Vault-13

FIRST TR EXCHANGE-TRADED FD FTSM

FIRST TR ENH NEW · ETP · CUSIP 33739Q408

394 institutional holders +3 vs Q2 2023
92,283,54892.3m shares reported held*
$5.5bnreported value*
34 new 124 added 193 reduced 36 sold out net sold ≈ $668.8m (-13.7m 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 ($8.7m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $59.41. Options: 1 managers hold calls ($0 notional), 1 hold puts ($0).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 346Q4 22: 387Q1 23: 402Q2 23: 391Q3 23: 394394Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022346
Q4 2022387
Q1 2023402
Q2 2023391
Q3 2023394

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q4 22: 213 bought or addedQ4 22: 147 cut or sold outQ4 22Q1 23: 211 bought or addedQ1 23: 179 cut or sold outQ1 23Q2 23: 173 bought or addedQ2 23: 227 cut or sold outQ2 23Q3 23: 158 bought or addedQ3 23: 229 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022213147
Q1 2023211179
Q2 2023173227
Q3 2023158229

Calls vs puts

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

CallsPuts
$0$5m$10m$15mQ4 22 calls: $0Q4 22 puts: $0Q4 22P/C —Q1 23 calls: $0Q1 23 puts: $0Q1 23P/C —Q2 23 calls: $0Q2 23 puts: $12.8mQ2 23P/C —Q3 23 calls: $0Q3 23 puts: $0Q3 23P/C —
Numbers
QuarterCallsPutsP/C
Q4 2022$0$0—
Q1 2023$0$0—
Q2 2023$0$12.8m—
Q3 2023$0$0—

Biggest buyers

OSAIC HOLDINGS, INC. Added +442,560+442.6k
Avestar Capital, LLC Added +324,062+324.1k
Synergy Asset Management, LLC Added +310,896+310.9k
Cassia Capital Partners, LLC Added +275,080+275.1k
Cerity Partners LLC New +268,118+268.1k
RENAISSANCE TECHNOLOGIES LLC Added +256,700+256.7k
LPL Financial LLC Added +195,687+195.7k
Harvest Investment Services, LLC Added +184,469+184.5k
FLOW TRADERS U.S. LLC Added +141,145+141.1k
NATIONAL BANK OF CANADA /FI/ New +137,000+137.0k

Biggest sellers

Prostatis Group LLC Reduced -2,426,086-2.4m
MORGAN STANLEY Reduced -1,820,761-1.8m
FIRST TRUST ADVISORS LP Reduced -1,644,422-1.6m
JANE STREET GROUP, LLC Reduced -1,368,574-1.4m
J Arnold Wealth Management Co Sold out -1,325,375-1.3m
IFP Advisors, Inc Reduced -969,621-969.6k
UBS Group AG Reduced -911,433-911.4k
WELLS FARGO & COMPANY/MN Reduced -726,928-726.9k
BANK OF AMERICA CORP /DE/ Reduced -671,851-671.9k
Raymond James Financial Services Advisors, Inc. Reduced -511,809-511.8k

Biggest calls

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

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, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.09% of their portfolio NEW YORK, NY 14,506,96714.5m $862.0m $862.0m 0.09% Reduced -1.8m -1,820,761
2 WELLS FARGO & COMPANY/MN 0.18% of their portfolio SAN FRANCISCO, CA 9,621,8199.6m $571.7m $571.7m 0.18% Reduced -726.9k -726,928
3 LPL Financial LLC 0.36% of their portfolio FORT MILL, SC 8,722,9538.7m $518.3m $518.3m 0.36% Added +195.7k +195,687
4 UBS Group AG 0.13% of their portfolio ZURICH, V8 4,610,9944.6m $274.0m $274.0m 0.13% Reduced -911.4k -911,433
5 BANK OF AMERICA CORP /DE/ 0.03% of their portfolio CHARLOTTE, NC 3,754,0113.8m $223.1m $223.1m 0.03% Reduced -671.9k -671,851
6 OSAIC HOLDINGS, INC. 0.31% of their portfolio SCOTTSDALE, AZ 3,510,9253.5m $208.6m $208.6m 0.31% Added +442.6k +442,560
7 ROYAL BANK OF CANADA 0.05% of their portfolio TORONTO, A6 2,831,4482.8m $168.2m $168.2m 0.05% Reduced -50.8k -50,792
8 Raymond James Financial Services Advisors, Inc. 0.25% of their portfolio ST. PETERSBURG, FL 2,306,7272.3m $137.1m $137.1m 0.25% Reduced -511.8k -511,809
9 Cambridge Investment Research Advisors, Inc. 0.44% of their portfolio FAIRFIELD, IA 1,581,9171.6m $94.0m $94.0m 0.44% Reduced -214.3k -214,329
10 TUCKER ASSET MANAGEMENT LLC 21.70% of their portfolio LITTLETON, CO 1,367,4861.4m $81.3m $81.3m 21.70% Reduced -20.1k -20,067
11 COMMONWEALTH EQUITY SERVICES, LLC 0.16% of their portfolio WALTHAM, MA 1,308,8421.3m $77.8m $77.8m 0.16% Reduced -139.8k -139,764
12 STIFEL FINANCIAL CORP 0.10% of their portfolio ST. LOUIS, MO 1,250,4951.3m $74.3m $74.3m 0.10% Reduced -197.9k -197,944
13 Cetera Advisors LLC 1.15% of their portfolio DENVER, CO 1,238,1391.2m $73.6m $73.6m 1.15% Reduced -23.6k -23,584
14 RAYMOND JAMES & ASSOCIATES 0.06% of their portfolio ST PETERSBURG, FL 1,174,3901.2m $69.8m $69.8m 0.06% Reduced -163.6k -163,566
15 Csenge Advisory Group 3.90% of their portfolio CLEARWATER, FL 962,980963.0k $57.2m $57.2m 3.90% Added +53.7k +53,748
16 ENVESTNET ASSET MANAGEMENT INC 0.03% of their portfolio Berwyn, PA 954,068954.1k $56.7m $56.7m 0.03% Reduced -233.8k -233,825
17 IFP Advisors, Inc 2.37% of their portfolio TAMPA, FL 885,917885.9k $52.6m $52.6m 2.37% Reduced -969.6k -969,621
18 RENAISSANCE TECHNOLOGIES LLC 0.09% of their portfolio NEW YORK, NY 844,300844.3k $50.2m $50.2m 0.09% Added +256.7k +256,700
19 Mariner, LLC 0.13% of their portfolio Overland Park, KS 805,513805.5k $47.9m $47.9m 0.13% Added +12.1k +12,143
20 Prospera Financial Services Inc 1.82% of their portfolio Dallas, TX 791,305791.3k $47.0m $47.0m 1.82% Added +129.2k +129,189
21 Gradient Investments LLC 1.06% of their portfolio ARDEN HILLS, MN 674,587674.6k $40.1m $40.1m 1.06% Added +6.7k +6,733
22 Baird Financial Group, Inc. 0.10% of their portfolio MILWAUKEE, WI 641,593641.6k $38.1m $38.1m 0.10% Reduced -31.4k -31,383
23 MANCHESTER FINANCIAL INC 9.90% of their portfolio Westlake Village, CA 567,071567.1k $33.7m $33.7m 9.90% Added +25.6k +25,641
24 Atria Wealth Solutions, Inc. 0.47% of their portfolio NEW YORK, NY 562,173562.2k $33.5m $33.5m 0.47% Added +36.8k +36,802
25 Atria Investments, Inc 0.59% of their portfolio Charlotte, NC 561,413561.4k $33.4m $33.4m 0.59% Added +64.7k +64,700
26 Cassia Capital Partners, LLC 27.05% of their portfolio WINSTON SALEM, NC 556,147556.1k $33.0m $33.0m 27.05% Added +275.1k +275,080
27 Kestra Advisory Services, LLC 0.30% of their portfolio AUSTIN, TX 508,897508.9k $30.2m $30.2m 0.30% Reduced -239.2k -239,187
28 Avestar Capital, LLC 4.58% of their portfolio New York, NY 505,608505.6k $30.0m $30.0m 4.58% Added +324.1k +324,062
29 Janney Montgomery Scott LLC 0.10% of their portfolio PHILADELPHIA, PA 455,592455.6k $27.1m $27.1m 0.10% Added +119.3k +119,284
30 Synergy Asset Management, LLC 5.22% of their portfolio VANCOUVER, WA 443,467443.5k $26.4m $26.4m 5.22% Added +310.9k +310,896
31 HighTower Advisors, LLC 0.05% of their portfolio CHICAGO, IL 420,126420.1k $25.0m $25.0m 0.05% Reduced -12.9k -12,931
32 Steward Partners Investment Advisory, LLC 0.36% of their portfolio STAMFORD, CT 398,139398.1k $23.7m $23.7m 0.36% Reduced -171.2k -171,184
33 PARK NATIONAL CORP /OH/ 0.99% of their portfolio NEWARK, OH 370,297370.3k $22.0m $22.0m 0.99% Added +3.7k +3,728
34 AVANTAX ADVISORY SERVICES, INC. 0.24% of their portfolio DALLAS, TX 367,337367.3k $21.8m $21.8m 0.24% Reduced -101.0k -101,029
35 NewEdge Advisors, LLC 0.23% of their portfolio NEW ORLEANS, LA 357,852357.9k $21.3m $21.3m 0.23% Added +10.6k +10,580
36 Cetera Investment Advisers 0.18% of their portfolio SCHAUMBURG, IL 357,294357.3k $21.2m $21.2m 0.18% Reduced -34.0k -33,998
37 Cetera Advisor Networks LLC 0.13% of their portfolio EL SEGUNDO, CA 350,851350.9k $20.8m $20.8m 0.13% Added +134.1k +134,057
38 Coppell Advisory Solutions LLC 7.15% of their portfolio COPPELL, TX 349,839349.8k $20.8m $20.8m 7.15% Reduced -447.7k -447,662
39 MML INVESTORS SERVICES, LLC 0.11% of their portfolio SPRINGFIELD, MA 325,608325.6k $19.3m $19.3m 0.11% Reduced -13.4k -13,422
40 FSC Wealth Advisors, LLC 19.78% of their portfolio WAPPINGERS FALLS, NY 321,150321.1k $19.1m $19.1m 19.78% Reduced -693 -693
41 OPPENHEIMER & CO INC 0.39% of their portfolio NEW YORK, NY 321,137321.1k $19.1m $19.1m 0.39% Reduced -44.7k -44,700
42 KESTRA PRIVATE WEALTH SERVICES, LLC 0.60% of their portfolio AUSTIN, TX 320,404320.4k $19.0m $19.0m 0.60% Added +16.9k +16,891
43 Harvest Investment Services, LLC 12.21% of their portfolio Oakbrook Terrace, IL 319,238319.2k $19.0m $19.0m 12.21% Added +184.5k +184,469
44 Private Advisor Group, LLC 0.17% of their portfolio MORRISTOWN, NJ 315,953316.0k $18.8m $18.8m 0.17% Reduced -42.2k -42,178
45 HARBOUR INVESTMENTS, INC. 0.91% of their portfolio MADISON, WI 306,475306.5k $18.2m $18.2m 0.91% Reduced -19.4k -19,372
46 1776 Wealth LLC 9.41% of their portfolio ATLANTA, GA 299,528299.5k $17.8m $17.8m 9.41% Reduced -23.7k -23,679
47 Integrated Wealth Concepts LLC 0.31% of their portfolio WALTHAM, MA 297,991298.0k $17.7m $17.7m 0.31% Added +83.9k +83,934
48 Triumph Capital Management 7.89% of their portfolio DENVER, CO 292,537292.5k $17.4m $17.4m 7.89% Added +12.2k +12,224
49 CITADEL ADVISORS LLC 0.02% of their portfolio MIAMI, FL 292,180292.2k $17.4m $17.4m 0.02% Added +45.9k +45,852
50 Pine Valley Investments Ltd Liability Co 1.67% of their portfolio MARLTON, NJ 291,425291.4k $17.4m $17.4m 1.67% Reduced -5.3k -5,272
51 Simplicity Wealth,LLC 9.60% of their portfolio SUMMIT, NJ 276,173276.2k $16.4m $16.4m 9.60% Added +18.2k +18,219
52 Financial Enhancement Group LLC 3.16% of their portfolio ANDERSON, IN 276,034276.0k $16.4m $16.4m 3.16% Reduced -277 -277
53 StoneX Group Inc. 1.77% of their portfolio NEW YORK, NY 274,539274.5k $16.4m $16.4m 1.77% Added +17.8k +17,769
54 TRUIST FINANCIAL CORP 0.03% of their portfolio CHARLOTTE, NC 271,617271.6k $16.1m $16.1m 0.03% Reduced -10.9k -10,900
55 Cerity Partners LLC 0.08% of their portfolio NEW YORK, NY 268,118268.1k $15.9m $15.9m 0.08% New
56 Kingsview Wealth Management, LLC 0.57% of their portfolio GRANTS PASS, OR 264,798264.8k $15.7m $15.7m 0.57% Added +51.8k +51,775
57 Capital Investment Advisory Services, LLC 1.55% of their portfolio RALEIGH, NC 263,485263.5k $15.7m $15.7m 1.55% Added +65.6k +65,597
58 JANE STREET GROUP, LLC 0.02% of their portfolio NEW YORK, NY 260,388260.4k $15.5m $15.5m 0.02% Reduced -1.4m -1,368,574
59 TD Capital Management LLC 1.89% of their portfolio MEMPHIS, TN 260,241260.2k $15.5m $15.5m 1.89% Reduced -37.9k -37,856
60 CITIGROUP INC 0.02% of their portfolio NEW YORK, NY 255,134255.1k $15.2m $15.2m 0.02% Reduced -23.6k -23,615
61 AE Wealth Management LLC 0.09% of their portfolio TOPEKA, KS 249,120249.1k $14.8m $14.8m 0.09% Reduced -89.8k -89,812
62 WEALTHSOURCE PARTNERS, LLC 1.00% of their portfolio SAN LUIS OBISPO, CA 246,393246.4k $14.6m $14.6m 1.00% Added +74.7k +74,732
63 San Luis Wealth Advisors LLC 6.82% of their portfolio SAN LUIS OBISPO, CA 238,267238.3k $14.2m $14.2m 6.82% Added +47.4k +47,446
64 SHELTON WEALTH MANAGEMENT, LLC 11.08% of their portfolio FORT WORTH, TX 233,193233.2k $13.9m $13.9m 11.08% Reduced -6.4k -6,438
65 RiverTree Advisors, LLC 9.89% of their portfolio WINTER PARK, FL 223,758223.8k $13.3m $13.3m 9.89% Added +3.9k +3,883
66 Amplius Wealth Advisors, LLC 1.75% of their portfolio BLUE BELL, PA 219,151219.2k $13.0m $13.0m 1.75% Added +52.5k +52,514
67 UNITED CAPITAL FINANCIAL ADVISORS, LLC 0.08% of their portfolio IRVING, TX 217,738217.7k $12.9m $12.9m 0.08% Reduced -49.2k -49,218
68 Sigma Planning Corp 0.47% of their portfolio ANN ARBOR, MI 210,486210.5k $12.5m $12.5m 0.47% Reduced -50.2k -50,189
69 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.97% of their portfolio BIRMINGHAM, AL 208,479208.5k $12.4m $12.4m 0.97% Added +18.7k +18,679
70 Gladstone Institutional Advisory LLC 0.80% of their portfolio Bedminster, NJ 207,607207.6k $12.3m $12.3m 0.80% Added +22.1k +22,083
71 LAKE STREET PRIVATE WEALTH, LLC 2.10% of their portfolio CHICAGO, IL 195,922195.9k $11.7m $11.7m 2.10% Added +114.2k +114,165
72 Petix & Botte Co 3.67% of their portfolio LA MESA, CA 195,779195.8k $11.6m $11.6m 3.67% Added +3.1k +3,127
73 MGO ONE SEVEN LLC 0.89% of their portfolio Beachwood, OH 191,913191.9k $11.4m $11.4m 0.89% Reduced -11.4k -11,395
74 WCG Wealth Advisors LLC 0.83% of their portfolio LAS VEGAS, NV 191,460191.5k $11.4m $11.4m 0.83% Unchanged
75 Foundations Investment Advisors, LLC 0.34% of their portfolio PHOENIX, AZ 188,454188.5k $11.2m $11.2m 0.34% Added +9.0k +9,013
76 FIRST TRUST ADVISORS LP 0.01% of their portfolio Wheaton, IL 187,905187.9k $11.2m $11.2m 0.01% Reduced -1.6m -1,644,422
77 Naviter Wealth, LLC 2.56% of their portfolio LITTLE ROCK, AR 177,989178.0k $10.6m $10.6m 2.56% Added +7.5k +7,457
78 Rockefeller Capital Management L.P. 0.04% of their portfolio NEW YORK, NY 174,848174.8k $10.4m $10.4m 0.04% Added +6.1k +6,096
79 Ameritas Advisory Services, LLC 0.50% of their portfolio Lincoln, NE 170,034170.0k $10.1m $10.1m 0.50% Added +106.2k +106,249
80 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.03% of their portfolio PLYMOUTH, MN 168,359168.4k $10.0m $10.0m 0.03% Added +72.0k +71,992
81 Mainsail Financial Group, LLC 8.99% of their portfolio BELLEVUE, WA 166,776166.8k $9.9m $9.9m 8.99% Reduced -10.2k -10,210
82 TRUSTMARK BANK TRUST DEPARTMENT 0.94% of their portfolio JACKSON, MS 160,878160.9k $9.6m $9.6m 0.94% Reduced -3.0k -2,972
83 Corient Private Wealth LP 0.02% of their portfolio MIAMI, FL 158,753158.8k $9.4m $9.4m 0.02% Added +307 +307
84 TOWNSQUARE CAPITAL LLC 0.17% of their portfolio Lehi, UT 154,146154.1k $9.2m $9.2m 0.17% Reduced -15.0k -14,980
85 Ellsworth Advisors, LLC 3.26% of their portfolio HUDSON, OH 153,992154.0k $9.2m $9.2m 3.26% Reduced -4.5k -4,470
86 FLOW TRADERS U.S. LLC 0.42% of their portfolio NEW YORK, NY 152,469152.5k $9.1m $9.1m 0.42% Added +141.1k +141,145
87 Nilsine Partners, LLC 1.29% of their portfolio GREENWOOD VILLAGE, CO 143,334143.3k $8.5m $8.5m 1.29% Reduced -1.3k -1,269
88 B. Riley Wealth Advisors, Inc. 0.23% of their portfolio MEMPHIS, TN 141,787141.8k $8.5m $8.5m 0.23% Reduced -5.3k -5,269
89 Long Run Wealth Advisors, LLC 2.73% of their portfolio Lake Placid, NY 141,777141.8k $8.4m $8.4m 2.73% Reduced -14.5k -14,481
90 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 138,845138.8k $8.3m $8.3m 0.01% Added +1.6k +1,574
91 NATIONAL BANK OF CANADA /FI/ 0.01% of their portfolio MONTREAL, A8 137,000137.0k $8.1m $8.1m 0.01% New
92 Jaffetilchin Investment Partners, LLC 0.89% of their portfolio TAMPA, FL 135,366135.4k $8.0m $8.0m 0.89% Added +13.2k +13,190
93 IronBridge Private Wealth, LLC 4.22% of their portfolio Austin, TX 130,996131.0k $7.8m $7.8m 4.22% New
94 First Horizon Advisors, Inc. 0.28% of their portfolio MEMPHIS, TN 129,547129.5k $7.7m $7.7m 0.28% Added +2.5k +2,460
95 COMERICA BANK 0.04% of their portfolio DALLAS, TX 128,008128.0k $7.6m $7.6m 0.04% New
96 MILLENNIUM MANAGEMENT LLC 0.01% of their portfolio NEW YORK, NY 127,344127.3k $7.6m $7.6m 0.01% Reduced -4.7k -4,669
97 Prosperity Financial Group, Inc. 6.23% of their portfolio San Ramon, CA 126,981127.0k $7.5m $7.5m 6.23% Added +43.0k +42,988
98 Ashton Thomas Private Wealth, LLC 0.55% of their portfolio SCOTTSDALE, AZ 126,471126.5k $7.5m $7.5m 0.55% Reduced -2.5k -2,455
99 Family Capital Management, Inc. 4.85% of their portfolio GRAND RAPIDS, MI 123,625123.6k $7.3m $7.3m 4.85% Reduced -49.9k -49,894
100 Western Wealth Management, LLC 0.62% of their portfolio GOLDEN, CO 123,588123.6k $7.3m $7.3m 0.62% Added +33.2k +33,210