Vault-13

FIRST TR EXCHNG TRADED FD VI UCON

TCW UNCONSTRAI · ETP · CUSIP 33740F888

185 institutional holders -1 vs Q1 2023
49,980,48450.0m shares reported held*
$1.2bnreported value*
22 new 91 added 59 reduced 23 sold out net sold ≈ $58.4m (-2.4m 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 ($547.0k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $24.17. Options: 0 managers hold calls (— notional), 1 hold puts ($320.6k).

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 172Q4 22: 184Q1 23: 186Q2 23: 185185Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022172
Q4 2022184
Q1 2023186
Q2 2023185

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 97 bought or addedQ4 22: 82 cut or sold outQ4 22Q1 23: 94 bought or addedQ1 23: 106 cut or sold outQ1 23Q2 23: 113 bought or addedQ2 23: 82 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20229782
Q1 202394106
Q2 202311382

Calls vs puts

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

CallsPuts
$0$100k$200k$300k$400kQ3 22 calls: $0Q3 22 puts: $0Q3 22P/C —Q4 22 calls: $0Q4 22 puts: $0Q4 22P/C —Q1 23 calls: $0Q1 23 puts: $0Q1 23P/C —Q2 23 calls: $0Q2 23 puts: $320.6kQ2 23P/C —
Numbers
QuarterCallsPutsP/C
Q3 2022$0$0—
Q4 2022$0$0—
Q1 2023$0$0—
Q2 2023$0$320.6k—

Biggest buyers

Integrated Wealth Concepts LLC New +726,093+726.1k
UBS Group AG Added +523,106+523.1k
SlateStone Wealth, LLC New +491,362+491.4k
CAPTRUST FINANCIAL ADVISORS Added +344,011+344.0k
Csenge Advisory Group Added +330,614+330.6k
ENVESTNET ASSET MANAGEMENT INC Added +324,359+324.4k
OSAIC HOLDINGS, INC. Added +284,097+284.1k
ROYAL BANK OF CANADA Added +264,912+264.9k
CITADEL ADVISORS LLC Added +222,221+222.2k
XML Financial, LLC New +194,132+194.1k

Biggest sellers

MORGAN STANLEY Reduced -1,598,434-1.6m
Pine Valley Investments Ltd Liability Co Reduced -1,301,172-1.3m
AE Wealth Management LLC Reduced -557,639-557.6k
JANE STREET GROUP, LLC Reduced -498,611-498.6k
CREATIVE FINANCIAL DESIGNS INC /ADV Reduced -445,340-445.3k
BANK OF MONTREAL /CAN/ Sold out -421,026-421.0k
JPMORGAN CHASE & CO Sold out -411,933-411.9k
FIRST TRUST ADVISORS LP Reduced -380,442-380.4k
RiverTree Advisors, LLC Sold out -366,066-366.1k
LPL Financial LLC Reduced -295,442-295.4k

Biggest calls

None

Biggest puts

IAMS WEALTH MANAGEMENT, LLC New $320.6k13.3k 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, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.09% of their portfolio FORT MILL, SC 5,309,6005.3m $128.3m $128.3m 0.09% Reduced -295.4k -295,442
2 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 3,824,5723.8m $92.4m $92.4m 0.01% Reduced -1.6m -1,598,434
3 JANE STREET GROUP, LLC 0.07% of their portfolio NEW YORK, NY 2,095,1702.1m $50.6m $50.6m 0.07% Reduced -498.6k -498,611
4 HARBOUR INVESTMENTS, INC. 2.39% of their portfolio MADISON, WI 1,997,5062.0m $48.3m $48.3m 2.39% Added +15.0k +15,011
5 UBS Group AG 0.02% of their portfolio ZURICH, V8 1,848,6171.8m $44.7m $44.7m 0.02% Added +523.1k +523,106
6 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 1,753,8901.8m $42.4m $42.4m 0.01% Reduced -204.9k -204,899
7 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 1,524,5341.5m $36.8m $36.8m 0.01% Added +264.9k +264,912
8 ENVESTNET ASSET MANAGEMENT INC 0.02% of their portfolio Berwyn, PA 1,461,9021.5m $35.3m $35.3m 0.02% Added +324.4k +324,359
9 OSAIC HOLDINGS, INC. 0.06% of their portfolio SCOTTSDALE, AZ 1,334,1871.3m $32.2m $32.2m 0.06% Added +284.1k +284,097
10 Larson Financial Group LLC 2.51% of their portfolio ST LOUIS, MO 1,038,9121.0m $25.1m $25.1m 2.51% Added +110.4k +110,373
11 Csenge Advisory Group 1.63% of their portfolio CLEARWATER, FL 1,007,4791.0m $24.4m $24.4m 1.63% Added +330.6k +330,614
12 Visionary Wealth Advisors 1.94% of their portfolio O'FALLON, IL 1,005,0241.0m $24.3m $24.3m 1.94% Added +113.9k +113,860
13 Stratos Wealth Advisors, LLC 1.46% of their portfolio BEACHWOOD, OH 854,434854.4k $20.7m $20.7m 1.46% Added +17.1k +17,106
14 Integrated Wealth Concepts LLC 0.30% of their portfolio WALTHAM, MA 726,093726.1k $17.5m $17.5m 0.30% New
15 HighTower Advisors, LLC 0.03% of their portfolio CHICAGO, IL 639,692639.7k $15.5m $15.5m 0.03% Reduced -15.8k -15,813
16 COMMONWEALTH EQUITY SERVICES, LLC 0.03% of their portfolio WALTHAM, MA 611,454611.5k $14.8m $14.8m 0.03% Added +12.5k +12,469
17 Cyndeo Wealth Partners, LLC 1.52% of their portfolio ST. PETERSBURG, FL 603,054603.1k $14.6m $14.6m 1.52% Added +19.5k +19,544
18 JANICZEK WEALTH MANAGEMENT, LLC 4.01% of their portfolio DENVER, CO 602,698602.7k $14.6m $14.6m 4.01% Reduced -6.6k -6,558
19 Bensler, LLC 2.74% of their portfolio Bellevue, WA 597,420597.4k $14.4m $14.4m 2.74% Reduced -6.2k -6,224
20 Darwin Wealth Management, LLC 3.55% of their portfolio TAMPA, FL 572,939572.9k $13.8m $13.8m 3.55% Reduced -17.2k -17,173
21 TRUIST FINANCIAL CORP 0.02% of their portfolio CHARLOTTE, NC 568,848568.8k $13.7m $13.7m 0.02% Reduced -4.7k -4,720
22 EdgeRock Capital LLC 6.38% of their portfolio DENVER, CO 544,496544.5k $13.2m $13.2m 6.38% Reduced -45.5k -45,528
23 Private Advisor Group, LLC 0.11% of their portfolio MORRISTOWN, NJ 506,036506.0k $12.2m $12.2m 0.11% Reduced -155.1k -155,054
24 SlateStone Wealth, LLC 2.23% of their portfolio JUPITER, FL 491,362491.4k $11.9m $11.9m 2.23% New
25 Cetera Investment Advisers 0.10% of their portfolio SCHAUMBURG, IL 471,280471.3k $11.4m $11.4m 0.10% Reduced -7.8k -7,819
26 Great Point Wealth Advisors, LLC 3.41% of their portfolio BOSTON, MA 468,832468.8k $11.3m $11.3m 3.41% Reduced -13.1k -13,124
27 Octavia Wealth Advisors, LLC 2.27% of their portfolio CINCINNATI, OH 461,874461.9k $11.2m $11.2m 2.27% Added +28.2k +28,229
28 Cetera Advisor Networks LLC 0.08% of their portfolio EL SEGUNDO, CA 455,296455.3k $11.0m $11.0m 0.08% Added +2.2k +2,159
29 Arkadios Wealth Advisors 1.23% of their portfolio ATLANTA, GA 436,154436.2k $10.5m $10.5m 1.23% Added +34.1k +34,122
30 Financial Advocates Investment Management 0.76% of their portfolio OLYMPIA, WA 429,448429.4k $10.4m $10.4m 0.76% Reduced -9.5k -9,454
31 Apollon Wealth Management, LLC 0.48% of their portfolio MOUNT PLEASANT, SC 415,826415.8k $10.1m $10.1m 0.48% Added +121.7k +121,740
32 CAPTRUST FINANCIAL ADVISORS 0.04% of their portfolio RALEIGH, NC 402,797402.8k $9.7m $9.7m 0.04% Added +344.0k +344,011
33 HBK Sorce Advisory LLC 0.40% of their portfolio ERIE, PA 390,396390.4k $9.4m $9.4m 0.40% Added +40.2k +40,159
34 AE Wealth Management LLC 0.06% of their portfolio TOPEKA, KS 388,695388.7k $9.4m $9.4m 0.06% Reduced -557.6k -557,639
35 Pitti Group Wealth Management, LLC 10.15% of their portfolio VICTOR, NY 375,062375.1k $9.1m $9.1m 10.15% Reduced -4.4k -4,434
36 Rehmann Capital Advisory Group 0.81% of their portfolio LANSING, MI 373,220373.2k $9.0m $9.0m 0.81% Added +54.7k +54,716
37 WINTRUST INVESTMENTS LLC 0.93% of their portfolio CHICAGO, IL 368,130368.1k $8.9m $8.9m 0.93% Added +56.8k +56,768
38 Dynamic Advisor Solutions LLC 0.46% of their portfolio PHOENIX, AZ 367,800367.8k $8.9m $8.9m 0.46% Added +91.0k +90,974
39 Cambridge Investment Research Advisors, Inc. 0.04% of their portfolio FAIRFIELD, IA 356,317356.3k $8.6m $8.6m 0.04% Reduced -132.9k -132,891
40 Mariner, LLC 0.02% of their portfolio Overland Park, KS 352,232352.2k $8.5m $8.5m 0.02% Reduced -35.3k -35,295
41 Regal Investment Advisors LLC 0.68% of their portfolio KENTWOOD, MI 337,693337.7k $8.2m $8.2m 0.68% Added +19.5k +19,465
42 Lee Financial Group Hawaii, Inc. 7.39% of their portfolio HONOLULU, HI 334,569334.6k $8.1m $8.1m 7.39% Reduced -3.3k -3,310
43 Sigma Planning Corp 0.29% of their portfolio ANN ARBOR, MI 333,578333.6k $8.1m $8.1m 0.29% Reduced -26.3k -26,309
44 COLONY GROUP LLC 0.11% of their portfolio Boston, MA 325,216325.2k $7.9m $7.9m 0.11% Reduced -24.7k -24,727
45 Walkner Condon Financial Advisors LLC 1.95% of their portfolio MADISON, WI 305,534305.5k $7.4m $7.4m 1.95% Added +9.9k +9,935
46 Steward Partners Investment Advisory, LLC 0.11% of their portfolio STAMFORD, CT 302,598302.6k $7.3m $7.3m 0.11% Added +10.4k +10,450
47 VICUS CAPITAL 0.71% of their portfolio STATE COLLEGE, PA 283,418283.4k $6.9m $6.9m 0.71% Reduced -75.7k -75,700
48 Chicago Partners Investment Group LLC 0.34% of their portfolio CHICAGO, IL 271,988272.0k $6.6m $6.6m 0.34% Reduced -1.7k -1,691
49 MML INVESTORS SERVICES, LLC 0.03% of their portfolio SPRINGFIELD, MA 261,876261.9k $6.3m $6.3m 0.03% Added +7.3k +7,343
50 CoreCap Advisors, LLC 0.43% of their portfolio SOUTHFIELD, MI 249,223249.2k $6.0m $6.0m 0.43% First filing
51 CITADEL ADVISORS LLC 0.01% of their portfolio MIAMI, FL 235,989236.0k $5.7m $5.7m 0.01% Added +222.2k +222,221
52 Western Wealth Management, LLC 0.46% of their portfolio GOLDEN, CO 225,509225.5k $5.5m $5.5m 0.46% Added +56.9k +56,879
53 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 224,513224.5k $5.4m $5.4m 0.01% Added +19.6k +19,588
54 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 223,281223.3k $5.4m $5.4m 0.02% Reduced -49.8k -49,846
55 Madison Asset Management, LLC 0.08% of their portfolio MADISON, WI 220,092220.1k $5.3m $5.3m 0.08% Reduced -4.0k -3,993
56 MATHER GROUP, LLC. 0.08% of their portfolio CHICAGO, IL 219,565219.6k $5.3m $5.3m 0.08% Added +13.0k +12,952
57 Tolleson Wealth Management, Inc. 1.26% of their portfolio DALLAS, TX 216,405216.4k $5.2m $5.2m 1.26% Reduced -40.0k -40,004
58 Mutual Advisors, LLC 0.20% of their portfolio OMAHA, NE 216,102216.1k $5.2m $5.2m 0.20% Added +4.5k +4,462
59 Etesian Wealth Advisors, Inc. 3.23% of their portfolio West Linn, OR 204,788204.8k $4.9m $4.9m 3.23% Added +35.9k +35,918
60 Financial Futures Ltd Liability Co. 3.86% of their portfolio BRIELLE, NJ 202,270202.3k $4.9m $4.9m 3.86% Added +81.4k +81,428
61 Mach-1 Financial Group, LLC 1.95% of their portfolio Rogers, AR 201,809201.8k $4.9m $4.9m 1.95% Reduced -7.0k -6,969
62 Simplicity Solutions, LLC 0.13% of their portfolio MINNEAPOLIS, MN 196,720196.7k $4.8m $4.8m 0.13% Added +16.5k +16,484
63 Bleakley Financial Group, LLC 0.15% of their portfolio PARSIPPANY, NJ 196,720196.7k $4.8m $4.8m 0.15% Added +16.5k +16,484
64 XML Financial, LLC 0.54% of their portfolio BETHESDA, MD 194,132194.1k $4.7m $4.7m 0.54% New
65 Elevated Capital Advisors, LLC 1.56% of their portfolio SANDY, UT 193,642193.6k $4.7m $4.7m 1.56% Added +19.0k +19,036
66 Geneos Wealth Management Inc. 0.23% of their portfolio ENGLEWOOD, CO 183,365183.4k $4.4m $4.4m 0.23% Added +5.6k +5,590
67 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 165,472165.5k $4.0m $4.0m 0.00% Reduced -380.4k -380,442
68 O'Connor Financial Group LLC 2.69% of their portfolio QUINCY, IL 161,651161.7k $3.9m $3.9m 2.69% Added +13.3k +13,311
69 BMS Financial Advisors, LLC 2.55% of their portfolio RAPID CITY, SD 161,493161.5k $3.9m $3.9m 2.55% New
70 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 147,164147.2k $3.6m $3.6m 0.01% Reduced -916 -916
71 Ellenbecker Investment Group 0.88% of their portfolio WAUKESHA, WI 144,288144.3k $3.5m $3.5m 0.88% Added +13.6k +13,572
72 IFP Advisors, Inc 0.08% of their portfolio TAMPA, FL 141,152141.2k $3.5m $3.5m 0.08% Added +72.2k +72,187
73 Certified Advisory Corp 0.62% of their portfolio ALTAMONTE SPRINGS, FL 138,566138.6k $3.3m $3.3m 0.62% Added +16.0k +16,009
74 Boyce & Associates Wealth Consulting, Inc. 5.57% of their portfolio CEDAR PARK, TX 138,061138.1k $3.3m $3.3m 5.57% Added +41.3k +41,293
75 OPPENHEIMER & CO INC 0.07% of their portfolio NEW YORK, NY 135,088135.1k $3.3m $3.3m 0.07% Added +62.8k +62,775
76 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.01% of their portfolio BALA CYNWYD, PA 129,778129.8k $3.1m $3.1m 0.01% Added +103.6k +103,636
77 PARK NATIONAL CORP /OH/ 0.13% of their portfolio NEWARK, OH 127,310127.3k $3.1m $3.1m 0.13% New
78 BlackDiamond Wealth Management, LLC 2.45% of their portfolio NEW YORK, NY 119,973120.0k $2.9m $2.9m 2.45% Added +9.6k +9,626
79 Thrivent Financial for Lutherans 0.01% of their portfolio Minneapolis, MN 115,046115.0k $2.8m $2.8m 0.01% Added +31.6k +31,584
80 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 109,700109.7k $2.7m $2.7m 0.00% Added +37.7k +37,700
81 StoneX Group Inc. 0.27% of their portfolio NEW YORK, NY 109,517109.5k $2.6m $2.6m 0.27% Added +1.5k +1,510
82 MBE Wealth Management, LLC 1.42% of their portfolio TOMAH, WI 109,218109.2k $2.6m $2.6m 1.42% Added +13.9k +13,911
83 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 0.08% of their portfolio NORFOLK, VA 106,036106.0k $2.6m $2.6m 0.08% Added +3.2k +3,173
84 Crumly & Associates Inc. 0.96% of their portfolio SPRINGFIELD, IL 99,12199.1k $2.4m $2.4m 0.96% Added +6.9k +6,932
85 PFG Advisors 0.17% of their portfolio Phoenix, AZ 95,03295.0k $2.3m $2.3m 0.17% Added +16.1k +16,099
86 CWM, LLC 0.01% of their portfolio OMAHA, NE 93,93893.9k $2.3m $2.3m 0.01% Added +88.9k +88,867
87 Northwest Capital Management Inc 0.95% of their portfolio Lake Oswego, OR 93,82693.8k $2.3m $2.3m 0.95% Reduced -925 -925
88 Lunt Capital Management, Inc. 1.21% of their portfolio HOLLADAY, UT 92,37292.4k $2.2m $2.2m 1.21% First filing
89 OLD MISSION CAPITAL LLC 0.08% of their portfolio CHICAGO, IL 90,48790.5k $2.2m $2.2m 0.08% New
90 Private Advisory Group LLC 0.42% of their portfolio REDMOND, WA 87,03787.0k $2.1m $2.1m 0.42% New
91 Bridgewater Advisors Inc. 0.42% of their portfolio NEW YORK, NY 86,33486.3k $2.1m $2.1m 0.42% Reduced -4.0k -4,035
92 SOUTHSTATE PRIVATE CAPITAL MANAGEMENT LLC 0.54% of their portfolio COLUMBIA, SC 77,96178.0k $1.9m $1.9m 0.54% Added +19.4k +19,361
93 Pine Valley Investments Ltd Liability Co 0.18% of their portfolio MARLTON, NJ 76,38776.4k $1.8m $1.8m 0.18% Reduced -1.3m -1,301,172
94 WESPAC Advisors, LLC 1.46% of their portfolio ORINDA, CA 75,55975.6k $1.8m $1.8m 1.46% Unchanged
95 Braun-Bostich & Associates Inc. 3.72% of their portfolio CANONSBURG, PA 71,91271.9k $1.7m $1.7m 3.72% Added +533 +533
96 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 68,91068.9k $1.7m $1.7m 0.02% Added +3.6k +3,573
97 Richard W. Paul & Associates, LLC 0.71% of their portfolio NOVI, MI 67,57467.6k $1.6m $1.6m 0.71% Reduced -200 -200
98 Virtue Capital Management, LLC 0.28% of their portfolio BRENTWOOD, TN 67,28767.3k $1.6m $1.6m 0.28% Added +8.2k +8,238
99 AdvisorNet Financial, Inc 0.14% of their portfolio MINNETONKA, MN 66,20266.2k $1.6m $1.6m 0.14% Added +6.3k +6,308
100 NewEdge Advisors, LLC 0.02% of their portfolio NEW ORLEANS, LA 66,10966.1k $1.6m $1.6m 0.02% Added +44.7k +44,732