Vault-13

FIRST TR EXCH TRADED FD III FPEI

INSTL PFD SECS · ETP · CUSIP 33739P855

136 institutional holders -2 vs Q2 2023
43,058,39743.1m shares reported held*
$726.3mreported value*
10 new 47 added 60 reduced 14 sold out net bought ≈ $18.3m (+1.1m 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 ($2.9m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $16.87.

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 110Q4 22: 136Q1 23: 143Q2 23: 138Q3 23: 136136Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022110
Q4 2022136
Q1 2023143
Q2 2023138
Q3 2023136

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 23Q3 23: 57 bought or addedQ3 23: 74 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20228649
Q1 20239054
Q2 20237177
Q3 20235774

Calls vs puts

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

CallsPuts
$0$500k$1m$1.5m$2mQ4 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 —Q3 23 calls: $0Q3 23 puts: $0Q3 23P/C —
Numbers
QuarterCallsPutsP/C
Q4 2022$1.9m$00.00
Q1 2023$0$0—
Q2 2023$0$0—
Q3 2023$0$0—

Biggest buyers

MORGAN STANLEY Added +2,482,589+2.5m
UBS Group AG Added +1,557,412+1.6m
FUKOKU MUTUAL LIFE INSURANCE Co New +620,000+620.0k
STONEBRIDGE ADVISORS LLC New +577,981+578.0k
BANK OF AMERICA CORP /DE/ Added +353,185+353.2k
LPL Financial LLC Added +322,097+322.1k
OSAIC HOLDINGS, INC. Added +264,694+264.7k
INTEGRAL INVESTMENT ADVISORS, INC. New +211,167+211.2k
Key Financial Inc Added +170,635+170.6k
Composition Wealth, LLC Added +165,581+165.6k

Biggest sellers

SMITH CHAS P & ASSOCIATES PA CPAS Sold out -2,207,639-2.2m
JANE STREET GROUP, LLC Reduced -1,538,777-1.5m
BANK OF MONTREAL /CAN/ Sold out -471,326-471.3k
BEACON FINANCIAL GROUP Reduced -366,081-366.1k
Clearwater Capital Advisors, LLC Sold out -228,410-228.4k
HBK Sorce Advisory LLC Sold out -174,666-174.7k
ROYAL BANK OF CANADA Reduced -143,620-143.6k
WIN ADVISORS, INC Sold out -126,845-126.8k
Raymond James Financial Services Advisors, Inc. Reduced -121,517-121.5k
RENAISSANCE TECHNOLOGIES LLC Reduced -117,957-118.0k

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.02% of their portfolio NEW YORK, NY 11,081,24711.1m $187.1m $187.1m 0.02% Added +2.5m +2,482,589
2 UBS Group AG 0.05% of their portfolio ZURICH, V8 6,363,8766.4m $107.4m $107.4m 0.05% Added +1.6m +1,557,412
3 ROYAL BANK OF CANADA 0.02% of their portfolio TORONTO, A6 3,348,9213.3m $56.5m $56.5m 0.02% Reduced -143.6k -143,620
4 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 2,529,6272.5m $42.7m $42.7m 0.01% Added +353.2k +353,185
5 LPL Financial LLC 0.03% of their portfolio FORT MILL, SC 2,424,9172.4m $40.9m $40.9m 0.03% Added +322.1k +322,097
6 Composition Wealth, LLC 0.83% of their portfolio LOS ANGELES, CA 1,590,7631.6m $26.9m $26.9m 0.83% Added +165.6k +165,581
7 Citizens Business Bank 4.01% of their portfolio ONTARIO, CA 1,011,5721.0m $17.1m $17.1m 4.01% Reduced -29.4k -29,419
8 Essex LLC 4.09% of their portfolio DEER PARK, IL 862,914862.9k $14.6m $14.6m 4.09% Reduced -28.6k -28,551
9 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 655,818655.8k $11.1m $11.1m 0.02% Added +264.7k +264,694
10 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 624,511624.5k $10.5m $10.5m 0.00% Added +103.6k +103,612
11 FUKOKU MUTUAL LIFE INSURANCE Co 0.96% of their portfolio TOKYO, M0 620,000620.0k $10.5m $10.5m 0.96% New
12 Raymond James Financial Services Advisors, Inc. 0.02% of their portfolio ST. PETERSBURG, FL 612,136612.1k $10.3m $10.3m 0.02% Reduced -121.5k -121,517
13 STONEBRIDGE ADVISORS LLC 6.78% of their portfolio WILTON, CT 577,981578.0k $9.2m $9.2m 6.78% New
14 ADAMSBROWN WEALTH CONSULTANTS LLC 4.69% of their portfolio WICHITA, KS 564,322564.3k $9.5m $9.5m 4.69% Added +17.1k +17,134
15 Janney Montgomery Scott LLC 0.04% of their portfolio PHILADELPHIA, PA 558,824558.8k $9.4m $9.4m 0.04% Added +7.9k +7,912
16 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 526,533526.5k $8.9m $8.9m 0.01% Added +4.4k +4,429
17 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 435,503435.5k $7.4m $7.4m 0.01% Added +81.5k +81,548
18 Key Financial Inc 2.44% of their portfolio WEST CHESTER, PA 428,027428.0k $7.2m $7.2m 2.44% Added +170.6k +170,635
19 Elevated Capital Advisors, LLC 2.24% of their portfolio SANDY, UT 390,179390.2k $6.6m $6.6m 2.24% Added +3.7k +3,744
20 Magnus Financial Group LLC 0.93% of their portfolio NEW YORK, NY 379,218379.2k $6.4m $6.4m 0.93% Added +23.3k +23,328
21 Baird Financial Group, Inc. 0.02% of their portfolio MILWAUKEE, WI 378,816378.8k $6.4m $6.4m 0.02% Reduced -3.2k -3,234
22 Cherry Creek Investment Advisors, Inc. 3.96% of their portfolio ENGLEWOOD, CO 345,586345.6k $5.8m $5.8m 3.96% Reduced -34.1k -34,139
23 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 279,519279.5k $4.7m $4.7m 0.01% Added +5.1k +5,070
24 SHELTON WEALTH MANAGEMENT, LLC 3.76% of their portfolio FORT WORTH, TX 278,372278.4k $4.7m $4.7m 3.76% Reduced -4.6k -4,565
25 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 251,828251.8k $4.3m $4.3m 0.01% Reduced -16.1k -16,101
26 FIRST TRUST ADVISORS LP 0.01% of their portfolio Wheaton, IL 249,978250.0k $4.2m $4.2m 0.01% Reduced -21.3k -21,294
27 Marshall Financial Group, LLC 1.37% of their portfolio Hunt Valley, MD 225,168225.2k $3.8m $3.8m 1.37% Reduced -384 -384
28 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 224,012224.0k $3.8m $3.8m 0.01% Added +27.2k +27,241
29 INTEGRAL INVESTMENT ADVISORS, INC. 2.49% of their portfolio TURLOCK, CA 211,167211.2k $3.6m $3.6m 2.49% New
30 PETERSON WEALTH MANAGEMENT 2.83% of their portfolio SPARKS, NV 203,330203.3k $3.4m $3.4m 2.83% Reduced -25.2k -25,227
31 BEACON FINANCIAL GROUP 0.49% of their portfolio DALLAS, TX 201,789201.8k $3.4m $3.4m 0.49% Reduced -366.1k -366,081
32 Cambridge Investment Research Advisors, Inc. 0.02% of their portfolio FAIRFIELD, IA 200,971201.0k $3.4m $3.4m 0.02% Reduced -28.9k -28,868
33 Welch & Forbes LLC 0.05% of their portfolio Boston, MA 180,624180.6k $3.0m $3.0m 0.05% Unchanged
34 Phocas Financial Corp. 0.43% of their portfolio ALAMEDA, CA 173,920173.9k $2.9m $2.9m 0.43% Reduced -13.5k -13,530
35 1776 Wealth LLC 1.49% of their portfolio ATLANTA, GA 167,497167.5k $2.8m $2.8m 1.49% Reduced -662 -662
36 QP WEALTH MANAGEMENT, LLC 4.71% of their portfolio BOCA RATON, FL 160,040160.0k $2.7m $2.7m 4.71% Reduced -3.8k -3,809
37 VISTA INVESTMENT MANAGEMENT 1.19% of their portfolio PITTSBURGH, PA 134,519134.5k $2.3m $2.3m 1.19% Added +8.7k +8,707
38 Platform Technology Partners 1.03% of their portfolio NEW YORK, NY 130,740130.7k $2.2m $2.2m 1.03% Reduced -5.7k -5,709
39 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 126,757126.8k $2.1m $2.1m 0.00% Reduced -6.2k -6,216
40 GUNN & Co INVESTMENT MANAGEMENT, INC. 1.82% of their portfolio JACKSONVILLE, FL 122,872122.9k $2.1m $2.1m 1.82% First filing
41 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 115,288115.3k $1.9m $1.9m 0.02% Added +19.9k +19,893
42 SUTTON PLACE INVESTORS LLC 2.43% of their portfolio ARMONK, NY 110,610110.6k $1.9m $1.9m 2.43% Reduced -1.6k -1,585
43 Global Retirement Partners, LLC 0.09% of their portfolio San Rafael, CA 107,936107.9k $1.8m $1.8m 0.09% Added +12.4k +12,371
44 WEDBUSH SECURITIES INC 0.09% of their portfolio PASADENA, CA 107,079107.1k $1.8m $1.8m 0.09% Added +40.0k +39,983
45 ICA Group Wealth Management, LLC 0.50% of their portfolio DENVER, CO 104,558104.6k $1.8m $1.8m 0.50% Added +537 +537
46 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 96,27796.3k $1.6m $1.6m 0.01% Reduced -6.1k -6,085
47 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 95,29895.3k $1.6m $1.6m 0.01% Reduced -23.5k -23,474
48 United Capital Management of KS, Inc. 0.53% of their portfolio SALINA, KS 91,65691.7k $1.5m $1.5m 0.53% Reduced -10.4k -10,422
49 Princeton Global Asset Management LLC 0.43% of their portfolio PRINCETON, NJ 89,97490.0k $1.5m $1.5m 0.43% Reduced -4.2k -4,211
50 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 89,53889.5k $1.5m $1.5m 0.00% Reduced -118.0k -117,957
51 Walker Asset Management, LLC 1.33% of their portfolio SPRINGFIELD, MO 88,33688.3k $1.5m $1.5m 1.33% Reduced -18.5k -18,500
52 Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 0.06% of their portfolio Seattle, WA 86,03386.0k $1.5m $1.5m 0.06% Added +9.6k +9,599
53 Arkadios Wealth Advisors 0.14% of their portfolio ATLANTA, GA 85,70885.7k $1.4m $1.4m 0.14% Added +363 +363
54 Cetera Advisors LLC 0.02% of their portfolio DENVER, CO 84,74184.7k $1.4m $1.4m 0.02% Added +1.4k +1,391
55 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 79,22079.2k $1.3m $1.3m 0.02% Reduced -11.2k -11,231
56 Financial Advocates Investment Management 0.10% of their portfolio OLYMPIA, WA 78,51378.5k $1.3m $1.3m 0.10% Added +12.2k +12,182
57 Sigma Planning Corp 0.05% of their portfolio ANN ARBOR, MI 77,16377.2k $1.3m $1.3m 0.05% Reduced -20.6k -20,566
58 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.13% of their portfolio CEDAR RAPIDS, IA 74,88074.9k $1.3m $1.3m 0.13% Added +15.3k +15,320
59 Gladstone Institutional Advisory LLC 0.08% of their portfolio Bedminster, NJ 73,46573.5k $1.2m $1.2m 0.08% Added +1.7k +1,690
60 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 60,49560.5k $1.0m $1.0m 0.01% Added +15.0k +14,959
61 Spire Wealth Management 0.04% of their portfolio MCLEAN, VA 58,78558.8k $992.3k $992.3k 0.04% Added +12.3k +12,304
62 RFG Advisory, LLC 0.04% of their portfolio BIRMINGHAM, AL 56,24056.2k $949.3k $949.3k 0.04% Added +9.4k +9,434
63 IFP Advisors, Inc 0.04% of their portfolio TAMPA, FL 52,27052.3k $882.3k $882.3k 0.04% Reduced -29.7k -29,724
64 COMERICA BANK 0.00% of their portfolio DALLAS, TX 50,09650.1k $845.6k $845.6k 0.00% New
65 Stratos Wealth Partners, LTD. 0.02% of their portfolio BEACHWOOD, OH 47,74847.7k $806.0k $806.0k 0.02% Added +1.9k +1,938
66 HARBOUR INVESTMENTS, INC. 0.04% of their portfolio MADISON, WI 44,03544.0k $743.3k $743.3k 0.04% Reduced -2.4k -2,372
67 Ashton Thomas Private Wealth, LLC 0.05% of their portfolio SCOTTSDALE, AZ 42,98543.0k $725.6k $725.6k 0.05% Added +774 +774
68 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 42,12042.1k $711.0k $711.0k 0.01% Added +1.6k +1,640
69 Kovack Advisors, Inc. 0.10% of their portfolio FT. LAUDERDALE, FL 41,75541.8k $704.8k $704.8k 0.10% Added +7.1k +7,116
70 Dunhill Financial, LLC 0.43% of their portfolio LONDON, X0 40,98441.0k $682.4k $682.4k 0.43% Added +1.3k +1,277
71 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 40,75440.8k $687.9k $687.9k 0.02% Reduced -2.2k -2,190
72 Wealthcare Advisory Partners LLC 0.03% of their portfolio WEST CHESTER, PA 40,57340.6k $684.9k $684.9k 0.03% Added +9.0k +8,993
73 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 37,81937.8k $638.4k $638.4k 0.00% Reduced -1.5m -1,538,777
74 GeoWealth Management, LLC 0.07% of their portfolio CHICAGO, IL 37,37237.4k $629.0k $629.0k 0.07% Reduced -6.6k -6,626
75 Western Wealth Management, LLC 0.05% of their portfolio GOLDEN, CO 35,72935.7k $603.1k $603.1k 0.05% Added +8.0k +8,040
76 D.A. DAVIDSON & CO. 0.01% of their portfolio GREAT FALLS, MT 35,31235.3k $596.1k $596.1k 0.01% Reduced -15.3k -15,319
77 Prospera Financial Services Inc 0.02% of their portfolio Dallas, TX 33,86433.9k $571.6k $571.6k 0.02% Added +1.8k +1,831
78 Equitable Holdings, Inc. 0.01% of their portfolio NEW YORK, NY 30,99131.0k $523.1k $523.1k 0.01% Reduced -3.7k -3,656
79 Summit Wealth Partners, LLC 0.13% of their portfolio Orlando, FL 30,95631.0k $522.5k $522.5k 0.13% Added +4.6k +4,561
80 Family Capital Management, Inc. 0.34% of their portfolio GRAND RAPIDS, MI 30,54830.5k $515.6k $515.6k 0.34% Unchanged
81 SlateStone Wealth, LLC 0.07% of their portfolio JUPITER, FL 30,00030.0k $506.0k $506.0k 0.07% Unchanged
82 LINCOLN NATIONAL CORP 0.01% of their portfolio RADNOR, PA 29,41729.4k $496.6k $496.6k 0.01% Reduced -1.1k -1,070
83 Jaffetilchin Investment Partners, LLC 0.05% of their portfolio TAMPA, FL 27,42927.4k $463.0k $463.0k 0.05% Added +373 +373
84 BlackDiamond Wealth Management, LLC 0.40% of their portfolio NEW YORK, NY 27,09327.1k $446.2k $446.2k 0.40% Added +13.6k +13,555
85 AFT, FORSYTH & COMPANY, INC. 0.33% of their portfolio JUPITER, FL 26,60426.6k $449.1k $449.1k 0.33% Reduced -1.5k -1,547
86 TRUSTMARK BANK TRUST DEPARTMENT 0.04% of their portfolio JACKSON, MS 26,30026.3k $443.9k $443.9k 0.04% Reduced -2.7k -2,672
87 StoneX Group Inc. 0.05% of their portfolio NEW YORK, NY 25,70525.7k $433.9k $433.9k 0.05% Reduced -2.6k -2,594
88 Evanson Asset Management, LLC 0.04% of their portfolio CARMEL, CA 25,00025.0k $422.0k $422.0k 0.04% New
89 Ameritas Advisory Services, LLC 0.02% of their portfolio Lincoln, NE 24,00724.0k $397.8k $397.8k 0.02% Reduced -1.9k -1,886
90 LFA - Lugano Financial Advisors SA 0.35% of their portfolio LUGANO, V8 24,00024.0k $405.1k $405.1k 0.35% Unchanged
91 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 22,97023.0k $387.7k $387.7k 0.00% Reduced -6.2k -6,167
92 Key Client Fiduciary Advisors, LLC 0.23% of their portfolio Fairfield, NJ 21,89721.9k $369.6k $369.6k 0.23% Added +10 +10
93 BENJAMIN F. EDWARDS & COMPANY, INC. 0.01% of their portfolio ST. LOUIS, MO 21,46521.5k $362.0k $362.0k 0.01% Reduced -47.4k -47,364
94 AVANTAX ADVISORY SERVICES, INC. 0.00% of their portfolio DALLAS, TX 20,29520.3k $342.6k $342.6k 0.00% Reduced -2.7k -2,695
95 CWM, LLC 0.00% of their portfolio OMAHA, NE 20,29420.3k $343.0k $343.0k 0.00% Added +18.7k +18,712
96 KESTRA PRIVATE WEALTH SERVICES, LLC 0.01% of their portfolio AUSTIN, TX 19,51119.5k $329.3k $329.3k 0.01% Added +243 +243
97 Wambolt & Associates, LLC 0.12% of their portfolio LITTLETON, CO 18,87518.9k $318.0k $318.0k 0.12% Reduced -2.4k -2,425
98 Koshinski Asset Management, Inc. 0.04% of their portfolio DECATUR, IL 18,79218.8k $317.2k $317.2k 0.04% Reduced -2.3k -2,293
99 American Institute for Advanced Investment Management, LLP 0.29% of their portfolio Scottsdale, AZ 18,76718.8k $316.5k $316.5k 0.29% Reduced -29.6k -29,560
100 INDEPENDENT FINANCIAL GROUP, LLC 0.02% of their portfolio SAN DIEGO, CA 18,62118.6k $314.3k $314.3k 0.02% Unchanged