Vault-13

FIRST TR EXCHANGE-TRADED FD FTSM

FIRST TR ENH NEW · ETP · CUSIP 33739Q408

420 institutional holders +26 vs Q3 2023
104,953,433105.0m shares reported held*
$6.3bnreported value*
31 new 110 added 210 reduced 34 sold out net bought ≈ $630.5m (+10.6m 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 ($208.0k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $59.65. Options: 2 managers hold calls ($28.0k notional), 1 hold puts ($0).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 346Q4 22: 387Q1 23: 402Q2 23: 391Q3 23: 394Q4 23: 420420Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022346
Q4 2022387
Q1 2023402
Q2 2023391
Q3 2023394
Q4 2023420

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 23Q4 23: 141 bought or addedQ4 23: 244 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022213147
Q1 2023211179
Q2 2023173227
Q3 2023158229
Q4 2023141244

Calls vs puts

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

CallsPuts
$0$5m$10m$15mQ1 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 —Q4 23 calls: $28.0kQ4 23 puts: $0Q4 23P/C 0.00
Numbers
QuarterCallsPutsP/C
Q1 2023$0$0—
Q2 2023$0$12.8m—
Q3 2023$0$0—
Q4 2023$28.0k$00.00

Biggest buyers

MORGAN STANLEY Added +13,411,565+13.4m
FIRST TRUST ADVISORS LP Added +1,543,108+1.5m
Coppell Advisory Solutions LLC Added +546,978+547.0k
RENAISSANCE TECHNOLOGIES LLC Added +454,800+454.8k
GDS Wealth Management New +393,454+393.5k
JPMORGAN CHASE & CO Added +304,544+304.5k
ROYAL BANK OF CANADA Added +250,534+250.5k
Prospera Financial Services Inc Added +196,989+197.0k
FLOW TRADERS U.S. LLC Added +174,034+174.0k
HBK Sorce Advisory LLC Added +152,755+152.8k

Biggest sellers

WELLS FARGO & COMPANY/MN Reduced -970,180-970.2k
OSAIC HOLDINGS, INC. Reduced -795,596-795.6k
BANK OF AMERICA CORP /DE/ Reduced -357,703-357.7k
STIFEL FINANCIAL CORP Reduced -303,317-303.3k
Synergy Asset Management, LLC Reduced -276,721-276.7k
ENVESTNET ASSET MANAGEMENT INC Reduced -264,571-264.6k
Atria Wealth Solutions, Inc. Reduced -236,232-236.2k
Integrated Wealth Concepts LLC Reduced -234,005-234.0k
LPL Financial LLC Reduced -222,601-222.6k
Cassia Capital Partners, LLC Reduced -220,643-220.6k

Biggest calls

SIMPLEX TRADING, LLC New $28.0k600 shares
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, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.07% of their portfolio NEW YORK, NY 27,918,53227.9m $1.7bn $1.7bn 0.07% Added +13.4m +13,411,565
2 WELLS FARGO & COMPANY/MN 0.15% of their portfolio SAN FRANCISCO, CA 8,651,6398.7m $516.2m $516.2m 0.15% Reduced -970.2k -970,180
3 LPL Financial LLC 0.31% of their portfolio FORT MILL, SC 8,500,3528.5m $507.1m $507.1m 0.31% Reduced -222.6k -222,601
4 UBS Group AG 0.11% of their portfolio ZURICH, V8 4,404,4654.4m $262.8m $262.8m 0.11% Reduced -206.5k -206,529
5 BANK OF AMERICA CORP /DE/ 0.02% of their portfolio CHARLOTTE, NC 3,396,3083.4m $202.6m $202.6m 0.02% Reduced -357.7k -357,703
6 ROYAL BANK OF CANADA 0.05% of their portfolio TORONTO, A6 3,081,9823.1m $183.9m $183.9m 0.05% Added +250.5k +250,534
7 OSAIC HOLDINGS, INC. 0.28% of their portfolio SCOTTSDALE, AZ 2,715,3292.7m $162.0m $162.0m 0.28% Reduced -795.6k -795,596
8 Raymond James Financial Services Advisors, Inc. 0.22% of their portfolio ST. PETERSBURG, FL 2,240,3602.2m $133.7m $133.7m 0.22% Reduced -66.4k -66,367
9 FIRST TRUST ADVISORS LP 0.11% of their portfolio Wheaton, IL 1,731,0131.7m $103.3m $103.3m 0.11% Added +1.5m +1,543,108
10 Cambridge Investment Research Advisors, Inc. 0.38% of their portfolio FAIRFIELD, IA 1,499,0351.5m $89.4m $89.4m 0.38% Reduced -82.9k -82,882
11 TUCKER ASSET MANAGEMENT LLC 19.88% of their portfolio LITTLETON, CO 1,334,1271.3m $79.6m $79.6m 19.88% Reduced -33.4k -33,359
12 RENAISSANCE TECHNOLOGIES LLC 0.12% of their portfolio NEW YORK, NY 1,299,1001.3m $77.5m $77.5m 0.12% Added +454.8k +454,800
13 COMMONWEALTH EQUITY SERVICES, LLC 0.13% of their portfolio WALTHAM, MA 1,184,3101.2m $70.7m $70.7m 0.13% Reduced -124.5k -124,532
14 Cetera Advisors LLC 0.97% of their portfolio DENVER, CO 1,173,7901.2m $70.0m $70.0m 0.97% Reduced -64.3k -64,349
15 RAYMOND JAMES & ASSOCIATES 0.05% of their portfolio ST PETERSBURG, FL 1,157,9331.2m $69.1m $69.1m 0.05% Reduced -16.5k -16,457
16 Csenge Advisory Group 3.70% of their portfolio CLEARWATER, FL 996,039996.0k $59.4m $59.4m 3.70% Added +33.1k +33,059
17 Prospera Financial Services Inc 1.95% of their portfolio Dallas, TX 988,294988.3k $59.0m $59.0m 1.95% Added +197.0k +196,989
18 STIFEL FINANCIAL CORP 0.07% of their portfolio ST. LOUIS, MO 947,178947.2k $56.5m $56.5m 0.07% Reduced -303.3k -303,317
19 Coppell Advisory Solutions LLC 10.66% of their portfolio COPPELL, TX 896,817896.8k $53.5m $53.5m 10.66% Added +547.0k +546,978
20 IFP Advisors, Inc 2.06% of their portfolio TAMPA, FL 732,844732.8k $43.7m $43.7m 2.06% Reduced -153.1k -153,073
21 ENVESTNET ASSET MANAGEMENT INC 0.02% of their portfolio Berwyn, PA 689,497689.5k $41.1m $41.1m 0.02% Reduced -264.6k -264,571
22 Mariner, LLC 0.10% of their portfolio Overland Park, KS 683,790683.8k $40.8m $40.8m 0.10% Reduced -121.7k -121,723
23 Hansen & Associates Financial Group, Inc. 19.13% of their portfolio ROSEVILLE, CA 612,040612.0k $36.6m $36.6m 19.13% First filing
24 Gradient Investments LLC 0.88% of their portfolio ARDEN HILLS, MN 608,688608.7k $36.3m $36.3m 0.88% Reduced -65.9k -65,899
25 Atria Investments, Inc 0.53% of their portfolio Charlotte, NC 574,059574.1k $34.2m $34.2m 0.53% Added +12.6k +12,646
26 MANCHESTER FINANCIAL INC 9.46% of their portfolio Westlake Village, CA 567,790567.8k $33.9m $33.9m 9.46% Added +719 +719
27 Avestar Capital, LLC 3.79% of their portfolio New York, NY 512,691512.7k $30.7m $30.7m 3.79% Added +7.1k +7,083
28 Kestra Advisory Services, LLC 0.23% of their portfolio AUSTIN, TX 474,547474.5k $28.3m $28.3m 0.23% Reduced -34.4k -34,350
29 Baird Financial Group, Inc. 0.06% of their portfolio MILWAUKEE, WI 466,383466.4k $27.8m $27.8m 0.06% Reduced -175.2k -175,210
30 HARBOUR INVESTMENTS, INC. 1.06% of their portfolio MADISON, WI 431,136431.1k $25.7m $25.7m 1.06% Added +124.7k +124,661
31 Harvest Investment Services, LLC 11.72% of their portfolio Oakbrook Terrace, IL 426,854426.9k $25.5m $25.5m 11.72% Added +107.6k +107,616
32 GDS Wealth Management 3.17% of their portfolio FLOWER MOUND, TX 393,454393.5k $23.5m $23.5m 3.17% New
33 Janney Montgomery Scott LLC 0.07% of their portfolio PHILADELPHIA, PA 367,040367.0k $21.9m $21.9m 0.07% Reduced -88.6k -88,552
34 Steward Partners Investment Advisory, LLC 0.29% of their portfolio STAMFORD, CT 359,617359.6k $21.5m $21.5m 0.29% Reduced -38.5k -38,522
35 CITADEL ADVISORS LLC 0.02% of their portfolio MIAMI, FL 357,418357.4k $21.3m $21.3m 0.02% Added +65.2k +65,238
36 PARK NATIONAL CORP /OH/ 0.85% of their portfolio NEWARK, OH 348,176348.2k $20.8m $20.8m 0.85% Reduced -22.1k -22,121
37 Schwallier Wealth Management LLC 17.10% of their portfolio GRAND RAPIDS, MI 345,879345.9k $20.6m $20.6m 17.10% First filing
38 WEALTHSOURCE PARTNERS, LLC 1.33% of their portfolio SAN LUIS OBISPO, CA 343,635343.6k $20.5m $20.5m 1.33% Added +97.2k +97,242
39 Cetera Advisor Networks LLC 0.11% of their portfolio EL SEGUNDO, CA 337,131337.1k $20.1m $20.1m 0.11% Reduced -13.7k -13,720
40 Cassia Capital Partners, LLC 16.62% of their portfolio WINSTON SALEM, NC 335,504335.5k $20.0m $20.0m 16.62% Reduced -220.6k -220,643
41 Pine Valley Investments Ltd Liability Co 1.67% of their portfolio MARLTON, NJ 332,426332.4k $19.8m $19.8m 1.67% Added +41.0k +41,001
42 AVANTAX ADVISORY SERVICES, INC. 0.19% of their portfolio DALLAS, TX 327,890327.9k $19.6m $19.6m 0.19% Reduced -39.4k -39,447
43 NewEdge Advisors, LLC 0.19% of their portfolio NEW ORLEANS, LA 327,829327.8k $19.6m $19.6m 0.19% Reduced -30.0k -30,023
44 FLOW TRADERS U.S. LLC 0.60% of their portfolio NEW YORK, NY 326,503326.5k $19.5m $19.5m 0.60% Added +174.0k +174,034
45 Atria Wealth Solutions, Inc. 0.24% of their portfolio NEW YORK, NY 325,941325.9k $19.5m $19.5m 0.24% Reduced -236.2k -236,232
46 Kingsview Wealth Management, LLC 0.56% of their portfolio GRANTS PASS, OR 314,339314.3k $18.8m $18.8m 0.56% Added +49.5k +49,541
47 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 308,164308.2k $18.4m $18.4m 0.00% Added +304.5k +304,544
48 AE Wealth Management LLC 0.09% of their portfolio TOPEKA, KS 297,105297.1k $17.8m $17.8m 0.09% Added +48.0k +47,985
49 Triumph Capital Management 7.48% of their portfolio DENVER, CO 295,368295.4k $17.6m $17.6m 7.48% Added +2.8k +2,831
50 Private Advisor Group, LLC 0.14% of their portfolio MORRISTOWN, NJ 295,122295.1k $17.6m $17.6m 0.14% Reduced -20.8k -20,831
51 RiverTree Advisors, LLC 11.81% of their portfolio WINTER PARK, FL 291,184291.2k $17.4m $17.4m 11.81% Added +67.4k +67,426
52 Cetera Investment Advisers 0.14% of their portfolio SCHAUMBURG, IL 291,167291.2k $17.4m $17.4m 0.14% Reduced -66.1k -66,127
53 Simplicity Wealth,LLC 6.56% of their portfolio SUMMIT, NJ 284,183284.2k $17.0m $17.0m 6.56% Added +8.0k +8,010
54 KESTRA PRIVATE WEALTH SERVICES, LLC 0.43% of their portfolio AUSTIN, TX 282,542282.5k $16.9m $16.9m 0.43% Reduced -37.9k -37,862
55 HBK Sorce Advisory LLC 0.63% of their portfolio ERIE, PA 273,944273.9k $16.3m $16.3m 0.63% Added +152.8k +152,755
56 TRUIST FINANCIAL CORP 0.03% of their portfolio CHARLOTTE, NC 263,771263.8k $15.7m $15.7m 0.03% Reduced -7.8k -7,846
57 SHELTON WEALTH MANAGEMENT, LLC 10.74% of their portfolio FORT WORTH, TX 253,702253.7k $15.1m $15.1m 10.74% Added +20.5k +20,509
58 1776 Wealth LLC 7.22% of their portfolio ATLANTA, GA 244,067244.1k $14.6m $14.6m 7.22% Reduced -55.5k -55,461
59 StoneX Group Inc. 1.41% of their portfolio NEW YORK, NY 237,539237.5k $14.2m $14.2m 1.41% Reduced -37.0k -37,000
60 HighTower Advisors, LLC 0.02% of their portfolio CHICAGO, IL 234,170234.2k $14.0m $14.0m 0.02% Reduced -186.0k -185,956
61 LAKE STREET PRIVATE WEALTH, LLC 2.15% of their portfolio CHICAGO, IL 229,006229.0k $13.7m $13.7m 2.15% Added +33.1k +33,084
62 Capital Investment Advisory Services, LLC 1.27% of their portfolio RALEIGH, NC 227,884227.9k $13.6m $13.6m 1.27% Reduced -35.6k -35,601
63 OPPENHEIMER & CO INC 0.25% of their portfolio NEW YORK, NY 226,564226.6k $13.5m $13.5m 0.25% Reduced -94.6k -94,573
64 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.96% of their portfolio BIRMINGHAM, AL 225,268225.3k $13.4m $13.4m 0.96% Added +16.8k +16,789
65 TD Capital Management LLC 1.53% of their portfolio MEMPHIS, TN 224,249224.2k $13.4m $13.4m 1.53% Reduced -36.0k -35,992
66 CITIGROUP INC 0.02% of their portfolio NEW YORK, NY 222,651222.7k $13.3m $13.3m 0.02% Reduced -32.5k -32,483
67 FSC Wealth Advisors, LLC 9.58% of their portfolio WAPPINGERS FALLS, NY 219,194219.2k $13.1m $13.1m 9.58% Reduced -102.0k -101,956
68 ORBA Wealth Advisors, L.L.C. 7.60% of their portfolio CHICAGO, IL 212,445212.4k $12.7m $12.7m 7.60% First filing
69 Cerity Partners LLC 0.04% of their portfolio NEW YORK, NY 196,264196.3k $11.7m $11.7m 0.04% Reduced -71.9k -71,854
70 Gladstone Institutional Advisory LLC 0.65% of their portfolio Bedminster, NJ 194,526194.5k $11.6m $11.6m 0.65% Reduced -13.1k -13,081
71 Petix & Botte Co 3.38% of their portfolio LA MESA, CA 192,200192.2k $11.5m $11.5m 3.38% Reduced -3.6k -3,579
72 Rockefeller Capital Management L.P. 0.04% of their portfolio NEW YORK, NY 191,427191.4k $11.4m $11.4m 0.04% Added +16.6k +16,579
73 Naviter Wealth, LLC 2.27% of their portfolio LITTLE ROCK, AR 189,337189.3k $11.3m $11.3m 2.27% Added +11.3k +11,348
74 Financial Enhancement Group LLC 1.94% of their portfolio ANDERSON, IN 183,872183.9k $11.0m $11.0m 1.94% Reduced -92.2k -92,162
75 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 183,590183.6k $11.0m $11.0m 0.01% Added +44.7k +44,745
76 Corient Private Wealth LP 0.02% of their portfolio MIAMI, FL 181,167181.2k $10.8m $10.8m 0.02% Added +22.4k +22,414
77 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.03% of their portfolio PLYMOUTH, MN 173,212173.2k $10.3m $10.3m 0.03% Added +4.9k +4,853
78 Jaffetilchin Investment Partners, LLC 0.98% of their portfolio TAMPA, FL 168,970169.0k $10.1m $10.1m 0.98% Added +33.6k +33,604
79 Mainsail Financial Group, LLC 7.82% of their portfolio BELLEVUE, WA 168,735168.7k $10.1m $10.1m 7.82% Added +2.0k +1,959
80 Synergy Asset Management, LLC 1.78% of their portfolio VANCOUVER, WA 166,746166.7k $9.9m $9.9m 1.78% Reduced -276.7k -276,721
81 Foundations Investment Advisors, LLC 0.27% of their portfolio PHOENIX, AZ 166,638166.6k $10.0m $10.0m 0.27% Reduced -21.8k -21,816
82 Luken Investment Analytics, LLC 5.21% of their portfolio BRENTWOOD, TN 161,913161.9k $9.7m $9.7m 5.21% Added +60.0k +60,000
83 Western Wealth Management, LLC 0.69% of their portfolio GOLDEN, CO 161,037161.0k $9.6m $9.6m 0.69% Added +37.4k +37,449
84 San Luis Wealth Advisors LLC 4.01% of their portfolio SAN LUIS OBISPO, CA 158,941158.9k $9.5m $9.5m 4.01% Reduced -79.3k -79,326
85 Ellsworth Advisors, LLC 3.00% of their portfolio HUDSON, OH 158,650158.7k $9.5m $9.5m 3.00% Added +4.7k +4,658
86 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.02% of their portfolio BALA CYNWYD, PA 158,099158.1k $9.4m $9.4m 0.02% Added +60.1k +60,137
87 MML INVESTORS SERVICES, LLC 0.04% of their portfolio SPRINGFIELD, MA 157,466157.5k $9.4m $9.4m 0.04% Reduced -168.1k -168,142
88 TRUSTMARK BANK TRUST DEPARTMENT 0.85% of their portfolio JACKSON, MS 155,868155.9k $9.3m $9.3m 0.85% Reduced -5.0k -5,010
89 JANE STREET GROUP, LLC 0.01% of their portfolio NEW YORK, NY 154,143154.1k $9.2m $9.2m 0.01% Reduced -106.2k -106,245
90 Creekmur Asset Management LLC 2.78% of their portfolio MORTON, IL 149,806149.8k $8.9m $8.9m 2.78% First filing
91 Bramshill Investments, LLC 0.85% of their portfolio NAPLES, FL 145,124145.1k $8.7m $8.7m 0.85% New
92 Long Run Wealth Advisors, LLC 2.39% of their portfolio Lake Placid, NY 138,653138.7k $8.3m $8.3m 2.39% Reduced -3.1k -3,124
93 Ashton Thomas Private Wealth, LLC 0.52% of their portfolio SCOTTSDALE, AZ 138,364138.4k $8.3m $8.3m 0.52% Added +11.9k +11,893
94 Nilsine Partners, LLC 1.25% of their portfolio GREENWOOD VILLAGE, CO 136,656136.7k $8.2m $8.2m 1.25% Reduced -6.7k -6,678
95 Prosperity Financial Group, Inc. 5.27% of their portfolio San Ramon, CA 127,268127.3k $7.6m $7.6m 5.27% Added +287 +287
96 Sterling Manor Financial, LLC 6.40% of their portfolio Saratoga Springs, NY 126,633126.6k $7.6m $7.6m 6.40% Added +61.7k +61,692
97 COMERICA BANK 0.03% of their portfolio DALLAS, TX 125,981126.0k $7.5m $7.5m 0.03% Reduced -2.0k -2,027
98 B. Riley Wealth Advisors, Inc. 0.20% of their portfolio MEMPHIS, TN 122,008122.0k $7.3m $7.3m 0.20% Reduced -19.8k -19,779
99 TWIN PEAKS WEALTH ADVISORS, LLC 4.61% of their portfolio SAN FRANCISCO, CA 121,040121.0k $7.2m $7.2m 4.61% First filing
100 Equitable Holdings, Inc. 0.08% of their portfolio NEW YORK, NY 114,172114.2k $6.8m $6.8m 0.08% Added +1.3k +1,290