Vault-13

FIRST TR EXCH TRADED FD III FPE

PFD SECS INC ETF · ETP · CUSIP 33739E108

409 institutional holders +3 vs Q1 2024
187,285,855187.3m shares reported held*
$3.2bnreported value*
36 new 145 added 159 reduced 36 sold out net sold ≈ $1.7bn (-96.2m 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 ($1.4m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $17.34. Options: 1 managers hold calls ($0 notional), 3 hold puts ($3.8m).

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 407Q4 22: 427Q1 23: 398Q2 23: 398Q3 23: 389Q4 23: 408Q1 24: 406Q2 24: 409409Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 2022407
Q4 2022427
Q1 2023398
Q2 2023398
Q3 2023389
Q4 2023408
Q1 2024406
Q2 2024409

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 outQ2 23: 175 bought or addedQ2 23: 204 cut or sold outQ2 23Q3 23: 165 bought or addedQ3 23: 207 cut or sold outQ4 23: 158 bought or addedQ4 23: 210 cut or sold outQ4 23Q1 24: 202 bought or addedQ1 24: 182 cut or sold outQ2 24: 181 bought or addedQ2 24: 195 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 2022164236
Q1 2023179210
Q2 2023175204
Q3 2023165207
Q4 2023158210
Q1 2024202182
Q2 2024181195

Calls vs puts

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

CallsPuts
$0$1m$2m$3m$4mQ3 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 10.05Q2 24 calls: $0Q2 24 puts: $3.8mQ2 24P/C —
Numbers
QuarterCallsPutsP/C
Q3 2023$113.4k$00.00
Q4 2023$265.6k$421.5k1.59
Q1 2024$34.6k$348.1k10.05
Q2 2024$0$3.8m—

Biggest buyers

HighTower Advisors, LLC New +2,618,765+2.6m
AFFINITY WEALTH MANAGEMENT LLC New +1,350,801+1.4m
AMERIPRISE FINANCIAL INC Added +466,684+466.7k
Ameritas Investment Partners, Inc. Added +380,318+380.3k
WELLS FARGO & COMPANY/MN Added +374,456+374.5k
LPL Financial LLC Added +362,026+362.0k
Advisory Alpha, LLC Added +331,469+331.5k
Focus Partners Wealth Added +315,719+315.7k
Prospera Financial Services Inc Added +292,713+292.7k
Strategic Financial Concepts, LLC Added +190,646+190.6k

Biggest sellers

MORGAN STANLEY Reduced -95,247,922-95.2m
BANK OF AMERICA CORP /DE/ Reduced -2,039,124-2.0m
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO Reduced -1,216,079-1.2m
ROYAL BANK OF CANADA Reduced -1,000,521-1.0m
RENAISSANCE TECHNOLOGIES LLC Reduced -818,308-818.3k
Advisor OS, LLC Reduced -476,542-476.5k
Gradient Investments LLC Reduced -452,661-452.7k
Composition Wealth, LLC Reduced -443,116-443.1k
JPMORGAN CHASE & CO Reduced -408,740-408.7k
OSAIC HOLDINGS, INC. Reduced -384,625-384.6k

Biggest calls

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

IMA Advisory Services, Inc. New $3.7m210.7k shares
CSS LLC/IL Reduced $173.6k10.0k 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, Q2 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.06% of their portfolio NEW YORK, NY 47,141,55547.1m $818.4m $818.4m 0.06% Reduced -95.2m -95,247,922
2 ROYAL BANK OF CANADA 0.07% of their portfolio TORONTO, A6 16,414,66816.4m $285.0m $285.0m 0.07% Reduced -1.0m -1,000,521
3 WELLS FARGO & COMPANY/MN 0.05% of their portfolio SAN FRANCISCO, CA 11,668,55811.7m $202.6m $202.6m 0.05% Added +374.5k +374,456
4 LPL Financial LLC 0.09% of their portfolio FORT MILL, SC 10,841,60710.8m $188.2m $188.2m 0.09% Added +362.0k +362,026
5 UBS Group AG 0.06% of their portfolio ZURICH, V8 10,719,58010.7m $186.1m $186.1m 0.06% Added +98.7k +98,674
6 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 5,637,4495.6m $97.9m $97.9m 0.01% Reduced -2.0m -2,039,124
7 Raymond James Financial Services Advisors, Inc. 0.14% of their portfolio ST. PETERSBURG, FL 5,552,4585.6m $96.4m $96.4m 0.14% Added +158.0k +157,982
8 RAYMOND JAMES & ASSOCIATES 0.04% of their portfolio ST PETERSBURG, FL 3,307,4793.3m $57.4m $57.4m 0.04% Reduced -27.0k -26,969
9 PARK NATIONAL CORP /OH/ 2.04% of their portfolio NEWARK, OH 3,184,3243.2m $55.3m $55.3m 2.04% Reduced -78.4k -78,387
10 HighTower Advisors, LLC 0.07% of their portfolio CHICAGO, IL 2,618,7652.6m $45.5m $45.5m 0.07% New
11 Kestra Advisory Services, LLC 0.22% of their portfolio AUSTIN, TX 2,239,2622.2m $38.9m $38.9m 0.22% Added +104.8k +104,833
12 Rockefeller Capital Management L.P. 0.09% of their portfolio NEW YORK, NY 1,818,4421.8m $31.6m $31.6m 0.09% Added +91.9k +91,903
13 STIFEL FINANCIAL CORP 0.03% of their portfolio ST. LOUIS, MO 1,715,3261.7m $29.8m $29.8m 0.03% Reduced -91.1k -91,112
14 Janney Montgomery Scott LLC 0.09% of their portfolio PHILADELPHIA, PA 1,670,0191.7m $29.0m $29.0m 0.09% Reduced -121.8k -121,781
15 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 1,656,7471.7m $28.8m $28.8m 0.01% Reduced -6.1k -6,119
16 OSAIC HOLDINGS, INC. 0.06% of their portfolio SCOTTSDALE, AZ 1,563,4621.6m $27.1m $27.1m 0.06% Reduced -384.6k -384,625
17 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 1,529,9321.5m $26.6m $26.6m 0.00% Reduced -408.7k -408,740
18 Ocean Park Asset Management, LLC 1.23% of their portfolio SANTA MONICA, CA 1,495,1281.5m $26.0m $26.0m 1.23% Unchanged
19 Arax Advisory Partners 2.49% of their portfolio NEW YORK, NY 1,472,0691.5m $25.6m $25.6m 2.49% Added +36.4k +36,424
20 COMMONWEALTH EQUITY SERVICES, LLC 0.04% of their portfolio WALTHAM, MA 1,463,4901.5m $25.4m $25.4m 0.04% Added +167.6k +167,605
21 Prospera Financial Services Inc 0.68% of their portfolio Dallas, TX 1,401,3201.4m $24.3m $24.3m 0.68% Added +292.7k +292,713
22 Magnus Financial Group LLC 2.71% of their portfolio NEW YORK, NY 1,390,0521.4m $24.1m $24.1m 2.71% Reduced -1.2k -1,170
23 COUNTRY TRUST BANK 0.61% of their portfolio Bloomington, IL 1,384,0641.4m $24.0m $24.0m 0.61% Reduced -219 -219
24 Baird Financial Group, Inc. 0.05% of their portfolio MILWAUKEE, WI 1,351,5291.4m $23.5m $23.5m 0.05% Reduced -14.7k -14,670
25 AFFINITY WEALTH MANAGEMENT LLC 4.28% of their portfolio WILMINGTON, DE 1,350,8011.4m $23.4m $23.4m 4.28% New
26 Cambridge Investment Research Advisors, Inc. 0.08% of their portfolio FAIRFIELD, IA 1,306,3421.3m $22.7m $22.7m 0.08% Added +38.1k +38,096
27 Cetera Investment Advisers 0.05% of their portfolio SCHAUMBURG, IL 1,142,9931.1m $19.8m $19.8m 0.05% Added +1.0k +1,027
28 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.56% of their portfolio Seattle, WA 1,070,7651.1m $18.6m $18.6m 0.56% Added +13.6k +13,646
29 Trinity Legacy Partners, LLC 4.80% of their portfolio HOUSTON, TX 972,141972.1k $16.9m $16.9m 4.80% Added +22.1k +22,076
30 TRUIST FINANCIAL CORP 0.03% of their portfolio CHARLOTTE, NC 958,646958.6k $16.6m $16.6m 0.03% Reduced -29.4k -29,363
31 HCR Wealth Advisors 2.17% of their portfolio LOS ANGELES, CA 875,105875.1k $15.2m $15.2m 2.17% Reduced -6.5k -6,481
32 RENAISSANCE TECHNOLOGIES LLC 0.02% of their portfolio NEW YORK, NY 741,500741.5k $12.9m $12.9m 0.02% Reduced -818.3k -818,308
33 Transform Wealth, LLC 0.94% of their portfolio GREENWOOD VILLAGE, CO 720,200720.2k $12.5m $12.5m 0.94% Added +55.1k +55,068
34 MML INVESTORS SERVICES, LLC 0.05% of their portfolio SPRINGFIELD, MA 692,943692.9k $12.0m $12.0m 0.05% Reduced -36.1k -36,127
35 Avidian Wealth Enterprises, LLC 0.57% of their portfolio Houston, TX 675,441675.4k $11.7m $11.7m 0.57% Reduced -21.5k -21,465
36 Waverly Advisors, LLC 0.23% of their portfolio BIRMINGHAM, AL 661,491661.5k $11.5m $11.5m 0.23% Reduced -8.8k -8,812
37 Wealthspire Retirement, LLC 0.93% of their portfolio ALISO VIEJO, CA 637,545637.5k $11.1m $11.1m 0.93% Added +33.8k +33,784
38 BARINGS LLC 0.27% of their portfolio CHARLOTTE, NC 633,195633.2k $11.0m $11.0m 0.27% Unchanged
39 CITIGROUP INC 0.01% of their portfolio NEW YORK, NY 586,237586.2k $10.2m $10.2m 0.01% Added +129.4k +129,437
40 KESTRA PRIVATE WEALTH SERVICES, LLC 0.19% of their portfolio AUSTIN, TX 554,472554.5k $9.6m $9.6m 0.19% Added +48.8k +48,773
41 Csenge Advisory Group 0.54% of their portfolio CLEARWATER, FL 552,886552.9k $9.6m $9.6m 0.54% Added +18.1k +18,106
42 Advisory Alpha, LLC 0.38% of their portfolio HOLLAND, MI 552,002552.0k $9.6m $9.6m 0.38% Added +331.5k +331,469
43 Eldridge Investment Advisors, Inc. 2.40% of their portfolio MANCHESTER, NH 548,699548.7k $9.5m $9.5m 2.40% Added +25.6k +25,598
44 Stratos Wealth Partners, LTD. 0.15% of their portfolio BEACHWOOD, OH 537,717537.7k $9.3m $9.3m 0.15% Reduced -42.7k -42,735
45 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.02% of their portfolio PLYMOUTH, MN 530,951531.0k $9.2m $9.2m 0.02% Reduced -112.6k -112,560
46 Triumph Capital Management 3.31% of their portfolio DENVER, CO 488,579488.6k $8.5m $8.5m 3.31% Reduced -1.4k -1,425
47 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 488,342488.3k $8.5m $8.5m 0.00% Added +466.7k +466,684
48 Mariner, LLC 0.02% of their portfolio Overland Park, KS 471,397471.4k $8.2m $8.2m 0.02% Added +59.4k +59,423
49 MGO ONE SEVEN LLC 0.37% of their portfolio Beachwood, OH 453,271453.3k $7.9m $7.9m 0.37% Added +43.3k +43,343
50 Private Advisor Group, LLC 0.05% of their portfolio MORRISTOWN, NJ 438,986439.0k $7.6m $7.6m 0.05% Reduced -85.5k -85,547
51 COMERICA BANK 0.03% of their portfolio DALLAS, TX 438,048438.0k $7.6m $7.6m 0.03% Added +15.9k +15,889
52 ORBA Wealth Advisors, L.L.C. 3.85% of their portfolio CHICAGO, IL 428,400428.4k $7.4m $7.4m 3.85% Added +26.2k +26,158
53 Quad-Cities Investment Group, LLC 4.09% of their portfolio DAVENPORT, IA 425,897425.9k $7.4m $7.4m 4.09% Added +15.1k +15,119
54 Concurrent Investment Advisors, LLC 0.24% of their portfolio Tampa, FL 424,838424.8k $7.4m $7.4m 0.24% Added +162.5k +162,507
55 Ameritas Investment Partners, Inc. 0.24% of their portfolio LINCOLN, NE 410,145410.1k $7.1m $7.1m 0.24% Added +380.3k +380,318
56 OPPENHEIMER & CO INC 0.11% of their portfolio NEW YORK, NY 399,630399.6k $6.9m $6.9m 0.11% Added +33.4k +33,383
57 AVANTAX ADVISORY SERVICES, INC. 0.05% of their portfolio DALLAS, TX 398,597398.6k $6.9m $6.9m 0.05% Added +67.5k +67,455
58 Regal Investment Advisors LLC 0.45% of their portfolio KENTWOOD, MI 390,156390.2k $6.8m $6.8m 0.45% Reduced -4.8k -4,757
59 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 386,541386.5k $6.7m $6.7m 0.01% Reduced -1.2m -1,216,079
60 Financial Enhancement Group LLC 1.06% of their portfolio ANDERSON, IN 373,748373.7k $6.6m $6.6m 1.06% Added +2.6k +2,571
61 Chicago Partners Investment Group LLC 0.25% of their portfolio CHICAGO, IL 366,854366.9k $6.4m $6.4m 0.25% Added +13.6k +13,608
62 HARBOUR INVESTMENTS, INC. 0.21% of their portfolio MADISON, WI 363,852363.9k $6.3m $6.3m 0.21% Reduced -6.4k -6,384
63 Twelve Points Wealth Management LLC 2.20% of their portfolio CONCORD, MA 360,710360.7k $6.3m $6.3m 2.20% Added +68.6k +68,559
64 Synergy Asset Management, LLC 0.97% of their portfolio VANCOUVER, WA 357,880357.9k $6.2m $6.2m 0.97% Reduced -67.0k -66,980
65 HOWARD FINANCIAL SERVICES, LTD. 1.00% of their portfolio DALLAS, TX 352,511352.5k $6.1m $6.1m 1.00% Added +104.5k +104,546
66 Kinloch Capital, LLC 3.18% of their portfolio GLEN ALLEN, VA 351,802351.8k $6.1m $6.1m 3.18% Added +6.4k +6,381
67 WINTRUST INVESTMENTS LLC 0.53% of their portfolio CHICAGO, IL 347,658347.7k $6.0m $6.0m 0.53% Reduced -9.1k -9,087
68 PFS Partners, LLC 3.76% of their portfolio MINE HILL, NJ 343,428343.4k $6.0m $6.0m 3.76% Added +3.2k +3,240
69 Glassy Mountain Advisors, Inc. 2.21% of their portfolio BETHESDA, MD 343,161343.2k $6.0m $6.0m 2.21% Reduced -2.1k -2,080
70 Archer Investment Corp 1.71% of their portfolio Carmel, IN 336,898336.9k $5.8m $5.8m 1.71% Reduced -8.7k -8,714
71 Glass Jacobson Investment Advisors llc 2.10% of their portfolio OWINGS MILLS, MD 332,668332.7k $5.8m $5.8m 2.10% Added +196 +196
72 Elevation Capital Advisory, LLC 2.62% of their portfolio BEND, OR 331,241331.2k $5.8m $5.8m 2.62% First filing
73 Gradient Investments LLC 0.13% of their portfolio ARDEN HILLS, MN 330,893330.9k $5.7m $5.7m 0.13% Reduced -452.7k -452,661
74 Gladstone Institutional Advisory LLC 0.30% of their portfolio Bedminster, NJ 329,945329.9k $5.7m $5.7m 0.30% Added +4.6k +4,598
75 Focus Partners Wealth 0.02% of their portfolio ST LOUIS, MO 326,096326.1k $5.7m $5.7m 0.02% Added +315.7k +315,719
76 FLAGSTAR SECURITIES, INC 1.55% of their portfolio New York, NY 325,813325.8k $5.7m $5.7m 1.55% Reduced -6.8k -6,814
77 Sigma Planning Corp 0.18% of their portfolio ANN ARBOR, MI 325,397325.4k $5.6m $5.6m 0.18% Added +39.1k +39,066
78 Newman Dignan & Sheerar, Inc. 1.45% of their portfolio PROVIDENCE, RI 324,913324.9k $5.6m $5.6m 1.45% Reduced -5.5k -5,486
79 TWIN PEAKS WEALTH ADVISORS, LLC 2.75% of their portfolio SAN FRANCISCO, CA 316,961317.0k $5.5m $5.5m 2.75% Added +29.2k +29,157
80 Sanctuary Advisors, LLC 0.04% of their portfolio INDIANAPOLIS, IN 309,285309.3k $5.3m $5.3m 0.04% First filing
81 Western Wealth Management, LLC 0.39% of their portfolio GOLDEN, CO 306,574306.6k $5.3m $5.3m 0.39% Added +27.8k +27,800
82 Equitable Holdings, Inc. 0.06% of their portfolio NEW YORK, NY 305,707305.7k $5.3m $5.3m 0.06% Added +9.0k +8,972
83 Strategic Financial Concepts, LLC 0.85% of their portfolio SAN ANTONIO, TX 301,338301.3k $1.5m $1.5m 0.85% Added +190.6k +190,646
84 Choice Wealth Advisors LLC 2.73% of their portfolio WATERVILLE, ME 296,720296.7k $5.2m $5.2m 2.73% Added +8.1k +8,132
85 Marion Wealth Management 1.51% of their portfolio MONROEVILLE, PA 295,265295.3k $5.1m $5.1m 1.51% Added +9.2k +9,160
86 Sound Income Strategies, LLC 0.31% of their portfolio FT LAUDERDALE, FL 285,750285.8k $5.0m $5.0m 0.31% Added +14.7k +14,707
87 Family Legacy, Inc. 1.74% of their portfolio GREENVILLE, SC 279,566279.6k $4.9m $4.9m 1.74% Reduced -710 -710
88 Traction Financial Partners, LLC 3.59% of their portfolio LITTLETON, CO 278,441278.4k $4.9m $4.9m 3.59% Added +25.3k +25,333
89 Midwest Heritage Bank, FSB 2.41% of their portfolio WEST DES MOINES, IA 274,222274.2k $4.8m $4.8m 2.41% Added +18.1k +18,145
90 Schonfeld Strategic Advisors LLC 0.04% of their portfolio NEW YORK, NY 265,103265.1k $4.6m $4.6m 0.04% Added +161.8k +161,846
91 Valmark Advisers, Inc. 0.08% of their portfolio AKRON, OH 261,630261.6k $4.5m $4.5m 0.08% Reduced -703 -703
92 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 257,068257.1k $4.5m $4.5m 0.00% Added +106.4k +106,378
93 NewEdge Advisors, LLC 0.03% of their portfolio NEW ORLEANS, LA 251,632251.6k $4.4m $4.4m 0.03% Reduced -69.4k -69,449
94 Mid-American Wealth Advisory Group, Inc. 2.73% of their portfolio KANSAS CITY, MO 246,622246.6k $4.3m $4.3m 2.73% Reduced -14.9k -14,931
95 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 245,835245.8k $4.3m $4.3m 0.00% Added +25.2k +25,167
96 Ironwood Investment Counsel, LLC 0.75% of their portfolio SCOTTSDALE, AZ 242,249242.2k $4.2m $4.2m 0.75% Reduced -258.4k -258,420
97 D.A. DAVIDSON & CO. 0.04% of their portfolio GREAT FALLS, MT 231,837231.8k $4.0m $4.0m 0.04% Added +10.5k +10,538
98 STONEBRIDGE ADVISORS LLC 2.59% of their portfolio WILTON, CT 228,435228.4k $4.0m $4.0m 2.59% Added +45.9k +45,880
99 Aspen Investment Management Inc 1.88% of their portfolio GRAND RAPIDS, MI 216,683216.7k $3.8m $3.8m 1.88% Added +1.8k +1,811
100 Allworth Financial LP 0.02% of their portfolio FOLSOM, CA 205,583205.6k $3.6m $3.6m 0.02% Added +4.9k +4,915