Vault-13

FIRST TR EXCH TRADED FD III FPE

PFD SECS INC ETF · ETP · CUSIP 33739E108

406 institutional holders -2 vs Q4 2023
282,978,733283.0m shares reported held*
$4.9bnreported value*
41 new 161 added 141 reduced 41 sold out net bought ≈ $653.2m (+36.0m 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 ($1.7m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $17.32. Options: 2 managers hold calls ($34.6k notional), 3 hold puts ($348.1k).

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 407Q4 22: 427Q1 23: 398Q2 23: 398Q3 23: 389Q4 23: 408Q1 24: 406406Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 2022407
Q4 2022427
Q1 2023398
Q2 2023398
Q3 2023389
Q4 2023408
Q1 2024406

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 23Q1 24: 202 bought or addedQ1 24: 182 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 2022164236
Q1 2023179210
Q2 2023175204
Q3 2023165207
Q4 2023158210
Q1 2024202182

Calls vs puts

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

CallsPuts
$0$200k$400k$600kQ2 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 1.59Q1 24 calls: $34.6kQ1 24 puts: $348.1kQ1 24P/C 10.05
Numbers
QuarterCallsPutsP/C
Q2 2023$124.6k$33.5k0.27
Q3 2023$113.4k$00.00
Q4 2023$265.6k$421.5k1.59
Q1 2024$34.6k$348.1k10.05

Biggest buyers

MORGAN STANLEY Added +48,129,967+48.1m
UBS Group AG Added +828,424+828.4k
Cetera Investment Advisers Added +754,718+754.7k
WELLS FARGO & COMPANY/MN Added +702,080+702.1k
Waverly Advisors, LLC New +670,303+670.3k
Ocean Park Asset Management, LLC Added +614,600+614.6k
JPMORGAN CHASE & CO Added +586,232+586.2k
Advisor OS, LLC New +518,894+518.9k
Synergy Asset Management, LLC New +424,860+424.9k
Raymond James Financial Services Advisors, Inc. Added +392,560+392.6k

Biggest sellers

JANE STREET GROUP, LLC Reduced -4,786,096-4.8m
OLD MISSION CAPITAL LLC Sold out -2,835,478-2.8m
HighTower Advisors, LLC Sold out -2,094,725-2.1m
STONEBRIDGE ADVISORS LLC Reduced -1,789,558-1.8m
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC Reduced -1,701,079-1.7m
ROYAL BANK OF CANADA Reduced -1,497,229-1.5m
Price Capital Management, Inc. Sold out -1,204,890-1.2m
BARCLAYS PLC Sold out -838,610-838.6k
BANK OF MONTREAL /CAN/ Reduced -780,298-780.3k
State of Tennessee, Department of Treasury Sold out -662,100-662.1k

Biggest calls

CITADEL ADVISORS LLC Reduced $34.6k2.0k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CSS LLC/IL Reduced $346.4k20.0k shares
CITADEL ADVISORS LLC New $1.7k100 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, Q1 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.07% of their portfolio NEW YORK, NY 142,389,477142.4m $2.5bn $2.5bn 0.07% Added +48.1m +48,129,967
2 ROYAL BANK OF CANADA 0.07% of their portfolio TORONTO, A6 17,415,18917.4m $301.6m $301.6m 0.07% Reduced -1.5m -1,497,229
3 WELLS FARGO & COMPANY/MN 0.05% of their portfolio SAN FRANCISCO, CA 11,294,10211.3m $195.6m $195.6m 0.05% Added +702.1k +702,080
4 UBS Group AG 0.06% of their portfolio ZURICH, V8 10,620,90610.6m $184.0m $184.0m 0.06% Added +828.4k +828,424
5 LPL Financial LLC 0.10% of their portfolio FORT MILL, SC 10,479,58110.5m $181.5m $181.5m 0.10% Added +340.2k +340,219
6 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 7,676,5737.7m $133.0m $133.0m 0.01% Added +221.2k +221,176
7 Raymond James Financial Services Advisors, Inc. 0.14% of their portfolio ST. PETERSBURG, FL 5,394,4765.4m $93.4m $93.4m 0.14% Added +392.6k +392,560
8 RAYMOND JAMES & ASSOCIATES 0.04% of their portfolio ST PETERSBURG, FL 3,334,4483.3m $57.8m $57.8m 0.04% Added +232.4k +232,363
9 PARK NATIONAL CORP /OH/ 2.18% of their portfolio NEWARK, OH 3,262,7113.3m $56.5m $56.5m 2.18% Reduced -33.8k -33,834
10 Kestra Advisory Services, LLC 0.25% of their portfolio AUSTIN, TX 2,134,4292.1m $37.0m $37.0m 0.25% Added +100.4k +100,431
11 OSAIC HOLDINGS, INC. 0.08% of their portfolio SCOTTSDALE, AZ 1,948,0871.9m $33.7m $33.7m 0.08% Added +105.5k +105,532
12 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 1,938,6721.9m $33.6m $33.6m 0.00% Added +586.2k +586,232
13 STIFEL FINANCIAL CORP 0.04% of their portfolio ST. LOUIS, MO 1,806,4381.8m $31.3m $31.3m 0.04% Reduced -595.5k -595,516
14 Janney Montgomery Scott LLC 0.09% of their portfolio PHILADELPHIA, PA 1,791,8001.8m $31.0m $31.0m 0.09% Added +323.4k +323,436
15 Rockefeller Capital Management L.P. 0.09% of their portfolio NEW YORK, NY 1,726,5391.7m $29.9m $29.9m 0.09% Added +262.0k +262,001
16 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 1,662,8661.7m $28.8m $28.8m 0.01% Reduced -49.9k -49,924
17 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.03% of their portfolio MILWAUKEE, WI 1,602,6201.6m $27.8m $27.8m 0.03% Added +66.4k +66,430
18 RENAISSANCE TECHNOLOGIES LLC 0.04% of their portfolio NEW YORK, NY 1,559,8081.6m $27.0m $27.0m 0.04% Reduced -580.3k -580,292
19 Ocean Park Asset Management, LLC 1.22% of their portfolio SANTA MONICA, CA 1,495,1281.5m $25.9m $25.9m 1.22% Added +614.6k +614,600
20 Arax Advisory Partners 2.62% of their portfolio NEW YORK, NY 1,435,6451.4m $24.9m $24.9m 2.62% Added +55.1k +55,102
21 Magnus Financial Group LLC 2.86% of their portfolio NEW YORK, NY 1,391,2221.4m $24.1m $24.1m 2.86% Added +23.0k +23,033
22 COUNTRY TRUST BANK 0.62% of their portfolio Bloomington, IL 1,384,2831.4m $24.0m $24.0m 0.62% Reduced -52.3k -52,274
23 Baird Financial Group, Inc. 0.05% of their portfolio MILWAUKEE, WI 1,366,1991.4m $23.7m $23.7m 0.05% Added +204.4k +204,366
24 COMMONWEALTH EQUITY SERVICES, LLC 0.04% of their portfolio WALTHAM, MA 1,295,8851.3m $22.4m $22.4m 0.04% Added +74.7k +74,688
25 Cambridge Investment Research Advisors, Inc. 0.08% of their portfolio FAIRFIELD, IA 1,268,2461.3m $22.0m $22.0m 0.08% Added +22.4k +22,359
26 Cetera Investment Advisers 0.05% of their portfolio SCHAUMBURG, IL 1,141,9661.1m $19.8m $19.8m 0.05% Added +754.7k +754,718
27 Prospera Financial Services Inc 0.57% of their portfolio Dallas, TX 1,108,6071.1m $19.2m $19.2m 0.57% Added +175.6k +175,640
28 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.57% of their portfolio Seattle, WA 1,057,1191.1m $18.3m $18.3m 0.57% Added +3.2k +3,195
29 TRUIST FINANCIAL CORP 0.03% of their portfolio CHARLOTTE, NC 988,009988.0k $17.1m $17.1m 0.03% Added +7.4k +7,409
30 Trinity Legacy Partners, LLC 4.82% of their portfolio HOUSTON, TX 950,065950.1k $16.5m $16.5m 4.82% Added +234.9k +234,859
31 HCR Wealth Advisors 2.32% of their portfolio LOS ANGELES, CA 881,586881.6k $15.3m $15.3m 2.32% Reduced -42.6k -42,554
32 Gradient Investments LLC 0.31% of their portfolio ARDEN HILLS, MN 783,554783.6k $13.6m $13.6m 0.31% Added +84.4k +84,353
33 MML INVESTORS SERVICES, LLC 0.05% of their portfolio SPRINGFIELD, MA 729,070729.1k $12.6m $12.6m 0.05% Reduced -64.9k -64,912
34 Avidian Wealth Enterprises, LLC 0.65% of their portfolio Houston, TX 696,906696.9k $12.1m $12.1m 0.65% Added +135.8k +135,849
35 Waverly Advisors, LLC 0.27% of their portfolio BIRMINGHAM, AL 670,303670.3k $11.6m $11.6m 0.27% New
36 Transform Wealth, LLC 1.09% of their portfolio GREENWOOD VILLAGE, CO 665,132665.1k $11.5m $11.5m 1.09% Added +57.1k +57,131
37 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.03% of their portfolio PLYMOUTH, MN 643,511643.5k $11.1m $11.1m 0.03% Reduced -72.9k -72,891
38 BARINGS LLC 0.28% of their portfolio CHARLOTTE, NC 633,195633.2k $11.0m $11.0m 0.28% Unchanged
39 Wealthspire Retirement, LLC 0.90% of their portfolio ALISO VIEJO, CA 603,761603.8k $10.5m $10.5m 0.90% Reduced -92.0k -91,951
40 Stratos Wealth Partners, LTD. 0.17% of their portfolio BEACHWOOD, OH 580,452580.5k $10.1m $10.1m 0.17% Reduced -210.2k -210,213
41 Csenge Advisory Group 0.52% of their portfolio CLEARWATER, FL 534,780534.8k $9.3m $9.3m 0.52% Added +35.0k +34,973
42 Private Advisor Group, LLC 0.07% of their portfolio MORRISTOWN, NJ 524,533524.5k $9.1m $9.1m 0.07% Added +41.1k +41,067
43 Eldridge Investment Advisors, Inc. 2.33% of their portfolio MANCHESTER, NH 523,101523.1k $9.1m $9.1m 2.33% Added +17.0k +17,046
44 Advisor OS, LLC 1.03% of their portfolio CHICAGO, IL 518,894518.9k $9.0m $9.0m 1.03% New
45 KESTRA PRIVATE WEALTH SERVICES, LLC 0.20% of their portfolio AUSTIN, TX 505,699505.7k $8.8m $8.8m 0.20% Added +30.5k +30,477
46 Composition Wealth, LLC 0.22% of their portfolio LOS ANGELES, CA 501,622501.6k $8.7m $8.7m 0.22% Reduced -204.0k -203,997
47 Ironwood Investment Counsel, LLC 1.51% of their portfolio SCOTTSDALE, AZ 500,669500.7k $8.7m $8.7m 1.51% Added +108.1k +108,092
48 Triumph Capital Management 3.48% of their portfolio DENVER, CO 490,004490.0k $8.5m $8.5m 3.48% Reduced -20.6k -20,638
49 CITIGROUP INC 0.01% of their portfolio NEW YORK, NY 456,800456.8k $7.9m $7.9m 0.01% Reduced -54.4k -54,392
50 Synergy Asset Management, LLC 1.25% of their portfolio VANCOUVER, WA 424,860424.9k $7.4m $7.4m 1.25% New
51 COMERICA BANK 0.03% of their portfolio DALLAS, TX 422,159422.2k $7.3m $7.3m 0.03% Reduced -39.4k -39,386
52 Mariner, LLC 0.01% of their portfolio Overland Park, KS 411,974412.0k $7.1m $7.1m 0.01% Added +14.9k +14,912
53 Quad-Cities Investment Group, LLC 4.15% of their portfolio DAVENPORT, IA 410,778410.8k $7.1m $7.1m 4.15% Reduced -3.4k -3,435
54 MGO ONE SEVEN LLC 0.37% of their portfolio Beachwood, OH 409,928409.9k $7.1m $7.1m 0.37% Reduced -37.8k -37,815
55 ORBA Wealth Advisors, L.L.C. 3.86% of their portfolio CHICAGO, IL 402,242402.2k $7.0m $7.0m 3.86% Added +15.6k +15,552
56 Regal Investment Advisors LLC 0.47% of their portfolio KENTWOOD, MI 394,913394.9k $6.8m $6.8m 0.47% Added +343 +343
57 Financial Enhancement Group LLC 1.04% of their portfolio ANDERSON, IN 371,177371.2k $6.4m $6.4m 1.04% Added +2.2k +2,230
58 HARBOUR INVESTMENTS, INC. 0.23% of their portfolio MADISON, WI 370,236370.2k $6.4m $6.4m 0.23% Added +1.0k +1,040
59 OPPENHEIMER & CO INC 0.11% of their portfolio NEW YORK, NY 366,247366.2k $6.3m $6.3m 0.11% Added +45.2k +45,175
60 WINTRUST INVESTMENTS LLC 0.56% of their portfolio CHICAGO, IL 356,745356.7k $6.2m $6.2m 0.56% Added +19.1k +19,115
61 Chicago Partners Investment Group LLC 0.26% of their portfolio CHICAGO, IL 353,246353.2k $6.0m $6.0m 0.26% Added +18.8k +18,779
62 Archer Investment Corp 1.80% of their portfolio Carmel, IN 345,612345.6k $6.0m $6.0m 1.80% Reduced -18.4k -18,400
63 Kinloch Capital, LLC 3.07% of their portfolio GLEN ALLEN, VA 345,421345.4k $6.0m $6.0m 3.07% Added +86.2k +86,199
64 Glassy Mountain Advisors, Inc. 2.25% of their portfolio BETHESDA, MD 345,241345.2k $6.0m $6.0m 2.25% Added +19.6k +19,624
65 PFS Partners, LLC 3.99% of their portfolio MINE HILL, NJ 340,188340.2k $5.9m $5.9m 3.99% Added +8.6k +8,584
66 FLAGSTAR SECURITIES, INC 1.60% of their portfolio New York, NY 332,627332.6k $5.8m $5.8m 1.60% Added +3.1k +3,127
67 Glass Jacobson Investment Advisors llc 2.16% of their portfolio OWINGS MILLS, MD 332,472332.5k $5.8m $5.8m 2.16% Added +266 +266
68 AVANTAX ADVISORY SERVICES, INC. 0.05% of their portfolio DALLAS, TX 331,142331.1k $5.7m $5.7m 0.05% Added +30.9k +30,884
69 Newman Dignan & Sheerar, Inc. 1.53% of their portfolio PROVIDENCE, RI 330,399330.4k $5.7m $5.7m 1.53% Added +3.3k +3,297
70 GeoWealth Management, LLC 0.22% of their portfolio CHICAGO, IL 327,790327.8k $5.7m $5.7m 0.22% New
71 Gladstone Institutional Advisory LLC 0.31% of their portfolio Bedminster, NJ 325,347325.3k $5.6m $5.6m 0.31% Reduced -32.8k -32,813
72 NewEdge Advisors, LLC 0.05% of their portfolio NEW ORLEANS, LA 321,081321.1k $5.6m $5.6m 0.05% Added +1.7k +1,676
73 Equitable Holdings, Inc. 0.06% of their portfolio NEW YORK, NY 296,735296.7k $5.1m $5.1m 0.06% Reduced -21.8k -21,828
74 Twelve Points Wealth Management LLC 1.85% of their portfolio CONCORD, MA 292,151292.2k $5.1m $5.1m 1.85% New
75 Choice Wealth Advisors LLC 3.03% of their portfolio WATERVILLE, ME 288,588288.6k $5.0m $5.0m 3.03% Reduced -628 -628
76 TWIN PEAKS WEALTH ADVISORS, LLC 2.77% of their portfolio SAN FRANCISCO, CA 287,804287.8k $5.0m $5.0m 2.77% Added +6.2k +6,152
77 Sigma Planning Corp 0.16% of their portfolio ANN ARBOR, MI 286,331286.3k $5.0m $5.0m 0.16% Added +162.4k +162,428
78 Marion Wealth Management 1.48% of their portfolio MONROEVILLE, PA 286,105286.1k $5.0m $5.0m 1.48% Added +7.1k +7,059
79 Family Legacy, Inc. 1.75% of their portfolio GREENVILLE, SC 280,276280.3k $4.9m $4.9m 1.75% Reduced -995 -995
80 Western Wealth Management, LLC 0.38% of their portfolio GOLDEN, CO 278,774278.8k $4.8m $4.8m 0.38% Added +2.1k +2,139
81 Sound Income Strategies, LLC 0.35% of their portfolio FT LAUDERDALE, FL 271,043271.0k $4.7m $4.7m 0.35% Added +25.7k +25,710
82 First Heartland Consultants, Inc. 0.49% of their portfolio LAKE ST. LOUIS, MO 269,916269.9k $4.7m $4.7m 0.49% Added +46.0k +46,043
83 Valmark Advisers, Inc. 0.08% of their portfolio AKRON, OH 262,333262.3k $4.5m $4.5m 0.08% Added +25.3k +25,289
84 Concurrent Investment Advisors, LLC 0.18% of their portfolio Tampa, FL 262,331262.3k $4.5m $4.5m 0.18% Added +74.0k +74,009
85 Mid-American Wealth Advisory Group, Inc. 3.06% of their portfolio KANSAS CITY, MO 261,553261.6k $4.5m $4.5m 3.06% Added +17.4k +17,382
86 Midwest Heritage Bank, FSB 2.33% of their portfolio WEST DES MOINES, IA 256,077256.1k $4.4m $4.4m 2.33% Added +38.7k +38,690
87 Atlas Private Wealth Management, LLC 1.86% of their portfolio ALBANY, NY 255,143255.1k $4.4m $4.4m 1.86% Added +3.1k +3,083
88 Traction Financial Partners, LLC 3.40% of their portfolio LITTLETON, CO 253,108253.1k $4.4m $4.4m 3.40% Added +16.5k +16,496
89 Verition Fund Management LLC 0.04% of their portfolio GREENWICH, CT 250,000250.0k $4.3m $4.3m 0.04% Added +220.0k +220,000
90 HOWARD FINANCIAL SERVICES, LTD. 0.74% of their portfolio DALLAS, TX 247,965248.0k $4.3m $4.3m 0.74% Added +51.1k +51,091
91 Aveo Capital Partners, LLC 0.43% of their portfolio ENGLEWOOD, CO 229,423229.4k $4.0m $4.0m 0.43% New
92 CAPTRUST FINANCIAL ADVISORS 0.01% of their portfolio RALEIGH, NC 222,832222.8k $3.9m $3.9m 0.01% Reduced -87.0k -86,994
93 D.A. DAVIDSON & CO. 0.03% of their portfolio GREAT FALLS, MT 221,299221.3k $3.8m $3.8m 0.03% Added +20.9k +20,867
94 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 220,668220.7k $3.8m $3.8m 0.00% Reduced -780.3k -780,298
95 Advisory Alpha, LLC 0.16% of their portfolio HOLLAND, MI 220,533220.5k $3.8m $3.8m 0.16% Reduced -5.1k -5,136
96 TRUSTMARK BANK TRUST DEPARTMENT 0.31% of their portfolio JACKSON, MS 216,232216.2k $3.7m $3.7m 0.31% Reduced -45.3k -45,324
97 Aspen Investment Management Inc 1.89% of their portfolio GRAND RAPIDS, MI 214,872214.9k $3.7m $3.7m 1.89% Added +1.3k +1,319
98 GILL CAPITAL PARTNERS, LLC 1.40% of their portfolio DENVER, CO 204,056204.1k $3.5m $3.5m 1.40% Reduced -15.7k -15,682
99 IMA Advisory Services, Inc. 1.66% of their portfolio DENVER, CO 202,563202.6k $3.5m $3.5m 1.66% Reduced -5.2k -5,218
100 Allworth Financial LP 0.02% of their portfolio FOLSOM, CA 200,668200.7k $3.5m $3.5m 0.02% Added +164.5k +164,530