Vault-13

FIRST TR EXCHNG TRADED FD VI FIXD

TCW OPPORTUNIS · ETP · CUSIP 33740F805

321 institutional holders -12 vs Q2 2023
89,565,00589.6m shares reported held*
$3.8bnreported value*
17 new 153 added 121 reduced 30 sold out net bought ≈ $260.4m (+6.2m 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 ($9.8m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $42.07. Options: 2 managers hold calls ($1.0k notional), 0 hold puts (—).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0200400Q3 22: 286Q4 22: 296Q1 23: 307Q2 23: 333Q3 23: 321321Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022286
Q4 2022296
Q1 2023307
Q2 2023333
Q3 2023321

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q4 22: 123 bought or addedQ4 22: 168 cut or sold outQ4 22Q1 23: 187 bought or addedQ1 23: 119 cut or sold outQ1 23Q2 23: 215 bought or addedQ2 23: 106 cut or sold outQ2 23Q3 23: 170 bought or addedQ3 23: 151 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022123168
Q1 2023187119
Q2 2023215106
Q3 2023170151

Calls vs puts

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

CallsPuts
$0$5m$10m$15m$20mQ4 22 calls: $7.4kQ4 22 puts: $0Q4 22P/C 0.00Q1 23 calls: $0Q1 23 puts: $0Q1 23P/C —Q2 23 calls: $1.0kQ2 23 puts: $19.5mQ2 23P/C 19549.09Q3 23 calls: $1.0kQ3 23 puts: $0Q3 23P/C 0.00
Numbers
QuarterCallsPutsP/C
Q4 2022$7.4k$00.00
Q1 2023$0$0—
Q2 2023$1.0k$19.5m19549.09
Q3 2023$1.0k$00.00

Biggest buyers

LPL Financial LLC Added +1,393,129+1.4m
UBS Group AG Added +1,157,727+1.2m
WELLS FARGO & COMPANY/MN Added +951,438+951.4k
Bank of New York Mellon Corp Added +946,759+946.8k
MORGAN STANLEY Added +682,697+682.7k
Raymond James Financial Services Advisors, Inc. Added +426,833+426.8k
JANE STREET GROUP, LLC New +420,062+420.1k
OSAIC HOLDINGS, INC. Added +394,999+395.0k
AXXCESS WEALTH MANAGEMENT, LLC Added +353,795+353.8k
SUSQUEHANNA INTERNATIONAL GROUP, LLP New +340,909+340.9k

Biggest sellers

HANTZ FINANCIAL SERVICES, INC. Reduced -1,162,236-1.2m
STEPHENS INC /AR/ Reduced -1,127,818-1.1m
BANK OF AMERICA CORP /DE/ Reduced -592,529-592.5k
IFP Advisors, Inc Reduced -235,902-235.9k
Horizon Investments, LLC Reduced -203,569-203.6k
Sterling Manor Financial, LLC Sold out -171,030-171.0k
Cambridge Investment Research Advisors, Inc. Reduced -141,643-141.6k
Forbes Financial Planning, Inc. Sold out -134,822-134.8k
Arkadios Wealth Advisors Reduced -131,183-131.2k
ENVESTNET ASSET MANAGEMENT INC Reduced -108,808-108.8k

Biggest calls

SIMPLEX TRADING, LLC Added $1.0k400 shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

None

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 0.04% of their portfolio NEW YORK, NY 9,647,0849.6m $405.7m $405.7m 0.04% Added +682.7k +682,697
2 LPL Financial LLC 0.22% of their portfolio FORT MILL, SC 7,304,5977.3m $307.2m $307.2m 0.22% Added +1.4m +1,393,129
3 SIGNATURE ESTATE & INVESTMENT ADVISORS LLC 8.33% of their portfolio LOS ANGELES, CA 5,857,3175.9m $246.3m $246.3m 8.33% Added +189.5k +189,528
4 WELLS FARGO & COMPANY/MN 0.07% of their portfolio SAN FRANCISCO, CA 4,954,9375.0m $208.4m $208.4m 0.07% Added +951.4k +951,438
5 ENVESTNET ASSET MANAGEMENT INC 0.08% of their portfolio Berwyn, PA 4,336,2494.3m $182.4m $182.4m 0.08% Reduced -108.8k -108,808
6 UBS Group AG 0.07% of their portfolio ZURICH, V8 3,650,5413.7m $153.5m $153.5m 0.07% Added +1.2m +1,157,727
7 Raymond James Financial Services Advisors, Inc. 0.24% of their portfolio ST. PETERSBURG, FL 3,182,5743.2m $133.8m $133.8m 0.24% Added +426.8k +426,833
8 OSAIC HOLDINGS, INC. 0.16% of their portfolio SCOTTSDALE, AZ 2,632,3692.6m $110.7m $110.7m 0.16% Added +395.0k +394,999
9 RAYMOND JAMES & ASSOCIATES 0.07% of their portfolio ST PETERSBURG, FL 2,117,2502.1m $89.0m $89.0m 0.07% Added +204.1k +204,091
10 Bank of New York Mellon Corp 0.01% of their portfolio NEW YORK, NY 1,415,4551.4m $59.5m $59.5m 0.01% Added +946.8k +946,759
11 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 1,239,0011.2m $52.1m $52.1m 0.01% Reduced -592.5k -592,529
12 LVZ, Inc. 7.93% of their portfolio Holland, MI 1,168,5081.2m $49.1m $49.1m 7.93% Reduced -85.2k -85,165
13 Horizon Investments, LLC 1.39% of their portfolio Charlotte, NC 1,090,9801.1m $45.7m $45.7m 1.39% Reduced -203.6k -203,569
14 Private Advisor Group, LLC 0.39% of their portfolio MORRISTOWN, NJ 1,027,3101.0m $43.2m $43.2m 0.39% Added +53.5k +53,477
15 GDS Wealth Management 6.66% of their portfolio FLOWER MOUND, TX 1,006,9511.0m $42.3m $42.3m 6.66% Added +76.0k +76,007
16 Bogart Wealth, LLC 2.50% of their portfolio MCLEAN, VA 964,032964.0k $40.5m $40.5m 2.50% Added +19.3k +19,325
17 Pine Valley Investments Ltd Liability Co 3.80% of their portfolio MARLTON, NJ 939,601939.6k $39.5m $39.5m 3.80% Added +124.6k +124,552
18 Allen Capital Group, LLC 7.19% of their portfolio GRAND ISLAND, NE 933,198933.2k $38.9m $38.9m 7.19% Added +22.1k +22,130
19 COMMONWEALTH EQUITY SERVICES, LLC 0.08% of their portfolio WALTHAM, MA 928,692928.7k $39.1m $39.1m 0.08% Reduced -46.5k -46,450
20 Cetera Investment Advisers 0.33% of their portfolio SCHAUMBURG, IL 897,763897.8k $37.8m $37.8m 0.33% Added +31.7k +31,695
21 STIFEL FINANCIAL CORP 0.05% of their portfolio ST. LOUIS, MO 854,143854.1k $35.9m $35.9m 0.05% Added +206.9k +206,907
22 TRUIST FINANCIAL CORP 0.06% of their portfolio CHARLOTTE, NC 840,306840.3k $35.3m $35.3m 0.06% Added +77.5k +77,483
23 Kestra Advisory Services, LLC 0.34% of their portfolio AUSTIN, TX 833,983834.0k $35.1m $35.1m 0.34% Added +78.4k +78,366
24 Cambridge Investment Research Advisors, Inc. 0.14% of their portfolio FAIRFIELD, IA 730,696730.7k $30.7m $30.7m 0.14% Reduced -141.6k -141,643
25 American Financial Advisors, LLC 4.78% of their portfolio Marietta, GA 721,153721.2k $30.3m $30.3m 4.78% Reduced -19.3k -19,296
26 Coppell Advisory Solutions LLC 10.84% of their portfolio COPPELL, TX 717,264717.3k $31.5m $31.5m 10.84% Added +120.0k +119,956
27 Spire Wealth Management 1.13% of their portfolio MCLEAN, VA 707,638707.6k $29.8m $29.8m 1.13% Reduced -23.8k -23,791
28 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 704,725704.7k $29.6m $29.6m 0.01% Added +62.1k +62,058
29 Long Run Wealth Advisors, LLC 9.31% of their portfolio Lake Placid, NY 682,476682.5k $28.7m $28.7m 9.31% Added +194.6k +194,569
30 AE Wealth Management LLC 0.16% of their portfolio TOPEKA, KS 645,721645.7k $27.2m $27.2m 0.16% Reduced -98.8k -98,798
31 Advance Capital Management, Inc. 2.14% of their portfolio SOUTHFIELD, MI 551,248551.2k $23.2m $23.2m 2.14% Reduced -95.8k -95,785
32 Cyndeo Wealth Partners, LLC 2.37% of their portfolio ST. PETERSBURG, FL 540,048540.0k $22.7m $22.7m 2.37% Reduced -2.0k -1,985
33 Cetera Advisor Networks LLC 0.14% of their portfolio EL SEGUNDO, CA 520,065520.1k $21.9m $21.9m 0.14% Added +69.8k +69,838
34 Sweet Financial Partners, LLC 5.47% of their portfolio FAIRMONT, MN 490,981491.0k $20.6m $20.6m 5.47% Added +17.5k +17,529
35 FDx Advisors, Inc. 1.64% of their portfolio BERWYN, PA 469,596469.6k $19.7m $19.7m 1.64% Added +12.2k +12,243
36 Thrivent Financial for Lutherans 0.05% of their portfolio Minneapolis, MN 450,462450.5k $19.0m $19.0m 0.05% Reduced -41.8k -41,787
37 Seascape Capital Management 8.57% of their portfolio PORTSMOUTH, NH 429,831429.8k $18.1m $18.1m 8.57% Added +19.9k +19,943
38 AXXCESS WEALTH MANAGEMENT, LLC 0.61% of their portfolio CARLSBAD, CA 426,958427.0k $18.0m $18.0m 0.61% Added +353.8k +353,795
39 JANE STREET GROUP, LLC 0.03% of their portfolio NEW YORK, NY 420,062420.1k $17.7m $17.7m 0.03% New
40 Drake & Associates, LLC 7.92% of their portfolio WAUKESHA, WI 415,885415.9k $17.5m $17.5m 7.92% Added +11.5k +11,487
41 KESTRA PRIVATE WEALTH SERVICES, LLC 0.54% of their portfolio AUSTIN, TX 407,174407.2k $17.1m $17.1m 0.54% Added +33.1k +33,109
42 Janney Montgomery Scott LLC 0.06% of their portfolio PHILADELPHIA, PA 404,284404.3k $17.0m $17.0m 0.06% Added +29.1k +29,132
43 Dominguez Wealth Management Solutions, Inc. 15.32% of their portfolio WILLIAMSBURG, VA 394,507394.5k $16.6m $16.6m 15.32% Reduced -11.0k -11,028
44 Mariner, LLC 0.04% of their portfolio Overland Park, KS 373,626373.6k $15.7m $15.7m 0.04% Added +47.4k +47,409
45 Prospera Financial Services Inc 0.60% of their portfolio Dallas, TX 367,307367.3k $15.5m $15.5m 0.60% Added +202.9k +202,919
46 Rehmann Capital Advisory Group 1.44% of their portfolio LANSING, MI 366,757366.8k $15.4m $15.4m 1.44% Added +16.7k +16,700
47 AVANTAX ADVISORY SERVICES, INC. 0.17% of their portfolio DALLAS, TX 364,536364.5k $15.3m $15.3m 0.17% Reduced -13.0k -13,001
48 Alpha Financial Advisors, LLC 9.68% of their portfolio CHARLOTTE, NC 363,386363.4k $15.3m $15.3m 9.68% Added +8.8k +8,752
49 Envestnet Portfolio Solutions, Inc. 0.07% of their portfolio BERWYN, PA 361,292361.3k $15.2m $15.2m 0.07% First filing
50 Sanchez Wealth Management Group 6.13% of their portfolio JACKSONVILLE, FL 361,170361.2k $15.2m $15.2m 6.13% Added +3.5k +3,523
51 O'Connor Financial Group LLC 10.33% of their portfolio QUINCY, IL 358,772358.8k $15.1m $15.1m 10.33% Added +11.1k +11,061
52 Capital Asset Advisory Services LLC 1.02% of their portfolio Williamston, MI 354,853354.9k $14.9m $14.9m 1.02% Added +120.2k +120,212
53 Intrua Financial, LLC 2.65% of their portfolio Houston, TX 347,854347.9k $14.6m $14.6m 2.65% Added +4.2k +4,198
54 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.02% of their portfolio BALA CYNWYD, PA 340,909340.9k $14.3m $14.3m 0.02% New
55 HOWARD FINANCIAL SERVICES, LTD. 3.28% of their portfolio DALLAS, TX 339,923339.9k $14.3m $14.3m 3.28% Added +76.1k +76,097
56 Financial Advocates Investment Management 0.96% of their portfolio OLYMPIA, WA 309,939309.9k $13.0m $13.0m 0.96% Added +38.9k +38,884
57 FIRST TRUST ADVISORS LP 0.01% of their portfolio Wheaton, IL 290,677290.7k $12.2m $12.2m 0.01% Reduced -54.9k -54,889
58 Bluespring Wealth Management, LLC 1.59% of their portfolio AUSTIN, TX 286,673286.7k $12.1m $12.1m 1.59% Reduced -4.2k -4,215
59 Atria Investments, Inc 0.19% of their portfolio Charlotte, NC 259,477259.5k $10.9m $10.9m 0.19% Added +34.7k +34,691
60 Solano Wealth Management, Inc. 7.41% of their portfolio Fairfield, CA 253,886253.9k $10.7m $10.7m 7.41% Added +50.9k +50,921
61 Atria Wealth Solutions, Inc. 0.15% of their portfolio NEW YORK, NY 252,016252.0k $10.6m $10.6m 0.15% Added +29.2k +29,229
62 Sigma Planning Corp 0.40% of their portfolio ANN ARBOR, MI 251,871251.9k $10.6m $10.6m 0.40% Reduced -35.7k -35,693
63 FSB PREMIER WEALTH MANAGEMENT, INC. 5.74% of their portfolio WATERLOO, IA 245,486245.5k $10.3m $10.3m 5.74% Added +17.4k +17,364
64 Larson Financial Group LLC 1.01% of their portfolio ST LOUIS, MO 243,477243.5k $10.2m $10.2m 1.01% Reduced -12.0k -11,985
65 FLYNN ZITO CAPITAL MANAGEMENT, LLC 6.93% of their portfolio GARDEN CITY, NY 234,737234.7k $9.9m $9.9m 6.93% Reduced -26.7k -26,732
66 Commonwealth Financial Services, LLC 2.88% of their portfolio VIENNA, WV 230,264230.3k $9.7m $9.7m 2.88% First filing
67 Gladstone Institutional Advisory LLC 0.62% of their portfolio Bedminster, NJ 228,189228.2k $9.6m $9.6m 0.62% Reduced -8.5k -8,506
68 Darwin Wealth Management, LLC 2.55% of their portfolio TAMPA, FL 225,640225.6k $9.5m $9.5m 2.55% Reduced -9.7k -9,688
69 Mach-1 Financial Group, LLC 3.95% of their portfolio Rogers, AR 224,165224.2k $9.4m $9.4m 3.95% Added +12.4k +12,428
70 Visionary Wealth Advisors 0.76% of their portfolio O'FALLON, IL 223,220223.2k $9.4m $9.4m 0.76% Reduced -30.5k -30,505
71 TCP Asset Management, LLC 4.01% of their portfolio Upper Arlington, OH 222,761222.8k $9.4m $9.4m 4.01% Added +13.4k +13,422
72 FOUNDERS FINANCIAL SECURITIES LLC 1.21% of their portfolio TOWSON, MD 221,576221.6k $9.3m $9.3m 1.21% Added +18.2k +18,228
73 SignalPoint Asset Management, LLC 2.96% of their portfolio SPRINGFIELD, MO 220,448220.4k $9.3m $9.3m 2.96% Added +14.9k +14,923
74 CFO4Life Group, LLC 2.11% of their portfolio COPPELL, TX 217,638217.6k $9.2m $9.2m 2.11% Added +3.3k +3,302
75 IFP Advisors, Inc 0.41% of their portfolio TAMPA, FL 215,650215.7k $9.1m $9.1m 0.41% Reduced -235.9k -235,902
76 Cornerstone Wealth Management, LLC 0.85% of their portfolio ST. PETERS, MO 215,236215.2k $9.1m $9.1m 0.85% Added +9.8k +9,824
77 Cetera Advisors LLC 0.14% of their portfolio DENVER, CO 214,456214.5k $9.0m $9.0m 0.14% Added +33.9k +33,946
78 Snowden Capital Advisors LLC 0.38% of their portfolio New York, NY 214,147214.1k $9.0m $9.0m 0.38% Reduced -25.5k -25,527
79 IAMS WEALTH MANAGEMENT, LLC 6.03% of their portfolio OMAHA, NE 207,133207.1k $8.7m $8.7m 6.03% New
80 NewEdge Advisors, LLC 0.09% of their portfolio NEW ORLEANS, LA 204,393204.4k $8.6m $8.6m 0.09% Reduced -62.6k -62,625
81 Mutual Advisors, LLC 0.32% of their portfolio OMAHA, NE 196,822196.8k $8.3m $8.3m 0.32% Added +118.2k +118,189
82 Eldridge Investment Advisors, Inc. 2.72% of their portfolio MANCHESTER, NH 194,814194.8k $8.2m $8.2m 2.72% Reduced -68.4k -68,361
83 ICA Group Wealth Management, LLC 2.30% of their portfolio DENVER, CO 194,672194.7k $8.2m $8.2m 2.30% Reduced -19.6k -19,639
84 HARBOUR INVESTMENTS, INC. 0.39% of their portfolio MADISON, WI 185,923185.9k $7.8m $7.8m 0.39% Reduced -14.3k -14,286
85 Atlas Private Wealth Management, LLC 4.17% of their portfolio ALBANY, NY 184,770184.8k $7.8m $7.8m 4.17% Added +4.3k +4,259
86 LexAurum Advisors, LLC 2.25% of their portfolio OVERLAND PARK, KS 182,646182.6k $7.7m $7.7m 2.25% Added +27.4k +27,428
87 Family Capital Management, Inc. 4.93% of their portfolio GRAND RAPIDS, MI 177,660177.7k $7.5m $7.5m 4.93% Reduced -4.6k -4,622
88 ERn Financial, LLC 1.54% of their portfolio MIDDLETON, WI 168,248168.2k $7.1m $7.1m 1.54% Added +6.5k +6,543
89 Opes Wealth Management LLC 1.90% of their portfolio MENLO PARK, CA 162,955163.0k $6.9m $6.9m 1.90% Added +25.1k +25,052
90 StoneX Group Inc. 0.73% of their portfolio NEW YORK, NY 161,207161.2k $6.8m $6.8m 0.73% Added +20.6k +20,578
91 HBW ADVISORY SERVICES LLC 1.36% of their portfolio SIMI VALLEY, CA 155,078155.1k $6.5m $6.5m 1.36% New
92 Advisory Alpha, LLC 0.33% of their portfolio HOLLAND, MI 154,662154.7k $6.5m $6.5m 0.33% Reduced -2.1k -2,150
93 Walkner Condon Financial Advisors LLC 1.71% of their portfolio MADISON, WI 153,734153.7k $6.5m $6.5m 1.71% Reduced -20.7k -20,674
94 Orion Porfolio Solutions, LLC 0.08% of their portfolio OMAHA, NE 150,440150.4k $6.3m $6.3m 0.08% Added +40.7k +40,696
95 Orion Portfolio Solutions, LLC 0.08% of their portfolio Omaha, NE 150,440150.4k $6.3m $6.3m 0.08% Added +40.7k +40,696
96 CWM, LLC 0.04% of their portfolio OMAHA, NE 148,166148.2k $6.2m $6.2m 0.04% Reduced -18.8k -18,810
97 Steward Partners Investment Advisory, LLC 0.10% of their portfolio STAMFORD, CT 147,833147.8k $6.2m $6.2m 0.10% Added +2.4k +2,416
98 First Heartland Consultants, Inc. 0.75% of their portfolio LAKE ST. LOUIS, MO 140,583140.6k $5.9m $5.9m 0.75% Added +106.0k +105,997
99 Triumph Capital Management 2.67% of their portfolio DENVER, CO 139,965140.0k $5.9m $5.9m 2.67% Added +51.2k +51,234
100 Cedrus LLC 4.16% of their portfolio Littleton, CO 139,190139.2k $5.9m $5.9m 4.16% Added +68.9k +68,907