Vault-13

FIRST TR EXCH TRADED FD III FPEI

INSTL PFD SECS · ETP · CUSIP 33739P855

143 institutional holders +7 vs Q4 2022
39,987,87840.0m shares reported held*
$671.0mreported value*
23 new 67 added 40 reduced 14 sold out net bought ≈ $65.4m (+3.9m 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. Holder counts are more reliable. Implied quarter-end price ≈ $16.78.

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 110Q4 22: 136Q1 23: 143143Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022110
Q4 2022136
Q1 2023143

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 86 bought or addedQ4 22: 49 cut or sold outQ4 22Q1 23: 90 bought or addedQ1 23: 54 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 20228649
Q1 20239054

Calls vs puts

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

CallsPuts
$0$500k$1m$1.5m$2mQ3 22 calls: $1.6mQ3 22 puts: $0Q3 22P/C 0.00Q4 22 calls: $1.9mQ4 22 puts: $0Q4 22P/C 0.00Q1 23 calls: $0Q1 23 puts: $0Q1 23P/C —
Numbers
QuarterCallsPutsP/C
Q3 2022$1.6m$00.00
Q4 2022$1.9m$00.00
Q1 2023$0$0—

Biggest buyers

Citizens Business Bank Added +1,072,781+1.1m
LPL Financial LLC Added +823,384+823.4k
UBS Group AG Added +690,781+690.8k
Composition Wealth, LLC Added +387,965+388.0k
JANE STREET GROUP, LLC New +319,571+319.6k
Raymond James Financial Services Advisors, Inc. Added +307,559+307.6k
COMMONWEALTH EQUITY SERVICES, LLC Added +199,762+199.8k
Marshall Financial Group, LLC Added +199,702+199.7k
HBK Sorce Advisory LLC New +179,345+179.3k
Csenge Advisory Group Added +166,259+166.3k

Biggest sellers

Synergy Asset Management, LLC Sold out -526,357-526.4k
Clearwater Capital Advisors, LLC Reduced -322,964-323.0k
Avidian Wealth Enterprises, LLC Reduced -319,907-319.9k
MILESTONE ASSET MANAGEMENT, LLC Sold out -261,383-261.4k
STONEBRIDGE ADVISORS LLC Sold out -149,681-149.7k
RAYMOND JAMES & ASSOCIATES Reduced -75,245-75.2k
HARBOUR INVESTMENTS, INC. Reduced -66,394-66.4k
PETERSON WEALTH MANAGEMENT Reduced -60,054-60.1k
IFP Advisors, Inc Reduced -52,998-53.0k
SAXON INTERESTS, INC. Reduced -41,761-41.8k

Holders, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.02% of their portfolio NEW YORK, NY 9,742,5669.7m $163.2m $163.2m 0.02% Added +100.6k +100,579
2 UBS Group AG 0.03% of their portfolio ZURICH, V8 3,650,5603.7m $61.1m $61.1m 0.03% Added +690.8k +690,781
3 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 2,749,3782.7m $46.1m $46.1m 0.01% Added +8.3k +8,286
4 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 2,350,9792.4m $39.4m $39.4m 0.00% Added +159.8k +159,827
5 SMITH CHAS P & ASSOCIATES PA CPAS 2.40% of their portfolio LAKELAND, FL 2,109,0712.1m $35.3m $35.3m 2.40% Added +94.6k +94,636
6 LPL Financial LLC 0.03% of their portfolio FORT MILL, SC 1,942,3561.9m $32.5m $32.5m 0.03% Added +823.4k +823,384
7 Composition Wealth, LLC 0.82% of their portfolio LOS ANGELES, CA 1,520,0081.5m $25.5m $25.5m 0.82% Added +388.0k +387,965
8 Citizens Business Bank 4.23% of their portfolio ONTARIO, CA 1,097,6191.1m $18.4m $18.4m 4.23% Added +1.1m +1,072,781
9 Raymond James Financial Services Advisors, Inc. 0.03% of their portfolio ST. PETERSBURG, FL 1,056,9861.1m $17.7m $17.7m 0.03% Added +307.6k +307,559
10 Essex LLC 4.87% of their portfolio DEER PARK, IL 904,075904.1k $16.1m $16.1m 4.87% Unchanged
11 Csenge Advisory Group 1.08% of their portfolio CLEARWATER, FL 892,271892.3k $14.9m $14.9m 1.08% Added +166.3k +166,259
12 BEACON FINANCIAL GROUP 1.61% of their portfolio DALLAS, TX 684,654684.7k $11.5m $11.5m 1.61% Reduced -20.5k -20,526
13 ADAMSBROWN WEALTH CONSULTANTS LLC 5.28% of their portfolio WICHITA, KS 547,395547.4k $9.2m $9.2m 5.28% Added +9.7k +9,715
14 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 541,954542.0k $9.1m $9.1m 0.01% Reduced -75.2k -75,245
15 Elevated Capital Advisors, LLC 2.87% of their portfolio SANDY, UT 477,830477.8k $8.0m $8.0m 2.87% Added +15.6k +15,646
16 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 466,120466.1k $7.8m $7.8m 0.01% Reduced -972 -972
17 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 416,034416.0k $7.0m $7.0m 0.00% Reduced -27.6k -27,616
18 Cherry Creek Investment Advisors, Inc. 4.64% of their portfolio ENGLEWOOD, CO 378,029378.0k $6.3m $6.3m 4.64% Added +1.2k +1,205
19 Magnus Financial Group LLC 0.90% of their portfolio NEW YORK, NY 351,231351.2k $5.9m $5.9m 0.90% Added +31.3k +31,272
20 JANE STREET GROUP, LLC 0.01% of their portfolio NEW YORK, NY 319,571319.6k $5.4m $5.4m 0.01% New
21 SHELTON WEALTH MANAGEMENT, LLC 4.10% of their portfolio FORT WORTH, TX 301,428301.4k $5.0m $5.0m 4.10% Added +7.5k +7,489
22 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 286,283286.3k $4.8m $4.8m 0.01% Added +59.7k +59,681
23 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 282,286282.3k $4.7m $4.7m 0.01% Reduced -20.7k -20,654
24 FIRST TRUST ADVISORS LP 0.01% of their portfolio Wheaton, IL 265,072265.1k $4.4m $4.4m 0.01% Added +34.7k +34,695
25 Snowden Capital Advisors LLC 0.17% of their portfolio New York, NY 254,938254.9k $4.3m $4.3m 0.17% Added +16.2k +16,192
26 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 253,938253.9k $4.3m $4.3m 0.02% Added +153.6k +153,568
27 PETERSON WEALTH MANAGEMENT 3.92% of their portfolio SPARKS, NV 244,757244.8k $4.1m $4.1m 3.92% Reduced -60.1k -60,054
28 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 240,435240.4k $4.0m $4.0m 0.01% Added +199.8k +199,762
29 Clearwater Capital Advisors, LLC 0.49% of their portfolio HOFFMAN ESTATES, IL 237,846237.8k $4.0m $4.0m 0.49% Reduced -323.0k -322,964
30 Phocas Financial Corp. 0.52% of their portfolio ALAMEDA, CA 217,045217.0k $3.6m $3.6m 0.52% Reduced -30.6k -30,596
31 Marshall Financial Group, LLC 1.28% of their portfolio Hunt Valley, MD 212,382212.4k $3.6m $3.6m 1.28% Added +199.7k +199,702
32 Welch & Forbes LLC 0.05% of their portfolio Boston, MA 190,624190.6k $3.2m $3.2m 0.05% Added +4.2k +4,155
33 HBK Sorce Advisory LLC 0.14% of their portfolio ERIE, PA 179,345179.3k $3.0m $3.0m 0.14% New
34 Founders Financial Alliance, LLC 1.49% of their portfolio RALEIGH, NC 178,415178.4k $3.0m $3.0m 1.49% Added +3.7k +3,676
35 1776 Wealth LLC 1.64% of their portfolio ATLANTA, GA 163,363163.4k $2.7m $2.7m 1.64% Added +14.0k +14,020
36 MML INVESTORS SERVICES, LLC 0.02% of their portfolio SPRINGFIELD, MA 155,310155.3k $2.6m $2.6m 0.02% Added +86.3k +86,331
37 QP WEALTH MANAGEMENT, LLC 4.15% of their portfolio BOCA RATON, FL 151,303151.3k $2.5m $2.5m 4.15% Added +9.7k +9,717
38 Platform Technology Partners 1.13% of their portfolio NEW YORK, NY 137,051137.1k $2.3m $2.3m 1.13% Reduced -18.3k -18,280
39 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 126,937126.9k $2.1m $2.1m 0.00% Reduced -3.3k -3,292
40 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 122,391122.4k $2.1m $2.1m 0.01% Added +3.4k +3,425
41 Walker Asset Management, LLC 1.77% of their portfolio SPRINGFIELD, MO 121,736121.7k $2.0m $2.0m 1.77% Reduced -7.5k -7,500
42 SUTTON PLACE INVESTORS LLC 2.61% of their portfolio ARMONK, NY 114,656114.7k $1.9m $1.9m 2.61% Added +3.5k +3,476
43 United Capital Management of KS, Inc. 0.71% of their portfolio SALINA, KS 114,111114.1k $1.9m $1.9m 0.71% Added +522 +522
44 Paladin Advisory Group, LLC 1.56% of their portfolio CLIVE, IA 112,313112.3k $1.9m $1.9m 1.56% New
45 Janney Montgomery Scott LLC 0.01% of their portfolio PHILADELPHIA, PA 110,255110.3k $1.8m $1.8m 0.01% Added +30.7k +30,722
46 D.A. DAVIDSON & CO. 0.02% of their portfolio GREAT FALLS, MT 101,458101.5k $1.7m $1.7m 0.02% New
47 VISTA INVESTMENT MANAGEMENT 0.89% of their portfolio PITTSBURGH, PA 100,574100.6k $1.7m $1.7m 0.89% Added +8.6k +8,606
48 Arkadios Wealth Advisors 0.20% of their portfolio ATLANTA, GA 97,98998.0k $1.6m $1.6m 0.20% Added +33.1k +33,143
49 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 96,32896.3k $1.6m $1.6m 0.02% Added +71.1k +71,143
50 ICA Group Wealth Management, LLC 0.38% of their portfolio DENVER, CO 94,07094.1k $1.6m $1.6m 0.38% Added +10.9k +10,867
51 Princeton Global Asset Management LLC 0.45% of their portfolio PRINCETON, NJ 93,99194.0k $1.6m $1.6m 0.45% Added +521 +521
52 Key Financial Inc 0.56% of their portfolio WEST CHESTER, PA 91,98592.0k $1.5m $1.5m 0.56% New
53 Sigma Planning Corp 0.05% of their portfolio ANN ARBOR, MI 84,62084.6k $1.4m $1.4m 0.05% New
54 AVANTAX ADVISORY SERVICES, INC. 0.02% of their portfolio DALLAS, TX 78,10178.1k $1.3m $1.3m 0.02% Added +10.8k +10,791
55 HARBOUR INVESTMENTS, INC. 0.07% of their portfolio MADISON, WI 71,39871.4k $1.2m $1.2m 0.07% Reduced -66.4k -66,394
56 Gladstone Institutional Advisory LLC 0.08% of their portfolio Bedminster, NJ 71,02771.0k $1.2m $1.2m 0.08% Reduced -5.5k -5,526
57 American Institute for Advanced Investment Management, LLP 1.16% of their portfolio Scottsdale, AZ 66,61666.6k $1.1m $1.1m 1.16% Reduced -28.6k -28,612
58 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 66,55466.6k $1.1m $1.1m 0.01% Added +8.8k +8,840
59 Financial Advocates Investment Management 0.08% of their portfolio OLYMPIA, WA 64,16864.2k $1.1m $1.1m 0.08% New
60 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.05% of their portfolio Seattle, WA 63,53063.5k $1.1m $1.1m 0.05% Added +4.5k +4,510
61 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 61,77961.8k $1.0m $1.0m 0.01% Added +4.3k +4,291
62 BENJAMIN F. EDWARDS & COMPANY, INC. 0.04% of their portfolio ST. LOUIS, MO 61,55461.6k $1.0m $1.0m 0.04% Added +23.6k +23,618
63 RiverTree Advisors, LLC 0.70% of their portfolio WINTER PARK, FL 58,15258.2k $974.0k $974.0k 0.70% New
64 Soltis Investment Advisors LLC 0.11% of their portfolio ST. GEORGE, UT 53,43353.4k $852.8k $852.8k 0.11% Reduced -3.5k -3,452
65 TRUSTMARK BANK TRUST DEPARTMENT 0.08% of their portfolio JACKSON, MS 49,47249.5k $828.7k $828.7k 0.08% Added +9.0k +8,972
66 Tradition Wealth Management, LLC 0.10% of their portfolio EDINA, MN 49,20249.2k $824.0k $824.0k 0.10% Reduced -1.8k -1,847
67 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.08% of their portfolio CEDAR RAPIDS, IA 47,10047.1k $788.9k $788.9k 0.08% Added +13.0k +12,975
68 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 45,16945.2k $756.6k $756.6k 0.01% Reduced -4.3k -4,286
69 WEDBUSH SECURITIES INC 0.04% of their portfolio PASADENA, CA 45,06145.1k $755.0k $755.0k 0.04% New
70 Prospera Financial Services Inc 0.03% of their portfolio Dallas, TX 44,33344.3k $742.6k $742.6k 0.03% Added +1.9k +1,926
71 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 43,62643.6k $730.7k $730.7k 0.02% Reduced -40.5k -40,529
72 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 42,93442.9k $719.1k $719.1k 0.02% Added +9 +9
73 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 42,70442.7k $715.3k $715.3k 0.01% Added +7.8k +7,761
74 Ashton Thomas Private Wealth, LLC 0.06% of their portfolio SCOTTSDALE, AZ 42,51642.5k $712.1k $712.1k 0.06% Added +6.3k +6,259
75 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 42,09742.1k $705.0k $705.0k 0.00% Added +3.5k +3,537
76 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 39,28339.3k $658.0k $658.0k 0.00% Added +10.6k +10,581
77 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 38,32938.3k $642.0k $642.0k 0.01% Added +38.1k +38,058
78 IFP Advisors, Inc 0.03% of their portfolio TAMPA, FL 38,24338.2k $733.1k $733.1k 0.03% Reduced -53.0k -52,998
79 RFG Advisory, LLC 0.03% of their portfolio BIRMINGHAM, AL 34,93134.9k $585.1k $585.1k 0.03% Added +3.6k +3,595
80 Forum Private Client Group LLC 0.35% of their portfolio FISHERS, IN 33,45133.5k $560.3k $560.3k 0.35% Added +451 +451
81 Clarus Wealth Advisors 0.35% of their portfolio PEORIA, AZ 33,37233.4k $556.6k $556.6k 0.35% New
82 Kovack Advisors, Inc. 0.08% of their portfolio FT. LAUDERDALE, FL 32,90232.9k $551.1k $551.1k 0.08% Reduced -27 -27
83 Family Capital Management, Inc. 0.35% of their portfolio GRAND RAPIDS, MI 30,54830.5k $511.7k $511.7k 0.35% Unchanged
84 Wagner Wealth Management, LLC 0.23% of their portfolio GREENVILLE, SC 30,19430.2k $505.8k $505.8k 0.23% Added +24 +24
85 SlateStone Wealth, LLC 0.10% of their portfolio JUPITER, FL 30,00030.0k $502.0k $502.0k 0.10% New
86 LINCOLN NATIONAL CORP 0.01% of their portfolio RADNOR, PA 29,78429.8k $498.9k $498.9k 0.01% Added +1.6k +1,599
87 StoneX Group Inc. 0.05% of their portfolio NEW YORK, NY 28,73228.7k $481.3k $481.3k 0.05% Reduced -3.5k -3,455
88 AFT, FORSYTH & COMPANY, INC. 0.37% of their portfolio JUPITER, FL 28,58628.6k $478.8k $478.8k 0.37% Added +942 +942
89 GeoWealth Management, LLC 0.06% of their portfolio CHICAGO, IL 28,54328.5k $477.0k $477.0k 0.06% Reduced -17.1k -17,086
90 Family Investment Center, Inc. 0.29% of their portfolio Saint Joseph, MO 24,88024.9k $416.7k $416.7k 0.29% Added +1.3k +1,252
91 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 24,60524.6k $412.1k $412.1k 0.01% Added +4.9k +4,863
92 LFA - Lugano Financial Advisors SA 0.30% of their portfolio LUGANO, V8 24,00024.0k $402.0k $402.0k 0.30% Unchanged
93 Ameritas Advisory Services, LLC 0.02% of their portfolio Lincoln, NE 23,94523.9k $401.1k $401.1k 0.02% Reduced -3.5k -3,478
94 INDEPENDENT FINANCIAL GROUP, LLC 0.03% of their portfolio SAN DIEGO, CA 23,35323.4k $391.2k $391.2k 0.03% Unchanged
95 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 22,81022.8k $382.0k $382.0k 0.00% Added +1.9k +1,901
96 Mutual Advisors, LLC 0.02% of their portfolio OMAHA, NE 22,34922.3k $374.3k $374.3k 0.02% New
97 Wambolt & Associates, LLC 0.13% of their portfolio LITTLETON, CO 21,88921.9k $367.5k $367.5k 0.13% Reduced -1.3k -1,316
98 Key Client Fiduciary Advisors, LLC 0.23% of their portfolio Fairfield, NJ 21,87621.9k $366.4k $366.4k 0.23% Reduced -3.5k -3,450
99 Jaffetilchin Investment Partners, LLC 0.04% of their portfolio TAMPA, FL 21,34621.3k $357.5k $357.5k 0.04% Reduced -6.0k -5,978
100 KESTRA PRIVATE WEALTH SERVICES, LLC 0.01% of their portfolio AUSTIN, TX 21,12721.1k $353.9k $353.9k 0.01% Added +4.4k +4,437