Vault-13

FIRST TR EXCH TRADED FD III FPE

PFD SECS INC ETF · ETP · CUSIP 33739E108

408 institutional holders +19 vs Q3 2023
247,592,453247.6m shares reported held*
$4.1bnreported value*
32 new 126 added 174 reduced 36 sold out net bought ≈ $858.8m (+52.5m 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 ($862.5k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $16.74. Options: 4 managers hold calls ($265.6k notional), 2 hold puts ($421.5k).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 407Q4 22: 427Q1 23: 398Q2 23: 398Q3 23: 389Q4 23: 408408Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022407
Q4 2022427
Q1 2023398
Q2 2023398
Q3 2023389
Q4 2023408

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 23Q3 23: 165 bought or addedQ3 23: 207 cut or sold outQ3 23Q4 23: 158 bought or addedQ4 23: 210 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022164236
Q1 2023179210
Q2 2023175204
Q3 2023165207
Q4 2023158210

Calls vs puts

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

CallsPuts
$0$200k$400k$600kQ1 23 calls: $105.2kQ1 23 puts: $36.7kQ1 23P/C 0.35Q2 23 calls: $124.6kQ2 23 puts: $33.5kQ2 23P/C 0.27Q3 23 calls: $113.4kQ3 23 puts: $0Q3 23P/C 0.00Q4 23 calls: $265.6kQ4 23 puts: $421.5kQ4 23P/C 1.59
Numbers
QuarterCallsPutsP/C
Q1 2023$105.2k$36.7k0.35
Q2 2023$124.6k$33.5k0.27
Q3 2023$113.4k$00.00
Q4 2023$265.6k$421.5k1.59

Biggest buyers

MORGAN STANLEY Added +42,830,902+42.8m
JANE STREET GROUP, LLC Added +4,158,608+4.2m
OLD MISSION CAPITAL LLC Added +2,824,895+2.8m
STONEBRIDGE ADVISORS LLC Added +1,957,729+2.0m
RENAISSANCE TECHNOLOGIES LLC Added +1,757,405+1.8m
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC Added +1,685,412+1.7m
Price Capital Management, Inc. New +1,204,890+1.2m
JPMORGAN CHASE & CO Added +1,178,594+1.2m
BANK OF AMERICA CORP /DE/ Added +952,195+952.2k
BARCLAYS PLC New +838,610+838.6k

Biggest sellers

Berger Financial Group, Inc Reduced -1,472,286-1.5m
OSAIC HOLDINGS, INC. Reduced -1,227,783-1.2m
ROYAL BANK OF CANADA Reduced -1,202,342-1.2m
LPL Financial LLC Reduced -604,245-604.2k
HighTower Advisors, LLC Reduced -485,094-485.1k
PARK NATIONAL CORP /OH/ Reduced -454,960-455.0k
COUNTRY TRUST BANK Reduced -414,358-414.4k
NewEdge Advisors, LLC Reduced -391,560-391.6k
Composition Wealth, LLC Reduced -332,193-332.2k
Raymond James Financial Services Advisors, Inc. Reduced -326,141-326.1k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP New $192.2k11.4k shares
CITADEL ADVISORS LLC Reduced $67.4k4.0k shares
SIMPLEX TRADING, LLC Added $6.0k400 shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CSS LLC/IL New $421.5k25.0k 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, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.07% of their portfolio NEW YORK, NY 94,259,51094.3m $1.6bn $1.6bn 0.07% Added +42.8m +42,830,902
2 ROYAL BANK OF CANADA 0.08% of their portfolio TORONTO, A6 18,912,41818.9m $318.9m $318.9m 0.08% Reduced -1.2m -1,202,342
3 WELLS FARGO & COMPANY/MN 0.05% of their portfolio SAN FRANCISCO, CA 10,592,02210.6m $178.6m $178.6m 0.05% Added +42.5k +42,501
4 LPL Financial LLC 0.10% of their portfolio FORT MILL, SC 10,139,36210.1m $170.9m $170.9m 0.10% Reduced -604.2k -604,245
5 UBS Group AG 0.07% of their portfolio ZURICH, V8 9,792,4829.8m $165.1m $165.1m 0.07% Reduced -107.9k -107,881
6 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 7,455,3977.5m $125.7m $125.7m 0.01% Added +952.2k +952,195
7 Raymond James Financial Services Advisors, Inc. 0.14% of their portfolio ST. PETERSBURG, FL 5,001,9165.0m $84.3m $84.3m 0.14% Reduced -326.1k -326,141
8 JANE STREET GROUP, LLC 0.10% of their portfolio NEW YORK, NY 4,936,7864.9m $83.2m $83.2m 0.10% Added +4.2m +4,158,608
9 PARK NATIONAL CORP /OH/ 2.27% of their portfolio NEWARK, OH 3,296,5453.3m $55.6m $55.6m 2.27% Reduced -455.0k -454,960
10 RAYMOND JAMES & ASSOCIATES 0.04% of their portfolio ST PETERSBURG, FL 3,102,0853.1m $52.3m $52.3m 0.04% Added +169.3k +169,272
11 OLD MISSION CAPITAL LLC 1.34% of their portfolio CHICAGO, IL 2,835,4782.8m $47.8m $47.8m 1.34% Added +2.8m +2,824,895
12 STIFEL FINANCIAL CORP 0.05% of their portfolio ST. LOUIS, MO 2,401,9542.4m $40.5m $40.5m 0.05% Reduced -16.8k -16,846
13 RENAISSANCE TECHNOLOGIES LLC 0.06% of their portfolio NEW YORK, NY 2,140,1002.1m $36.1m $36.1m 0.06% Added +1.8m +1,757,405
14 HighTower Advisors, LLC 0.06% of their portfolio CHICAGO, IL 2,094,7252.1m $35.3m $35.3m 0.06% Reduced -485.1k -485,094
15 Kestra Advisory Services, LLC 0.28% of their portfolio AUSTIN, TX 2,033,9982.0m $34.3m $34.3m 0.28% Added +30.9k +30,872
16 STONEBRIDGE ADVISORS LLC 19.84% of their portfolio WILTON, CT 1,972,1132.0m $33.2m $33.2m 19.84% Added +2.0m +1,957,729
17 OSAIC HOLDINGS, INC. 0.05% of their portfolio SCOTTSDALE, AZ 1,842,5551.8m $31.1m $31.1m 0.05% Reduced -1.2m -1,227,783
18 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.01% of their portfolio ORLANDO, FL 1,799,2881.8m $106.7k $106.7k 0.01% Added +1.7m +1,685,412
19 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 1,712,7901.7m $28.9m $28.9m 0.01% Reduced -196.1k -196,071
20 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.03% of their portfolio MILWAUKEE, WI 1,536,1901.5m $25.9m $25.9m 0.03% Reduced -101.9k -101,859
21 Janney Montgomery Scott LLC 0.08% of their portfolio PHILADELPHIA, PA 1,468,3641.5m $24.8m $24.8m 0.08% Added +176.2k +176,155
22 Rockefeller Capital Management L.P. 0.08% of their portfolio NEW YORK, NY 1,464,5381.5m $24.7m $24.7m 0.08% Reduced -37.8k -37,755
23 COUNTRY TRUST BANK 0.67% of their portfolio Bloomington, IL 1,436,5571.4m $24.2m $24.2m 0.67% Reduced -414.4k -414,358
24 Arax Advisory Partners 2.59% of their portfolio NEW YORK, NY 1,380,5431.4m $23.3m $23.3m 2.59% Added +156.9k +156,873
25 Magnus Financial Group LLC 3.03% of their portfolio NEW YORK, NY 1,368,1891.4m $23.1m $23.1m 3.03% Added +193.7k +193,706
26 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 1,352,4401.4m $22.8m $22.8m 0.00% Added +1.2m +1,178,594
27 Cambridge Investment Research Advisors, Inc. 0.09% of their portfolio FAIRFIELD, IA 1,245,8871.2m $21.0m $21.0m 0.09% Added +36.2k +36,186
28 COMMONWEALTH EQUITY SERVICES, LLC 0.04% of their portfolio WALTHAM, MA 1,221,1971.2m $20.6m $20.6m 0.04% Reduced -107.5k -107,469
29 Price Capital Management, Inc. 8.99% of their portfolio LAFAYETTE, LA 1,204,8901.2m $20.3m $20.3m 8.99% New
30 Baird Financial Group, Inc. 0.04% of their portfolio MILWAUKEE, WI 1,161,8331.2m $19.6m $19.6m 0.04% Added +90.6k +90,637
31 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.60% of their portfolio Seattle, WA 1,053,9241.1m $17.8m $17.8m 0.60% Added +48.9k +48,914
32 BANK OF MONTREAL /CAN/ 0.01% of their portfolio TORONTO, A6 1,000,9661.0m $16.9m $16.9m 0.01% Added +409.0k +408,980
33 TRUIST FINANCIAL CORP 0.03% of their portfolio CHARLOTTE, NC 980,600980.6k $16.5m $16.5m 0.03% Reduced -119.7k -119,687
34 Prospera Financial Services Inc 0.52% of their portfolio Dallas, TX 932,967933.0k $15.7m $15.7m 0.52% Added +342.3k +342,258
35 HCR Wealth Advisors 2.46% of their portfolio LOS ANGELES, CA 924,140924.1k $15.6m $15.6m 2.46% Added +164.0k +163,975
36 Ocean Park Asset Management, LLC 0.73% of their portfolio SANTA MONICA, CA 880,528880.5k $14.8m $14.8m 0.73% Added +288.5k +288,528
37 BARCLAYS PLC 0.01% of their portfolio LONDON, X0 838,610838.6k $14.1m $14.1m 0.01% New
38 MML INVESTORS SERVICES, LLC 0.06% of their portfolio SPRINGFIELD, MA 793,982794.0k $13.4m $13.4m 0.06% Reduced -62.0k -61,974
39 Stratos Wealth Partners, LTD. 0.25% of their portfolio BEACHWOOD, OH 790,665790.7k $13.3m $13.3m 0.25% New
40 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.04% of their portfolio PLYMOUTH, MN 716,402716.4k $12.1m $12.1m 0.04% Reduced -24.3k -24,252
41 Trinity Legacy Partners, LLC 3.80% of their portfolio HOUSTON, TX 715,206715.2k $12.1m $12.1m 3.80% Reduced -272.9k -272,935
42 Composition Wealth, LLC 0.33% of their portfolio LOS ANGELES, CA 705,619705.6k $11.9m $11.9m 0.33% Reduced -332.2k -332,193
43 Gradient Investments LLC 0.29% of their portfolio ARDEN HILLS, MN 699,201699.2k $11.8m $11.8m 0.29% Reduced -23.3k -23,331
44 Wealthspire Retirement, LLC 1.99% of their portfolio ALISO VIEJO, CA 695,712695.7k $11.7m $11.7m 1.99% Reduced -8.2k -8,249
45 StrategIQ Financial Group, LLC 1.28% of their portfolio MERRILLVILLE, IN 674,085674.1k $11.4m $11.4m 1.28% Reduced -20.9k -20,911
46 State of Tennessee, Department of Treasury 0.04% of their portfolio NASHVILLE, TN 662,100662.1k $11.2m $11.2m 0.04% Added +194.9k +194,900
47 BARINGS LLC 0.34% of their portfolio CHARLOTTE, NC 633,195633.2k $10.7m $10.7m 0.34% Added +427.3k +427,333
48 Transform Wealth, LLC 1.00% of their portfolio GREENWOOD VILLAGE, CO 608,001608.0k $10.3m $10.3m 1.00% Added +13.8k +13,817
49 Avidian Wealth Enterprises, LLC 0.59% of their portfolio Houston, TX 561,057561.1k $9.5m $9.5m 0.59% Reduced -153.0k -152,955
50 Cetera Advisor Networks LLC 0.05% of their portfolio EL SEGUNDO, CA 532,241532.2k $9.0m $9.0m 0.05% Added +29.8k +29,798
51 CITIGROUP INC 0.01% of their portfolio NEW YORK, NY 511,192511.2k $8.6m $8.6m 0.01% Reduced -65.0k -65,027
52 Triumph Capital Management 3.65% of their portfolio DENVER, CO 510,642510.6k $8.6m $8.6m 3.65% Added +38.9k +38,926
53 Eldridge Investment Advisors, Inc. 2.24% of their portfolio MANCHESTER, NH 506,055506.1k $8.5m $8.5m 2.24% Added +112.5k +112,546
54 Csenge Advisory Group 0.53% of their portfolio CLEARWATER, FL 499,807499.8k $8.4m $8.4m 0.53% Added +33.0k +33,046
55 Private Advisor Group, LLC 0.06% of their portfolio MORRISTOWN, NJ 483,466483.5k $8.2m $8.2m 0.06% Added +5.2k +5,247
56 KESTRA PRIVATE WEALTH SERVICES, LLC 0.20% of their portfolio AUSTIN, TX 475,222475.2k $8.0m $8.0m 0.20% Added +125.3k +125,271
57 COMERICA BANK 0.04% of their portfolio DALLAS, TX 461,545461.5k $7.8m $7.8m 0.04% Added +11.3k +11,332
58 MGO ONE SEVEN LLC 0.44% of their portfolio Beachwood, OH 447,743447.7k $7.5m $7.5m 0.44% Reduced -5.7k -5,735
59 AE Wealth Management LLC 0.04% of their portfolio TOPEKA, KS 424,779424.8k $7.3m $7.3m 0.04% Added +39.5k +39,530
60 Quad-Cities Investment Group, LLC 4.31% of their portfolio DAVENPORT, IA 414,213414.2k $7.0m $7.0m 4.31% Added +17.6k +17,633
61 Mariner, LLC 0.02% of their portfolio Overland Park, KS 397,062397.1k $6.7m $6.7m 0.02% Added +10.6k +10,589
62 Regal Investment Advisors LLC 0.50% of their portfolio KENTWOOD, MI 394,570394.6k $6.7m $6.7m 0.50% Reduced -4.6k -4,643
63 Ironwood Investment Counsel, LLC 1.24% of their portfolio SCOTTSDALE, AZ 392,577392.6k $6.6m $6.6m 1.24% Reduced -91.8k -91,756
64 Cetera Investment Advisers 0.05% of their portfolio SCHAUMBURG, IL 387,248387.2k $6.5m $6.5m 0.05% Reduced -16.8k -16,777
65 ORBA Wealth Advisors, L.L.C. 3.91% of their portfolio CHICAGO, IL 386,690386.7k $6.5m $6.5m 3.91% First filing
66 HARBOUR INVESTMENTS, INC. 0.26% of their portfolio MADISON, WI 369,196369.2k $6.2m $6.2m 0.26% Reduced -36.4k -36,410
67 Financial Enhancement Group LLC 1.09% of their portfolio ANDERSON, IN 368,947368.9k $6.2m $6.2m 1.09% Reduced -99.6k -99,606
68 Archer Investment Corp 1.98% of their portfolio Carmel, IN 364,012364.0k $6.1m $6.1m 1.98% Reduced -40.7k -40,690
69 Gladstone Institutional Advisory LLC 0.34% of their portfolio Bedminster, NJ 358,160358.2k $6.0m $6.0m 0.34% Reduced -31.8k -31,799
70 WINTRUST INVESTMENTS LLC 0.56% of their portfolio CHICAGO, IL 337,630337.6k $5.7m $5.7m 0.56% Reduced -5.4k -5,442
71 Chicago Partners Investment Group LLC 0.26% of their portfolio CHICAGO, IL 334,467334.5k $5.7m $5.7m 0.26% Added +26.0k +26,008
72 Glass Jacobson Investment Advisors llc 2.29% of their portfolio OWINGS MILLS, MD 332,206332.2k $5.6m $5.6m 2.29% Reduced -36.2k -36,215
73 PFS Partners, LLC 3.82% of their portfolio MINE HILL, NJ 331,604331.6k $5.6m $5.6m 3.82% Reduced -10.2k -10,172
74 FLAGSTAR SECURITIES, INC 1.76% of their portfolio New York, NY 329,500329.5k $5.6m $5.6m 1.76% Reduced -174.1k -174,072
75 Newman Dignan & Sheerar, Inc. 1.67% of their portfolio PROVIDENCE, RI 327,102327.1k $5.5m $5.5m 1.67% Reduced -9.1k -9,097
76 Glassy Mountain Advisors, Inc. 2.26% of their portfolio BETHESDA, MD 325,617325.6k $5.5m $5.5m 2.26% Added +59.6k +59,571
77 OPPENHEIMER & CO INC 0.10% of their portfolio NEW YORK, NY 321,072321.1k $5.4m $5.4m 0.10% Added +8.0k +7,973
78 NewEdge Advisors, LLC 0.05% of their portfolio NEW ORLEANS, LA 319,405319.4k $5.4m $5.4m 0.05% Reduced -391.6k -391,560
79 Equitable Holdings, Inc. 0.07% of their portfolio NEW YORK, NY 318,563318.6k $5.4m $5.4m 0.07% Reduced -74.1k -74,105
80 CAPTRUST FINANCIAL ADVISORS 0.02% of their portfolio RALEIGH, NC 309,826309.8k $5.2m $5.2m 0.02% Reduced -13.6k -13,643
81 AVANTAX ADVISORY SERVICES, INC. 0.05% of their portfolio DALLAS, TX 300,258300.3k $5.1m $5.1m 0.05% Reduced -38.3k -38,295
82 Choice Wealth Advisors LLC 3.02% of their portfolio WATERVILLE, ME 289,216289.2k $4.9m $4.9m 3.02% Added +8.8k +8,786
83 TWIN PEAKS WEALTH ADVISORS, LLC 3.03% of their portfolio SAN FRANCISCO, CA 281,652281.7k $4.7m $4.7m 3.03% First filing
84 Family Legacy, Inc. 1.81% of their portfolio GREENVILLE, SC 281,271281.3k $4.7m $4.7m 1.81% Reduced -27.4k -27,378
85 Marion Wealth Management 1.50% of their portfolio MONROEVILLE, PA 279,046279.0k $4.7m $4.7m 1.50% New
86 Western Wealth Management, LLC 0.34% of their portfolio GOLDEN, CO 276,635276.6k $4.7m $4.7m 0.34% Added +7.3k +7,341
87 TRUSTMARK BANK TRUST DEPARTMENT 0.40% of their portfolio JACKSON, MS 261,556261.6k $4.4m $4.4m 0.40% Reduced -160.7k -160,705
88 Kinloch Capital, LLC 2.78% of their portfolio GLEN ALLEN, VA 259,222259.2k $4.4m $4.4m 2.78% Reduced -69.0k -68,981
89 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.01% of their portfolio BALA CYNWYD, PA 256,026256.0k $4.3m $4.3m 0.01% Reduced -47.5k -47,534
90 Atlas Private Wealth Management, LLC 2.00% of their portfolio ALBANY, NY 252,060252.1k $4.2m $4.2m 2.00% Reduced -3.5k -3,532
91 Sound Income Strategies, LLC 0.34% of their portfolio FT LAUDERDALE, FL 245,333245.3k $4.1m $4.1m 0.34% Added +10.7k +10,674
92 Mid-American Wealth Advisory Group, Inc. 3.06% of their portfolio KANSAS CITY, MO 244,171244.2k $4.1m $4.1m 3.06% Reduced -37.2k -37,215
93 Schonfeld Strategic Advisors LLC 0.03% of their portfolio NEW YORK, NY 238,498238.5k $4.0m $4.0m 0.03% New
94 Valmark Advisers, Inc. 0.07% of their portfolio AKRON, OH 237,044237.0k $4.0m $4.0m 0.07% Added +14.2k +14,191
95 Traction Financial Partners, LLC 2.68% of their portfolio LITTLETON, CO 236,612236.6k $4.0m $4.0m 2.68% First filing
96 CWM, LLC 0.02% of their portfolio OMAHA, NE 233,954234.0k $3.9m $3.9m 0.02% Reduced -20.1k -20,126
97 Advisory Alpha, LLC 0.17% of their portfolio HOLLAND, MI 225,669225.7k $3.8m $3.8m 0.17% Added +309 +309
98 First Heartland Consultants, Inc. 0.46% of their portfolio LAKE ST. LOUIS, MO 223,873223.9k $3.8m $3.8m 0.46% Reduced -6.4k -6,386
99 Integrated Wealth Concepts LLC 0.06% of their portfolio WALTHAM, MA 222,321222.3k $3.7m $3.7m 0.06% Added +63.6k +63,554
100 GILL CAPITAL PARTNERS, LLC 1.56% of their portfolio DENVER, CO 219,738219.7k $3.7m $3.7m 1.56% Reduced -24.4k -24,405