Vault-13

FIRST TR EXCH TRADED FD III FPEI

INSTL PFD SECS · ETP · CUSIP 33739P855

138 institutional holders -5 vs Q1 2023
42,046,20542.0m shares reported held*
$709.2mreported value*
14 new 57 added 56 reduced 21 sold out net bought ≈ $31.3m (+1.8m 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 ($187.0k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $16.87.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 110Q4 22: 136Q1 23: 143Q2 23: 138138Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022110
Q4 2022136
Q1 2023143
Q2 2023138

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 23Q2 23: 71 bought or addedQ2 23: 77 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20228649
Q1 20239054
Q2 20237177

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 —Q2 23 calls: $0Q2 23 puts: $0Q2 23P/C —
Numbers
QuarterCallsPutsP/C
Q3 2022$1.6m$00.00
Q4 2022$1.9m$00.00
Q1 2023$0$0—
Q2 2023$0$0—

Biggest buyers

JANE STREET GROUP, LLC Added +1,257,025+1.3m
UBS Group AG Added +1,155,904+1.2m
ROYAL BANK OF CANADA Added +743,163+743.2k
BANK OF MONTREAL /CAN/ New +471,326+471.3k
Janney Montgomery Scott LLC Added +440,657+440.7k
Baird Financial Group, Inc. New +382,050+382.1k
RENAISSANCE TECHNOLOGIES LLC New +207,495+207.5k
Key Financial Inc Added +165,407+165.4k
LPL Financial LLC Added +160,464+160.5k
WIN ADVISORS, INC New +126,845+126.8k

Biggest sellers

MORGAN STANLEY Reduced -1,143,908-1.1m
Csenge Advisory Group Reduced -873,647-873.6k
Raymond James Financial Services Advisors, Inc. Reduced -323,333-323.3k
Snowden Capital Advisors LLC Reduced -235,007-235.0k
Founders Financial Alliance, LLC Sold out -178,415-178.4k
BANK OF AMERICA CORP /DE/ Reduced -174,537-174.5k
AE Wealth Management LLC Sold out -122,391-122.4k
BEACON FINANCIAL GROUP Reduced -116,784-116.8k
Paladin Advisory Group, LLC Reduced -108,143-108.1k
Composition Wealth, LLC Reduced -94,826-94.8k

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 8,598,6588.6m $144.9m $144.9m 0.01% Reduced -1.1m -1,143,908
2 UBS Group AG 0.04% of their portfolio ZURICH, V8 4,806,4644.8m $81.0m $81.0m 0.04% Added +1.2m +1,155,904
3 ROYAL BANK OF CANADA 0.02% of their portfolio TORONTO, A6 3,492,5413.5m $58.9m $58.9m 0.02% Added +743.2k +743,163
4 SMITH CHAS P & ASSOCIATES PA CPAS 2.39% of their portfolio LAKELAND, FL 2,207,6392.2m $37.2m $37.2m 2.39% Added +98.6k +98,568
5 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 2,176,4422.2m $36.7m $36.7m 0.00% Reduced -174.5k -174,537
6 LPL Financial LLC 0.03% of their portfolio FORT MILL, SC 2,102,8202.1m $35.4m $35.4m 0.03% Added +160.5k +160,464
7 JANE STREET GROUP, LLC 0.04% of their portfolio NEW YORK, NY 1,576,5961.6m $26.6m $26.6m 0.04% Added +1.3m +1,257,025
8 Composition Wealth, LLC 0.73% of their portfolio LOS ANGELES, CA 1,425,1821.4m $24.0m $24.0m 0.73% Reduced -94.8k -94,826
9 Citizens Business Bank 3.91% of their portfolio ONTARIO, CA 1,040,9911.0m $17.5m $17.5m 3.91% Reduced -56.6k -56,628
10 Essex LLC 4.18% of their portfolio DEER PARK, IL 891,465891.5k $15.0m $15.0m 4.18% Reduced -12.6k -12,610
11 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 733,653733.7k $12.4m $12.4m 0.02% Reduced -323.3k -323,333
12 BEACON FINANCIAL GROUP 1.43% of their portfolio DALLAS, TX 567,870567.9k $10.6m $10.6m 1.43% Reduced -116.8k -116,784
13 Janney Montgomery Scott LLC 0.03% of their portfolio PHILADELPHIA, PA 550,912550.9k $9.3m $9.3m 0.03% Added +440.7k +440,657
14 ADAMSBROWN WEALTH CONSULTANTS LLC 4.87% of their portfolio WICHITA, KS 547,188547.2k $9.2m $9.2m 4.87% Reduced -207 -207
15 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 522,104522.1k $8.8m $8.8m 0.01% Reduced -19.9k -19,850
16 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 520,899520.9k $8.8m $8.8m 0.00% Added +104.9k +104,865
17 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 471,326471.3k $8.0m $8.0m 0.00% New
18 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 391,124391.1k $6.6m $6.6m 0.01% Reduced -75.0k -74,996
19 Elevated Capital Advisors, LLC 2.17% of their portfolio SANDY, UT 386,435386.4k $6.5m $6.5m 2.17% Reduced -91.4k -91,395
20 Baird Financial Group, Inc. 0.02% of their portfolio MILWAUKEE, WI 382,050382.1k $6.4m $6.4m 0.02% New
21 Cherry Creek Investment Advisors, Inc. 4.30% of their portfolio ENGLEWOOD, CO 379,725379.7k $6.4m $6.4m 4.30% Added +1.7k +1,696
22 Magnus Financial Group LLC 0.86% of their portfolio NEW YORK, NY 355,890355.9k $6.0m $6.0m 0.86% Added +4.7k +4,659
23 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 353,955354.0k $6.0m $6.0m 0.01% Added +71.7k +71,669
24 SHELTON WEALTH MANAGEMENT, LLC 3.70% of their portfolio FORT WORTH, TX 282,937282.9k $4.8m $4.8m 3.70% Reduced -18.5k -18,491
25 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 274,449274.4k $4.6m $4.6m 0.01% Reduced -11.8k -11,834
26 FIRST TRUST ADVISORS LP 0.01% of their portfolio Wheaton, IL 271,272271.3k $4.6m $4.6m 0.01% Added +6.2k +6,200
27 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 267,929267.9k $4.5m $4.5m 0.01% Added +27.5k +27,494
28 Key Financial Inc 1.44% of their portfolio WEST CHESTER, PA 257,392257.4k $4.3m $4.3m 1.44% Added +165.4k +165,407
29 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 229,839229.8k $3.9m $3.9m 0.02% Reduced -24.1k -24,099
30 PETERSON WEALTH MANAGEMENT 3.05% of their portfolio SPARKS, NV 228,557228.6k $3.9m $3.9m 3.05% Reduced -16.2k -16,200
31 Clearwater Capital Advisors, LLC 0.46% of their portfolio HOFFMAN ESTATES, IL 228,410228.4k $3.8m $3.8m 0.46% Reduced -9.4k -9,436
32 Marshall Financial Group, LLC 1.30% of their portfolio Hunt Valley, MD 225,552225.6k $3.8m $3.8m 1.30% Added +13.2k +13,170
33 RENAISSANCE TECHNOLOGIES LLC 0.01% of their portfolio NEW YORK, NY 207,495207.5k $3.5m $3.5m 0.01% New
34 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 196,771196.8k $3.3m $3.3m 0.01% First filing
35 Phocas Financial Corp. 0.43% of their portfolio ALAMEDA, CA 187,450187.4k $3.2m $3.2m 0.43% Reduced -29.6k -29,595
36 Welch & Forbes LLC 0.05% of their portfolio Boston, MA 180,624180.6k $3.0m $3.0m 0.05% Reduced -10.0k -10,000
37 HBK Sorce Advisory LLC 0.12% of their portfolio ERIE, PA 174,666174.7k $2.9m $2.9m 0.12% Reduced -4.7k -4,679
38 1776 Wealth LLC 1.50% of their portfolio ATLANTA, GA 168,159168.2k $2.8m $2.8m 1.50% Added +4.8k +4,796
39 QP WEALTH MANAGEMENT, LLC 4.38% of their portfolio BOCA RATON, FL 163,849163.8k $2.8m $2.8m 4.38% Added +12.5k +12,546
40 Platform Technology Partners 1.09% of their portfolio NEW YORK, NY 136,449136.4k $2.3m $2.3m 1.09% Reduced -602 -602
41 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 132,973133.0k $2.2m $2.2m 0.00% Added +6.0k +6,036
42 WIN ADVISORS, INC 2.23% of their portfolio PALM BEACH GARDENS, FL 126,845126.8k $1.7m $1.7m 2.23% New
43 VISTA INVESTMENT MANAGEMENT 1.07% of their portfolio PITTSBURGH, PA 125,812125.8k $2.1m $2.1m 1.07% Added +25.2k +25,238
44 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 118,772118.8k $2.0m $2.0m 0.01% Added +79.5k +79,489
45 SUTTON PLACE INVESTORS LLC 2.63% of their portfolio ARMONK, NY 112,195112.2k $1.9m $1.9m 2.63% Reduced -2.5k -2,461
46 Walker Asset Management, LLC 1.49% of their portfolio SPRINGFIELD, MO 106,836106.8k $1.8m $1.8m 1.49% Reduced -14.9k -14,900
47 ICA Group Wealth Management, LLC 0.44% of their portfolio DENVER, CO 104,021104.0k $1.8m $1.8m 0.44% Added +10.0k +9,951
48 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 102,362102.4k $1.7m $1.7m 0.01% Reduced -52.9k -52,948
49 United Capital Management of KS, Inc. 0.55% of their portfolio SALINA, KS 102,078102.1k $1.7m $1.7m 0.55% Reduced -12.0k -12,033
50 Sigma Planning Corp 0.06% of their portfolio ANN ARBOR, MI 97,72997.7k $1.6m $1.6m 0.06% Added +13.1k +13,109
51 Global Retirement Partners, LLC 0.08% of their portfolio San Rafael, CA 95,56595.6k $1.6m $1.6m 0.08% Added +90.9k +90,893
52 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 95,39595.4k $1.6m $1.6m 0.01% Added +28.8k +28,841
53 Princeton Global Asset Management LLC 0.46% of their portfolio PRINCETON, NJ 94,18594.2k $1.6m $1.6m 0.46% Added +194 +194
54 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 90,45190.5k $1.5m $1.5m 0.02% Reduced -5.9k -5,877
55 Arkadios Wealth Advisors 0.17% of their portfolio ATLANTA, GA 85,34585.3k $1.4m $1.4m 0.17% Reduced -12.6k -12,644
56 Cetera Advisors LLC 0.02% of their portfolio DENVER, CO 83,35083.3k $1.4m $1.4m 0.02% Added +38.2k +38,181
57 IFP Advisors, Inc 0.03% of their portfolio TAMPA, FL 81,99482.0k $1.5m $1.5m 0.03% Added +43.8k +43,751
58 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.05% of their portfolio Seattle, WA 76,43476.4k $1.3m $1.3m 0.05% Added +12.9k +12,904
59 Gladstone Institutional Advisory LLC 0.07% of their portfolio Bedminster, NJ 71,77571.8k $1.2m $1.2m 0.07% Added +748 +748
60 BENJAMIN F. EDWARDS & COMPANY, INC. 0.04% of their portfolio ST. LOUIS, MO 68,82968.8k $1.2m $1.2m 0.04% Added +7.3k +7,275
61 WEDBUSH SECURITIES INC 0.05% of their portfolio PASADENA, CA 67,09667.1k $1.1m $1.1m 0.05% Added +22.0k +22,035
62 Financial Advocates Investment Management 0.08% of their portfolio OLYMPIA, WA 66,33166.3k $1.1m $1.1m 0.08% Added +2.2k +2,163
63 U.S. Capital Wealth Advisors, LLC 0.05% of their portfolio AUSTIN, TX 60,82560.8k $1.0m $1.0m 0.05% New
64 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.10% of their portfolio CEDAR RAPIDS, IA 59,56059.6k $1.0m $1.0m 0.10% Added +12.5k +12,460
65 D.A. DAVIDSON & CO. 0.01% of their portfolio GREAT FALLS, MT 50,63150.6k $853.1k $853.1k 0.01% Reduced -50.8k -50,827
66 American Institute for Advanced Investment Management, LLP 0.71% of their portfolio Scottsdale, AZ 48,32748.3k $814.3k $814.3k 0.71% Reduced -18.3k -18,289
67 RFG Advisory, LLC 0.04% of their portfolio BIRMINGHAM, AL 46,80646.8k $788.7k $788.7k 0.04% Added +11.9k +11,875
68 Tradition Wealth Management, LLC 0.09% of their portfolio EDINA, MN 46,66146.7k $786.0k $786.0k 0.09% Reduced -2.5k -2,541
69 Spire Wealth Management 0.03% of their portfolio MCLEAN, VA 46,48146.5k $783.2k $783.2k 0.03% Added +46.4k +46,388
70 HARBOUR INVESTMENTS, INC. 0.04% of their portfolio MADISON, WI 46,40746.4k $782.0k $782.0k 0.04% Reduced -25.0k -24,991
71 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 45,81045.8k $771.9k $771.9k 0.02% Added +2.2k +2,184
72 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 45,53645.5k $767.3k $767.3k 0.01% Reduced -16.2k -16,243
73 GeoWealth Management, LLC 0.08% of their portfolio CHICAGO, IL 43,99844.0k $742.0k $742.0k 0.08% Added +15.5k +15,455
74 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 42,94442.9k $723.6k $723.6k 0.02% Added +10 +10
75 Ashton Thomas Private Wealth, LLC 0.05% of their portfolio SCOTTSDALE, AZ 42,21142.2k $711.2k $711.2k 0.05% Reduced -305 -305
76 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 40,48040.5k $682.1k $682.1k 0.01% Added +2.2k +2,151
77 Dunhill Financial, LLC 0.44% of their portfolio LONDON, X0 39,70739.7k $675.6k $675.6k 0.44% First filing
78 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 34,64734.6k $583.8k $583.8k 0.01% Added +10.0k +10,042
79 Kovack Advisors, Inc. 0.07% of their portfolio FT. LAUDERDALE, FL 34,63934.6k $583.7k $583.7k 0.07% Added +1.7k +1,737
80 Forum Private Client Group LLC 0.33% of their portfolio FISHERS, IN 34,61034.6k $583.2k $583.2k 0.33% Added +1.2k +1,159
81 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 33,80733.8k $569.7k $569.7k 0.00% Reduced -8.9k -8,897
82 Prospera Financial Services Inc 0.02% of their portfolio Dallas, TX 32,03332.0k $539.7k $539.7k 0.02% Reduced -12.3k -12,300
83 Wealthcare Advisory Partners LLC 0.02% of their portfolio WEST CHESTER, PA 31,58031.6k $532.1k $532.1k 0.02% New
84 Family Capital Management, Inc. 0.32% of their portfolio GRAND RAPIDS, MI 30,54830.5k $514.7k $514.7k 0.32% Unchanged
85 LINCOLN NATIONAL CORP 0.01% of their portfolio RADNOR, PA 30,48730.5k $513.7k $513.7k 0.01% Added +703 +703
86 Clarus Wealth Advisors 0.31% of their portfolio PEORIA, AZ 30,18230.2k $507.7k $507.7k 0.31% Reduced -3.2k -3,190
87 SlateStone Wealth, LLC 0.09% of their portfolio JUPITER, FL 30,00030.0k $505.0k $505.0k 0.09% Unchanged
88 Wagner Wealth Management, LLC 0.19% of their portfolio GREENVILLE, SC 29,51529.5k $497.3k $497.3k 0.19% Reduced -679 -679
89 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 29,13729.1k $491.0k $491.0k 0.00% New
90 TRUSTMARK BANK TRUST DEPARTMENT 0.05% of their portfolio JACKSON, MS 28,97229.0k $488.2k $488.2k 0.05% Reduced -20.5k -20,500
91 Stratos Wealth Advisors, LLC 0.03% of their portfolio BEACHWOOD, OH 28,44628.4k $479.3k $479.3k 0.03% New
92 StoneX Group Inc. 0.05% of their portfolio NEW YORK, NY 28,29928.3k $477.0k $477.0k 0.05% Reduced -433 -433
93 AFT, FORSYTH & COMPANY, INC. 0.34% of their portfolio JUPITER, FL 28,15128.2k $474.3k $474.3k 0.34% Reduced -435 -435
94 Western Wealth Management, LLC 0.04% of their portfolio GOLDEN, CO 27,68927.7k $466.6k $466.6k 0.04% Added +10.7k +10,673
95 Jaffetilchin Investment Partners, LLC 0.05% of their portfolio TAMPA, FL 27,05627.1k $455.9k $455.9k 0.05% Added +5.7k +5,710
96 Summit Wealth Partners, LLC 0.11% of their portfolio Orlando, FL 26,39526.4k $444.8k $444.8k 0.11% Added +13.1k +13,125
97 Family Investment Center, Inc. 0.28% of their portfolio Saint Joseph, MO 26,39326.4k $444.7k $444.7k 0.28% Added +1.5k +1,513
98 Ameritas Advisory Services, LLC 0.06% of their portfolio Lincoln, NE 25,89325.9k $435.5k $435.5k 0.06% Added +1.9k +1,948
99 LFA - Lugano Financial Advisors SA 0.27% of their portfolio LUGANO, V8 24,00024.0k $404.4k $404.4k 0.27% Unchanged
100 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 22,99023.0k $387.4k $387.4k 0.00% Reduced -55.1k -55,111