 4.52% Added +4.2k +4,233
71 Advisory Services Network, LLC 0.14% of their portfolio ATLANTA, GA 330,415330.4k $5.3m $5.3m 0.14% Reduced -16.9k -16,947
72 AE Wealth Management LLC 0.03% of their portfolio TOPEKA, KS 328,911328.9k $5.3m $5.3m 0.03% Added +166.9k +166,931
73 OPPENHEIMER & CO INC 0.10% of their portfolio NEW YORK, NY 327,597327.6k $5.2m $5.2m 0.10% Added +155.2k +155,249
74 Kinloch Capital, LLC 3.05% of their portfolio GLEN ALLEN, VA 320,327320.3k $5.1m $5.1m 3.05% Reduced -8.9k -8,903
75 Family Legacy, Inc. 1.98% of their portfolio GREENVILLE, SC 308,610308.6k $4.9m $4.9m 1.98% Added +4.0k +3,998
76 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 304,668304.7k $4.9m $4.9m 0.00% Added +121.9k +121,917
77 Dunhill Financial, LLC 3.06% of their portfolio LONDON, X0 292,543292.5k $4.7m $4.7m 3.06% First filing
78 Chicago Partners Investment Group LLC 0.24% of their portfolio CHICAGO, IL 289,078289.1k $4.7m $4.7m 0.24% Added +34.3k +34,258
79 FLYNN ZITO CAPITAL MANAGEMENT, LLC 3.07% of their portfolio GARDEN CITY, NY 284,522284.5k $4.5m $4.5m 3.07% Added +14.4k +14,438
80 Choice Wealth Advisors LLC 3.03% of their portfolio WATERVILLE, ME 278,999279.0k $4.5m $4.5m 3.03% Added +20.4k +20,415
81 D.A. DAVIDSON & CO. 0.05% of their portfolio GREAT FALLS, MT 276,242276.2k $4.4m $4.4m 0.05% Added +73.0k +72,975
82 Western Wealth Management, LLC 0.37% of their portfolio GOLDEN, CO 271,022271.0k $4.3m $4.3m 0.37% Added +6.8k +6,766
83 Steward Partners Investment Advisory, LLC 0.06% of their portfolio STAMFORD, CT 270,369270.4k $4.3m $4.3m 0.06% Reduced -2.9k -2,923
84 Sigma Planning Corp 0.15% of their portfolio ANN ARBOR, MI 268,291268.3k $4.3m $4.3m 0.15% Added +50.8k +50,801
85 RFG Advisory, LLC 0.19% of their portfolio BIRMINGHAM, AL 267,323267.3k $4.3m $4.3m 0.19% Reduced -108.0k -107,954
86 Glassy Mountain Advisors, Inc. 1.85% of their portfolio BETHESDA, MD 260,570260.6k $4.2m $4.2m 1.85% New
87 Kingsview Wealth Management, LLC 0.16% of their portfolio GRANTS PASS, OR 259,009259.0k $4.1m $4.1m 0.16% Added +60.0k +59,990
88 BARINGS LLC 0.14% of their portfolio CHARLOTTE, NC 252,741252.7k $4.0m $4.0m 0.14% Reduced -152.8k -152,782
89 GILL CAPITAL PARTNERS, LLC 1.69% of their portfolio DENVER, CO 251,905251.9k $4.0m $4.0m 1.69% Reduced -25.2k -25,241
90 Atlas Private Wealth Management, LLC 2.12% of their portfolio ALBANY, NY 251,410251.4k $4.0m $4.0m 2.12% Added +43.3k +43,333
91 KESTRA PRIVATE WEALTH SERVICES, LLC 0.14% of their portfolio AUSTIN, TX 247,911247.9k $4.0m $4.0m 0.14% Reduced -23.6k -23,605
92 STONEBRIDGE ADVISORS LLC 2.85% of their portfolio WILTON, CT 245,141245.1k $3.9m $3.9m 2.85% Reduced -398.2k -398,152
93 First Heartland Consultants, Inc. 0.50% of their portfolio LAKE ST. LOUIS, MO 242,904242.9k $3.9m $3.9m 0.50% Reduced -9.0k -9,002
94 Twelve Points Wealth Management LLC 1.96% of their portfolio CONCORD, MA 230,465230.5k $3.7m $3.7m 1.96% Added +44.6k +44,593
95 Advisory Alpha, LLC 0.19% of their portfolio HOLLAND, MI 229,851229.9k $3.7m $3.7m 0.19% Added +198.5k +198,452
96 Sound Income Strategies, LLC 0.38% of their portfolio FT LAUDERDALE, FL 228,766228.8k $3.7m $3.7m 0.38% Added +23.3k +23,298
97 Biltmore Family Office, LLC 0.77% of their portfolio CHARLOTTE, NC 226,824226.8k $3.6m $3.6m 0.77% Reduced -90.9k -90,877
98 1834 INVESTMENT ADVISORS CO 0.43% of their portfolio Milwaukee, WI 225,301225.3k $3.6m $3.6m 0.43% Reduced -32.2k -32,222
99 Price Capital Management, Inc. 3.95% of their portfolio LAFAYETTE, LA 225,000225.0k $3.6m $3.6m 3.95% New
100 Aspen Investment Management Inc 2.09% of their portfolio GRAND RAPIDS, MI 219,999220.0k $3.5m $3.5m 2.09% Reduced -2.1k -2,069