Vault-13

FIRST TR EXCHNG TRADED FD VI UCON

TCW UNCONSTRAI · ETP · CUSIP 33740F888

214 institutional holders +16 vs Q3 2023
69,989,81570.0m shares reported held*
$1.7bnreported value*
26 new 111 added 58 reduced 20 sold out net bought ≈ $403.4m (+16.3m 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 ($450.0k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $24.74.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 172Q4 22: 184Q1 23: 186Q2 23: 185Q3 23: 198Q4 23: 214214Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022172
Q4 2022184
Q1 2023186
Q2 2023185
Q3 2023198
Q4 2023214

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 23Q4 23: 137 bought or addedQ4 23: 78 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20229782
Q1 202394106
Q2 202311382
Q3 202313066
Q4 202313778

Calls vs puts

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

CallsPuts
$0$100k$200k$300k$400kQ1 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 —Q4 23 calls: $0Q4 23 puts: $0Q4 23P/C —
Numbers
QuarterCallsPutsP/C
Q1 2023$0$0—
Q2 2023$0$320.6k—
Q3 2023$0$0—
Q4 2023$0$0—

Biggest buyers

MORGAN STANLEY Added +5,798,401+5.8m
UBS Group AG Added +2,767,863+2.8m
Tolleson Wealth Management, Inc. Added +1,084,577+1.1m
BANK OF AMERICA CORP /DE/ Added +926,705+926.7k
EdgeRock Capital LLC New +839,368+839.4k
CGC Financial Services, LLC Added +564,983+565.0k
ENVESTNET ASSET MANAGEMENT INC Added +501,386+501.4k
TRUIST FINANCIAL CORP Added +393,837+393.8k
IFP Advisors, Inc Added +364,625+364.6k
HARBOUR INVESTMENTS, INC. Added +310,317+310.3k

Biggest sellers

HBK Sorce Advisory LLC Reduced -474,946-474.9k
JANE STREET GROUP, LLC Sold out -336,967-337.0k
Visionary Wealth Advisors Reduced -230,215-230.2k
Stratos Wealth Advisors, LLC Reduced -225,276-225.3k
One Capital Management, LLC Sold out -188,200-188.2k
Sigma Planning Corp Reduced -187,137-187.1k
Mach-1 Financial Group, LLC Reduced -182,670-182.7k
AE Wealth Management LLC Reduced -156,833-156.8k
MML INVESTORS SERVICES, LLC Reduced -138,359-138.4k
Goodman Advisory Group, LLC Reduced -117,920-117.9k

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 9,464,2809.5m $234.1m $234.1m 0.01% Added +5.8m +5,798,401
2 LPL Financial LLC 0.09% of their portfolio FORT MILL, SC 5,978,4416.0m $147.9m $147.9m 0.09% Added +308.1k +308,074
3 UBS Group AG 0.04% of their portfolio ZURICH, V8 4,432,5464.4m $109.7m $109.7m 0.04% Added +2.8m +2,767,863
4 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 2,703,4602.7m $66.9m $66.9m 0.01% Added +926.7k +926,705
5 HARBOUR INVESTMENTS, INC. 2.45% of their portfolio MADISON, WI 2,394,4582.4m $59.2m $59.2m 2.45% Added +310.3k +310,317
6 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 2,079,4762.1m $51.4m $51.4m 0.01% Added +203.7k +203,715
7 ENVESTNET ASSET MANAGEMENT INC 0.02% of their portfolio Berwyn, PA 1,772,0521.8m $43.8m $43.8m 0.02% Added +501.4k +501,386
8 Tolleson Wealth Management, Inc. 6.92% of their portfolio DALLAS, TX 1,357,5271.4m $33.6m $33.6m 6.92% Added +1.1m +1,084,577
9 Larson Financial Group LLC 2.35% of their portfolio ST LOUIS, MO 1,085,6571.1m $26.9m $26.9m 2.35% Reduced -31.5k -31,507
10 Csenge Advisory Group 1.66% of their portfolio CLEARWATER, FL 1,078,0201.1m $26.7m $26.7m 1.66% Added +27.9k +27,940
11 TRUIST FINANCIAL CORP 0.04% of their portfolio CHARLOTTE, NC 1,038,9141.0m $25.7m $25.7m 0.04% Added +393.8k +393,837
12 Integrated Wealth Concepts LLC 0.40% of their portfolio WALTHAM, MA 987,328987.3k $24.4m $24.4m 0.40% Added +193.5k +193,534
13 Focus Partners Wealth 0.32% of their portfolio ST LOUIS, MO 985,133985.1k $24.4m $24.4m 0.32% First filing
14 OSAIC HOLDINGS, INC. 0.04% of their portfolio SCOTTSDALE, AZ 927,500927.5k $22.9m $22.9m 0.04% Reduced -3.2k -3,204
15 Apollon Wealth Management, LLC 0.76% of their portfolio MOUNT PLEASANT, SC 884,037884.0k $21.9m $21.9m 0.76% Added +309.6k +309,635
16 Visionary Wealth Advisors 1.54% of their portfolio O'FALLON, IL 846,312846.3k $20.9m $20.9m 1.54% Reduced -230.2k -230,215
17 EdgeRock Capital LLC 15.10% of their portfolio DENVER, CO 839,368839.4k $20.7m $20.7m 15.10% New
18 Stratos Wealth Advisors, LLC 1.16% of their portfolio BEACHWOOD, OH 816,222816.2k $20.2m $20.2m 1.16% Reduced -225.3k -225,276
19 Great Point Wealth Advisors, LLC 5.04% of their portfolio BOSTON, MA 783,173783.2k $19.4m $19.4m 5.04% Added +158.3k +158,279
20 COMMONWEALTH EQUITY SERVICES, LLC 0.03% of their portfolio WALTHAM, MA 704,957705.0k $17.4m $17.4m 0.03% Added +80.3k +80,264
21 Bensler, LLC 2.87% of their portfolio Bellevue, WA 700,117700.1k $17.3m $17.3m 2.87% Added +36.3k +36,289
22 TruWealth Advisors, LLC 1.26% of their portfolio Metairie, LA 666,177666.2k $16.5m $16.5m 1.26% Added +270.5k +270,493
23 Aptus Capital Advisors, LLC 0.48% of their portfolio FAIRHOPE, AL 650,599650.6k $16.1m $16.1m 0.48% Reduced -18.6k -18,595
24 Commonwealth Financial Services, LLC 3.73% of their portfolio VIENNA, WV 640,366640.4k $15.8m $15.8m 3.73% Added +204.9k +204,873
25 Cyndeo Wealth Partners, LLC 1.43% of their portfolio ST. PETERSBURG, FL 626,251626.3k $15.5m $15.5m 1.43% Added +8.3k +8,282
26 Dynamic Advisor Solutions LLC 0.55% of their portfolio PHOENIX, AZ 601,601601.6k $14.8m $14.8m 0.55% Added +80.6k +80,571
27 CGC Financial Services, LLC 6.75% of their portfolio LAKE OSWEGO, OR 595,086595.1k $14.7m $14.7m 6.75% Added +565.0k +564,983
28 JANICZEK WEALTH MANAGEMENT, LLC 3.32% of their portfolio DENVER, CO 556,024556.0k $13.8m $13.8m 3.32% Reduced -48.8k -48,838
29 HighTower Advisors, LLC 0.02% of their portfolio CHICAGO, IL 549,347549.3k $13.6m $13.6m 0.02% Reduced -44.2k -44,166
30 Rehmann Capital Advisory Group 1.05% of their portfolio LANSING, MI 513,071513.1k $12.7m $12.7m 1.05% Added +132.6k +132,629
31 SlateStone Wealth, LLC 1.63% of their portfolio JUPITER, FL 506,792506.8k $12.5m $12.5m 1.63% Added +2.8k +2,848
32 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 505,846505.8k $12.5m $12.5m 0.00% Added +182.7k +182,718
33 Darwin Wealth Management, LLC 3.34% of their portfolio TAMPA, FL 503,203503.2k $12.4m $12.4m 3.34% Reduced -44.2k -44,212
34 PARK NATIONAL CORP /OH/ 0.50% of their portfolio NEWARK, OH 494,540494.5k $12.2m $12.2m 0.50% Added +149.0k +148,991
35 Octavia Wealth Advisors, LLC 2.11% of their portfolio CINCINNATI, OH 483,265483.3k $12.0m $12.0m 2.11% Added +11.4k +11,381
36 CAPTRUST FINANCIAL ADVISORS 0.04% of their portfolio RALEIGH, NC 474,950474.9k $11.8m $11.8m 0.04% Added +57.0k +56,974
37 Cambridge Investment Research Advisors, Inc. 0.05% of their portfolio FAIRFIELD, IA 463,738463.7k $11.5m $11.5m 0.05% Added +20.0k +19,994
38 Cetera Advisor Networks LLC 0.06% of their portfolio EL SEGUNDO, CA 455,106455.1k $11.3m $11.3m 0.06% Reduced -13.8k -13,782
39 Philip James Wealth Mangement, LLC 8.62% of their portfolio MILTON, GA 450,187450.2k $11.1m $11.1m 8.62% First filing
40 Arkadios Wealth Advisors 0.92% of their portfolio ATLANTA, GA 437,875437.9k $10.8m $10.8m 0.92% Reduced -5.7k -5,684
41 WINTRUST INVESTMENTS LLC 0.98% of their portfolio CHICAGO, IL 400,878400.9k $9.9m $9.9m 0.98% Added +28.1k +28,079
42 IFP Advisors, Inc 0.47% of their portfolio TAMPA, FL 398,674398.7k $9.9m $9.9m 0.47% Added +364.6k +364,625
43 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 368,552368.6k $9.1m $9.1m 0.01% Added +165.0k +164,975
44 Regal Investment Advisors LLC 0.68% of their portfolio KENTWOOD, MI 361,766361.8k $9.0m $9.0m 0.68% Reduced -5.1k -5,144
45 Mariner, LLC 0.02% of their portfolio Overland Park, KS 357,969358.0k $8.9m $8.9m 0.02% Added +1.6k +1,641
46 Pitti Group Wealth Management, LLC 9.38% of their portfolio VICTOR, NY 348,616348.6k $8.6m $8.6m 9.38% Reduced -23.8k -23,827
47 First Pacific Financial 2.63% of their portfolio VANCOUVER, WA 348,444348.4k $8.6m $8.6m 2.63% Added +298.9k +298,930
48 Janney Montgomery Scott LLC 0.03% of their portfolio PHILADELPHIA, PA 347,816347.8k $8.6m $8.6m 0.03% Added +105.0k +104,971
49 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 337,060337.1k $8.3m $8.3m 0.01% Added +244.9k +244,862
50 Financial Futures Ltd Liability Co. 6.26% of their portfolio BRIELLE, NJ 336,713336.7k $8.3m $8.3m 6.26% Added +20.3k +20,321
51 Private Advisor Group, LLC 0.06% of their portfolio MORRISTOWN, NJ 326,285326.3k $8.1m $8.1m 0.06% Added +2.1k +2,101
52 Chicago Partners Investment Group LLC 0.37% of their portfolio CHICAGO, IL 326,162326.2k $8.0m $8.0m 0.37% Added +52.0k +51,971
53 Financial Advocates Investment Management 0.51% of their portfolio OLYMPIA, WA 316,316316.3k $7.8m $7.8m 0.51% Reduced -112.1k -112,112
54 Walkner Condon Financial Advisors LLC 1.77% of their portfolio MADISON, WI 314,415314.4k $7.8m $7.8m 1.77% Added +19.5k +19,504
55 AE Wealth Management LLC 0.04% of their portfolio TOPEKA, KS 314,072314.1k $7.7m $7.7m 0.04% Reduced -156.8k -156,833
56 Cetera Investment Advisers 0.06% of their portfolio SCHAUMBURG, IL 307,903307.9k $7.6m $7.6m 0.06% Reduced -9.5k -9,511
57 Steward Partners Investment Advisory, LLC 0.10% of their portfolio STAMFORD, CT 300,256300.3k $7.4m $7.4m 0.10% Reduced -10.7k -10,746
58 XML Financial, LLC 0.76% of their portfolio BETHESDA, MD 291,693291.7k $7.2m $7.2m 0.76% Added +12.7k +12,695
59 Western Wealth Management, LLC 0.51% of their portfolio GOLDEN, CO 283,299283.3k $7.0m $7.0m 0.51% Added +17.1k +17,085
60 VICUS CAPITAL 0.70% of their portfolio STATE COLLEGE, PA 280,076280.1k $6.9m $6.9m 0.70% Reduced -6.9k -6,874
61 CoreCap Advisors, LLC 0.45% of their portfolio SOUTHFIELD, MI 279,796279.8k $6.9m $6.9m 0.45% Added +3.2k +3,203
62 Baird Financial Group, Inc. 0.02% of their portfolio MILWAUKEE, WI 277,830277.8k $6.9m $6.9m 0.02% Added +128.8k +128,810
63 BEACON FINANCIAL GROUP 0.81% of their portfolio DALLAS, TX 268,578268.6k $6.6m $6.6m 0.81% Added +135.7k +135,688
64 Beaumont Financial Advisors, LLC 0.59% of their portfolio NEEDHAM, MA 262,345262.3k $6.5m $6.5m 0.59% Reduced -17.6k -17,615
65 Simplicity Solutions, LLC 0.18% of their portfolio MINNEAPOLIS, MN 261,809261.8k $6.5m $6.5m 0.18% Added +5.6k +5,644
66 Bleakley Financial Group, LLC 0.21% of their portfolio PARSIPPANY, NJ 261,752261.8k $6.5m $6.5m 0.21% Added +5.6k +5,587
67 MATHER GROUP, LLC. 0.10% of their portfolio CHICAGO, IL 253,928253.9k $6.3m $6.3m 0.10% Added +23.1k +23,074
68 Mutual Advisors, LLC 0.21% of their portfolio OMAHA, NE 244,080244.1k $6.0m $6.0m 0.21% Added +8.0k +7,983
69 First Heartland Consultants, Inc. 0.72% of their portfolio LAKE ST. LOUIS, MO 240,029240.0k $5.9m $5.9m 0.72% Reduced -6.6k -6,638
70 Etesian Wealth Advisors, Inc. 3.57% of their portfolio West Linn, OR 239,923239.9k $5.9m $5.9m 3.57% Added +19.2k +19,229
71 N.E.W. Advisory Services LLC 0.71% of their portfolio DE PERE, WI 237,714237.7k $5.9m $5.9m 0.71% Added +109.0k +108,987
72 Lee Financial Group Hawaii, Inc. 4.95% of their portfolio HONOLULU, HI 234,906234.9k $5.8m $5.8m 4.95% Added +1.1k +1,087
73 Geneos Wealth Management Inc. 0.28% of their portfolio ENGLEWOOD, CO 230,185230.2k $5.7m $5.7m 0.28% Added +18.3k +18,338
74 Total Clarity Wealth Management, Inc. 2.29% of their portfolio ST. CHARLES, IL 225,599225.6k $5.6m $5.6m 2.29% Added +794 +794
75 Mach-1 Financial Group, LLC 2.10% of their portfolio Rogers, AR 223,225223.2k $5.5m $5.5m 2.10% Reduced -182.7k -182,670
76 TWIN PEAKS WEALTH ADVISORS, LLC 3.34% of their portfolio SAN FRANCISCO, CA 211,241211.2k $5.2m $5.2m 3.34% First filing
77 GSG Advisors LLC 1.94% of their portfolio MOUNT LAUREL, NJ 207,792207.8k $5.1m $5.1m 1.94% Added +122.1k +122,118
78 Madison Asset Management, LLC 0.07% of their portfolio MADISON, WI 206,829206.8k $5.1m $5.1m 0.07% Reduced -10.3k -10,310
79 Certified Advisory Corp 0.77% of their portfolio ALTAMONTE SPRINGS, FL 205,051205.1k $5.1m $5.1m 0.77% Added +2.9k +2,868
80 Elevated Capital Advisors, LLC 1.54% of their portfolio SANDY, UT 198,439198.4k $4.9m $4.9m 1.54% Added +3.4k +3,371
81 Navalign, LLC 1.69% of their portfolio ENCINO, CA 196,351196.4k $4.9m $4.9m 1.69% Added +163.2k +163,237
82 O'Connor Financial Group LLC 2.62% of their portfolio QUINCY, IL 171,609171.6k $4.2m $4.2m 2.62% Added +6.1k +6,138
83 OPPENHEIMER & CO INC 0.07% of their portfolio NEW YORK, NY 163,967164.0k $4.1m $4.1m 0.07% Added +13.2k +13,180
84 Ameritas Advisory Services, LLC 0.22% of their portfolio Lincoln, NE 162,651162.7k $4.0m $4.0m 0.22% Reduced -41.7k -41,705
85 Sigma Planning Corp 0.30% of their portfolio ANN ARBOR, MI 154,210154.2k $3.8m $3.8m 0.30% Reduced -187.1k -187,137
86 Boyce & Associates Wealth Consulting, Inc. 5.38% of their portfolio CEDAR PARK, TX 149,486149.5k $3.7m $3.7m 5.38% Added +5.5k +5,512
87 Goldstone Financial Group, LLC 0.95% of their portfolio OAKBROOK TERRACE, IL 149,421149.4k $3.7m $3.7m 0.95% New
88 Ellenbecker Investment Group 0.84% of their portfolio WAUKESHA, WI 146,806146.8k $3.6m $3.6m 0.84% Added +642 +642
89 US BANCORP \DE\ 0.01% of their portfolio MINNEAPOLIS, MN 143,110143.1k $3.5m $3.5m 0.01% Added +138.1k +138,145
90 Thrivent Financial for Lutherans 0.01% of their portfolio Minneapolis, MN 139,257139.3k $3.4m $3.4m 0.01% Added +10.9k +10,899
91 Advisor Resource Council 0.38% of their portfolio DALLAS, TX 132,082132.1k $3.3m $3.3m 0.38% Added +88.6k +88,557
92 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 124,902124.9k $3.1m $3.1m 0.01% Reduced -138.4k -138,359
93 AVANTAX ADVISORY SERVICES, INC. 0.03% of their portfolio DALLAS, TX 123,809123.8k $3.1m $3.1m 0.03% Added +114.6k +114,562
94 MBE Wealth Management, LLC 1.52% of their portfolio TOMAH, WI 119,848119.8k $3.0m $3.0m 1.52% Added +895 +895
95 Crumly & Associates Inc. 0.85% of their portfolio SPRINGFIELD, IL 117,383117.4k $2.9m $2.9m 0.85% Added +11.6k +11,634
96 Equitable Holdings, Inc. 0.04% of their portfolio NEW YORK, NY 116,807116.8k $2.9m $2.9m 0.04% Added +34.9k +34,915
97 Cetera Advisors LLC 0.04% of their portfolio DENVER, CO 113,494113.5k $2.8m $2.8m 0.04% Added +25.1k +25,132
98 StoneX Group Inc. 0.27% of their portfolio NEW YORK, NY 111,288111.3k $2.8m $2.8m 0.27% Added +7.3k +7,288
99 PFG Advisors 0.22% of their portfolio Phoenix, AZ 109,342109.3k $2.7m $2.7m 0.22% Added +5.3k +5,262
100 BlackDiamond Wealth Management, LLC 1.96% of their portfolio NEW YORK, NY 108,302108.3k $2.7m $2.7m 1.96% Reduced -12.1k -12,081