Vault-13

FIRST TR EXCHNG TRADED FD VI UCON

TCW UNCONSTRAI · ETP · CUSIP 33740F888

198 institutional holders +13 vs Q2 2023
52,230,20852.2m shares reported held*
$1.2bnreported value*
24 new 106 added 52 reduced 14 sold out net bought ≈ $43.8m (+1.8m 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 ($539.0k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $23.90.

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 172Q4 22: 184Q1 23: 186Q2 23: 185Q3 23: 198198Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022172
Q4 2022184
Q1 2023186
Q2 2023185
Q3 2023198

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 23Q3 23: 130 bought or addedQ3 23: 66 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20229782
Q1 202394106
Q2 202311382
Q3 202313066

Calls vs puts

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

CallsPuts
$0$100k$200k$300k$400kQ4 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 —Q3 23 calls: $0Q3 23 puts: $0Q3 23P/C —
Numbers
QuarterCallsPutsP/C
Q4 2022$0$0—
Q1 2023$0$0—
Q2 2023$0$320.6k—
Q3 2023$0$0—

Biggest buyers

Aptus Capital Advisors, LLC New +669,194+669.2k
TruWealth Advisors, LLC New +395,684+395.7k
LPL Financial LLC Added +360,767+360.8k
ROYAL BANK OF CANADA Added +351,227+351.2k
JPMORGAN CHASE & CO New +323,128+323.1k
Beaumont Financial Advisors, LLC New +279,960+280.0k
Total Clarity Wealth Management, Inc. New +224,805+224.8k
PARK NATIONAL CORP /OH/ Added +218,239+218.2k
First Heartland Consultants, Inc. Added +209,367+209.4k
Mach-1 Financial Group, LLC Added +204,086+204.1k

Biggest sellers

JANE STREET GROUP, LLC Reduced -1,758,203-1.8m
EdgeRock Capital LLC Sold out -544,496-544.5k
OSAIC HOLDINGS, INC. Reduced -403,483-403.5k
ENVESTNET ASSET MANAGEMENT INC Reduced -191,236-191.2k
UBS Group AG Reduced -183,934-183.9k
Private Advisor Group, LLC Reduced -181,852-181.9k
MORGAN STANLEY Reduced -158,693-158.7k
FIRST TRUST ADVISORS LP Reduced -156,694-156.7k
Cetera Investment Advisers Reduced -153,866-153.9k
CITADEL ADVISORS LLC Reduced -151,356-151.4k

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.09% of their portfolio FORT MILL, SC 5,670,3675.7m $135.5m $135.5m 0.09% Added +360.8k +360,767
2 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 3,665,8793.7m $87.6m $87.6m 0.01% Reduced -158.7k -158,693
3 HARBOUR INVESTMENTS, INC. 2.50% of their portfolio MADISON, WI 2,084,1412.1m $49.8m $49.8m 2.50% Added +86.6k +86,635
4 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 1,875,7611.9m $44.8m $44.8m 0.01% Added +351.2k +351,227
5 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 1,776,7551.8m $42.5m $42.5m 0.01% Added +22.9k +22,865
6 UBS Group AG 0.02% of their portfolio ZURICH, V8 1,664,6831.7m $39.8m $39.8m 0.02% Reduced -183.9k -183,934
7 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 1,270,6661.3m $30.4m $30.4m 0.01% Reduced -191.2k -191,236
8 Larson Financial Group LLC 2.63% of their portfolio ST LOUIS, MO 1,117,1641.1m $26.7m $26.7m 2.63% Added +78.3k +78,252
9 Visionary Wealth Advisors 2.08% of their portfolio O'FALLON, IL 1,076,5271.1m $25.7m $25.7m 2.08% Added +71.5k +71,503
10 Csenge Advisory Group 1.71% of their portfolio CLEARWATER, FL 1,050,0801.1m $25.1m $25.1m 1.71% Added +42.6k +42,601
11 Stratos Wealth Advisors, LLC 1.64% of their portfolio BEACHWOOD, OH 1,041,4981.0m $24.9m $24.9m 1.64% Added +187.1k +187,064
12 OSAIC HOLDINGS, INC. 0.03% of their portfolio SCOTTSDALE, AZ 930,704930.7k $22.2m $22.2m 0.03% Reduced -403.5k -403,483
13 Integrated Wealth Concepts LLC 0.33% of their portfolio WALTHAM, MA 793,794793.8k $19.0m $19.0m 0.33% Added +67.7k +67,701
14 Aptus Capital Advisors, LLC 0.47% of their portfolio FAIRHOPE, AL 669,194669.2k $16.0m $16.0m 0.47% New
15 Bensler, LLC 3.05% of their portfolio Bellevue, WA 663,828663.8k $15.9m $15.9m 3.05% Added +66.4k +66,408
16 TRUIST FINANCIAL CORP 0.03% of their portfolio CHARLOTTE, NC 645,077645.1k $15.4m $15.4m 0.03% Added +76.2k +76,229
17 Great Point Wealth Advisors, LLC 4.48% of their portfolio BOSTON, MA 624,894624.9k $14.9m $14.9m 4.48% Added +156.1k +156,062
18 COMMONWEALTH EQUITY SERVICES, LLC 0.03% of their portfolio WALTHAM, MA 624,693624.7k $14.9m $14.9m 0.03% Added +13.2k +13,239
19 Cyndeo Wealth Partners, LLC 1.54% of their portfolio ST. PETERSBURG, FL 617,969618.0k $14.8m $14.8m 1.54% Added +14.9k +14,915
20 JANICZEK WEALTH MANAGEMENT, LLC 3.81% of their portfolio DENVER, CO 604,862604.9k $14.5m $14.5m 3.81% Added +2.2k +2,164
21 HighTower Advisors, LLC 0.03% of their portfolio CHICAGO, IL 593,513593.5k $14.2m $14.2m 0.03% Reduced -46.2k -46,179
22 Apollon Wealth Management, LLC 0.69% of their portfolio MOUNT PLEASANT, SC 574,402574.4k $13.7m $13.7m 0.69% Added +158.6k +158,576
23 Darwin Wealth Management, LLC 3.52% of their portfolio TAMPA, FL 547,415547.4k $13.1m $13.1m 3.52% Reduced -25.5k -25,524
24 Dynamic Advisor Solutions LLC 0.59% of their portfolio PHOENIX, AZ 521,030521.0k $12.5m $12.5m 0.59% Added +153.2k +153,230
25 SlateStone Wealth, LLC 1.75% of their portfolio JUPITER, FL 503,944503.9k $12.0m $12.0m 1.75% Added +12.6k +12,582
26 HBK Sorce Advisory LLC 0.51% of their portfolio ERIE, PA 483,277483.3k $11.6m $11.6m 0.51% Added +92.9k +92,881
27 Octavia Wealth Advisors, LLC 2.28% of their portfolio CINCINNATI, OH 471,884471.9k $11.3m $11.3m 2.28% Added +10.0k +10,010
28 AE Wealth Management LLC 0.07% of their portfolio TOPEKA, KS 470,905470.9k $11.3m $11.3m 0.07% Added +82.2k +82,210
29 Cetera Advisor Networks LLC 0.07% of their portfolio EL SEGUNDO, CA 468,888468.9k $11.2m $11.2m 0.07% Added +13.6k +13,592
30 Cambridge Investment Research Advisors, Inc. 0.05% of their portfolio FAIRFIELD, IA 443,744443.7k $10.6m $10.6m 0.05% Added +87.4k +87,427
31 Arkadios Wealth Advisors 1.01% of their portfolio ATLANTA, GA 443,559443.6k $10.6m $10.6m 1.01% Added +7.4k +7,405
32 Commonwealth Financial Services, LLC 3.10% of their portfolio VIENNA, WV 435,493435.5k $10.4m $10.4m 3.10% First filing
33 Financial Advocates Investment Management 0.76% of their portfolio OLYMPIA, WA 428,428428.4k $10.2m $10.2m 0.76% Reduced -1.0k -1,020
34 CAPTRUST FINANCIAL ADVISORS 0.04% of their portfolio RALEIGH, NC 417,976418.0k $10.0m $10.0m 0.04% Added +15.2k +15,179
35 Mach-1 Financial Group, LLC 4.07% of their portfolio Rogers, AR 405,895405.9k $9.7m $9.7m 4.07% Added +204.1k +204,086
36 TruWealth Advisors, LLC 0.81% of their portfolio Metairie, LA 395,684395.7k $9.5m $9.5m 0.81% New
37 Rehmann Capital Advisory Group 0.85% of their portfolio LANSING, MI 380,442380.4k $9.1m $9.1m 0.85% Added +7.2k +7,222
38 WINTRUST INVESTMENTS LLC 0.97% of their portfolio CHICAGO, IL 372,799372.8k $8.9m $8.9m 0.97% Added +4.7k +4,669
39 Pitti Group Wealth Management, LLC 10.18% of their portfolio VICTOR, NY 372,443372.4k $8.9m $8.9m 10.18% Reduced -2.6k -2,619
40 Regal Investment Advisors LLC 0.76% of their portfolio KENTWOOD, MI 366,910366.9k $8.8m $8.8m 0.76% Added +29.2k +29,217
41 Mariner, LLC 0.02% of their portfolio Overland Park, KS 356,328356.3k $8.5m $8.5m 0.02% Added +4.1k +4,096
42 PARK NATIONAL CORP /OH/ 0.37% of their portfolio NEWARK, OH 345,549345.5k $8.3m $8.3m 0.37% Added +218.2k +218,239
43 Sigma Planning Corp 0.31% of their portfolio ANN ARBOR, MI 341,347341.3k $8.2m $8.2m 0.31% Added +7.8k +7,769
44 JANE STREET GROUP, LLC 0.01% of their portfolio NEW YORK, NY 336,967337.0k $8.1m $8.1m 0.01% Reduced -1.8m -1,758,203
45 COLONY GROUP LLC 0.12% of their portfolio Boston, MA 332,854332.9k $8.0m $8.0m 0.12% Added +7.6k +7,638
46 Private Advisor Group, LLC 0.07% of their portfolio MORRISTOWN, NJ 324,184324.2k $7.7m $7.7m 0.07% Reduced -181.9k -181,852
47 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 323,128323.1k $7.7m $7.7m 0.00% New
48 Cetera Investment Advisers 0.07% of their portfolio SCHAUMBURG, IL 317,414317.4k $7.6m $7.6m 0.07% Reduced -153.9k -153,866
49 Financial Futures Ltd Liability Co. 6.18% of their portfolio BRIELLE, NJ 316,392316.4k $7.6m $7.6m 6.18% Added +114.1k +114,122
50 Steward Partners Investment Advisory, LLC 0.11% of their portfolio STAMFORD, CT 311,002311.0k $7.4m $7.4m 0.11% Added +8.4k +8,404
51 Walkner Condon Financial Advisors LLC 1.87% of their portfolio MADISON, WI 294,911294.9k $7.0m $7.0m 1.87% Reduced -10.6k -10,623
52 VICUS CAPITAL 0.72% of their portfolio STATE COLLEGE, PA 286,950286.9k $6.9m $6.9m 0.72% Added +3.5k +3,532
53 Beaumont Financial Advisors, LLC 0.67% of their portfolio NEEDHAM, MA 279,960280.0k $6.7m $6.7m 0.67% New
54 XML Financial, LLC 0.80% of their portfolio BETHESDA, MD 278,998279.0k $6.7m $6.7m 0.80% Added +84.9k +84,866
55 CoreCap Advisors, LLC 0.48% of their portfolio SOUTHFIELD, MI 276,593276.6k $6.6m $6.6m 0.48% Added +27.4k +27,370
56 Chicago Partners Investment Group LLC 0.35% of their portfolio CHICAGO, IL 274,191274.2k $6.5m $6.5m 0.35% Added +2.2k +2,203
57 Tolleson Wealth Management, Inc. 1.57% of their portfolio DALLAS, TX 272,950272.9k $6.5m $6.5m 1.57% Added +56.5k +56,545
58 Western Wealth Management, LLC 0.54% of their portfolio GOLDEN, CO 266,214266.2k $6.4m $6.4m 0.54% Added +40.7k +40,705
59 MML INVESTORS SERVICES, LLC 0.03% of their portfolio SPRINGFIELD, MA 263,261263.3k $6.3m $6.3m 0.03% Added +1.4k +1,385
60 Simplicity Solutions, LLC 0.20% of their portfolio MINNEAPOLIS, MN 256,165256.2k $6.1m $6.1m 0.20% Added +59.4k +59,445
61 Bleakley Financial Group, LLC 0.22% of their portfolio PARSIPPANY, NJ 256,165256.2k $6.1m $6.1m 0.22% Added +59.4k +59,445
62 First Heartland Consultants, Inc. 0.74% of their portfolio LAKE ST. LOUIS, MO 246,667246.7k $5.9m $5.9m 0.74% Added +209.4k +209,367
63 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 242,845242.8k $5.8m $5.8m 0.02% Added +19.6k +19,564
64 Mutual Advisors, LLC 0.22% of their portfolio OMAHA, NE 236,097236.1k $5.6m $5.6m 0.22% Added +20.0k +19,995
65 Lee Financial Group Hawaii, Inc. 5.13% of their portfolio HONOLULU, HI 233,819233.8k $5.6m $5.6m 5.13% Reduced -100.8k -100,750
66 MATHER GROUP, LLC. 0.10% of their portfolio CHICAGO, IL 230,854230.9k $5.5m $5.5m 0.10% Added +11.3k +11,289
67 Total Clarity Wealth Management, Inc. 2.59% of their portfolio ST. CHARLES, IL 224,805224.8k $5.4m $5.4m 2.59% New
68 Etesian Wealth Advisors, Inc. 3.55% of their portfolio West Linn, OR 220,694220.7k $5.3m $5.3m 3.55% Added +15.9k +15,906
69 Madison Asset Management, LLC 0.08% of their portfolio MADISON, WI 217,139217.1k $5.2m $5.2m 0.08% Reduced -3.0k -2,953
70 Geneos Wealth Management Inc. 0.26% of their portfolio ENGLEWOOD, CO 211,847211.8k $5.1m $5.1m 0.26% Added +28.5k +28,482
71 Ameritas Advisory Services, LLC 0.24% of their portfolio Lincoln, NE 204,356204.4k $4.9m $4.9m 0.24% Added +188.0k +188,049
72 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 203,577203.6k $4.9m $4.9m 0.01% Reduced -20.9k -20,936
73 Certified Advisory Corp 0.89% of their portfolio ALTAMONTE SPRINGS, FL 202,183202.2k $4.8m $4.8m 0.89% Added +63.6k +63,617
74 Elevated Capital Advisors, LLC 1.59% of their portfolio SANDY, UT 195,068195.1k $4.7m $4.7m 1.59% Added +1.4k +1,426
75 One Capital Management, LLC 0.20% of their portfolio WESTLAKE VILLAGE, CA 188,200188.2k $4.5m $4.5m 0.20% New
76 O'Connor Financial Group LLC 2.71% of their portfolio QUINCY, IL 165,471165.5k $4.0m $4.0m 2.71% Added +3.8k +3,820
77 OPPENHEIMER & CO INC 0.07% of their portfolio NEW YORK, NY 150,787150.8k $3.6m $3.6m 0.07% Added +15.7k +15,699
78 Baird Financial Group, Inc. 0.01% of their portfolio MILWAUKEE, WI 149,020149.0k $3.6m $3.6m 0.01% Added +1.9k +1,856
79 Ellenbecker Investment Group 0.90% of their portfolio WAUKESHA, WI 146,164146.2k $3.5m $3.5m 0.90% Added +1.9k +1,876
80 Boyce & Associates Wealth Consulting, Inc. 5.73% of their portfolio CEDAR PARK, TX 143,974144.0k $3.4m $3.4m 5.73% Added +5.9k +5,913
81 BEACON FINANCIAL GROUP 0.46% of their portfolio DALLAS, TX 132,890132.9k $3.2m $3.2m 0.46% New
82 N.E.W. Advisory Services LLC 0.44% of their portfolio DE PERE, WI 128,727128.7k $3.1m $3.1m 0.44% New
83 Thrivent Financial for Lutherans 0.01% of their portfolio Minneapolis, MN 128,358128.4k $3.1m $3.1m 0.01% Added +13.3k +13,312
84 Goodman Advisory Group, LLC 1.13% of their portfolio NEEDHAM, MA 126,779126.8k $3.0m $3.0m 1.13% New
85 BlackDiamond Wealth Management, LLC 2.57% of their portfolio NEW YORK, NY 120,383120.4k $2.8m $2.8m 2.57% Added +410 +410
86 MBE Wealth Management, LLC 1.63% of their portfolio TOMAH, WI 118,953119.0k $2.8m $2.8m 1.63% Added +9.7k +9,735
87 Crumly & Associates Inc. 0.99% of their portfolio SPRINGFIELD, IL 105,749105.7k $2.5m $2.5m 0.99% Added +6.6k +6,628
88 PFG Advisors 0.22% of their portfolio Phoenix, AZ 104,080104.1k $2.5m $2.5m 0.22% Added +9.0k +9,048
89 StoneX Group Inc. 0.27% of their portfolio NEW YORK, NY 104,000104.0k $2.5m $2.5m 0.27% Reduced -5.5k -5,517
90 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 0.08% of their portfolio NORFOLK, VA 101,127101.1k $2.4m $2.4m 0.08% Reduced -4.9k -4,909
91 CHILDRESS CAPITAL ADVISORS, LLC 0.73% of their portfolio HOUSTON, TX 93,31693.3k $2.2m $2.2m 0.73% Added +65.3k +65,316
92 Lunt Capital Management, Inc. 1.17% of their portfolio HOLLADAY, UT 93,16993.2k $2.2m $2.2m 1.17% Added +797 +797
93 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 92,19892.2k $2.2m $2.2m 0.00% Added +50.6k +50,627
94 Cetera Advisors LLC 0.03% of their portfolio DENVER, CO 88,36288.4k $2.1m $2.1m 0.03% Added +40.0k +40,040
95 CWM, LLC 0.01% of their portfolio OMAHA, NE 87,66987.7k $2.1m $2.1m 0.01% Reduced -6.3k -6,269
96 Northwest Capital Management Inc 0.81% of their portfolio Lake Oswego, OR 87,56187.6k $2.1m $2.1m 0.81% Reduced -6.3k -6,265
97 SOUTHSTATE PRIVATE CAPITAL MANAGEMENT LLC 0.60% of their portfolio COLUMBIA, SC 87,04287.0k $2.1m $2.1m 0.60% Added +9.1k +9,081
98 GSG Advisors LLC 1.00% of their portfolio MOUNT LAUREL, NJ 85,67485.7k $2.0m $2.0m 1.00% First filing
99 Kestra Advisory Services, LLC 0.02% of their portfolio AUSTIN, TX 84,88684.9k $2.0m $2.0m 0.02% Added +29.4k +29,434
100 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 84,63384.6k $2.0m $2.0m 0.00% Reduced -151.4k -151,356