Vault-13

FIRST TR EXCHANGE TRAD FD VI FAAR

ALT ABSLT STRG · ETP · CUSIP 33740Y101

87 institutional holders +2 vs Q3 2023
4,438,8254.4m shares reported held*
$121.5mreported value*
7 new 38 added 32 reduced 9 sold out net sold ≈ $7.8m (-285.9k 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 ($31.0k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $27.38.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 78Q4 22: 76Q1 23: 89Q2 23: 83Q3 23: 85Q4 23: 8787Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202278
Q4 202276
Q1 202389
Q2 202383
Q3 202385
Q4 202387

Buyers vs sellers

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

Bought or addedCut or sold out
1000100Q4 22: 37 bought or addedQ4 22: 40 cut or sold outQ4 22Q1 23: 48 bought or addedQ1 23: 39 cut or sold outQ1 23Q2 23: 53 bought or addedQ2 23: 38 cut or sold outQ2 23Q3 23: 37 bought or addedQ3 23: 47 cut or sold outQ3 23Q4 23: 45 bought or addedQ4 23: 41 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20223740
Q1 20234839
Q2 20235338
Q3 20233747
Q4 20234541

Calls vs puts

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

CallsPuts
$0$1m$2m$3mQ1 23 calls: $0Q1 23 puts: $0Q1 23P/C —Q2 23 calls: $0Q2 23 puts: $2.8mQ2 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$2.8m—
Q3 2023$0$0—
Q4 2023$0$0—

Biggest buyers

OLD MISSION CAPITAL LLC New +89,180+89.2k
Walkner Condon Financial Advisors LLC Added +85,971+86.0k
BANK OF MONTREAL /CAN/ New +55,562+55.6k
STIFEL FINANCIAL CORP Added +41,720+41.7k
JANE STREET GROUP, LLC Added +29,503+29.5k
SMART Wealth LLC Added +17,908+17.9k
Patriot Financial Group Insurance Agency, LLC New +14,604+14.6k
Bank of New York Mellon Corp Added +13,962+14.0k
ASSETMARK, INC Added +12,038+12.0k
Coppell Advisory Solutions LLC Added +11,319+11.3k

Biggest sellers

HighTower Advisors, LLC Sold out -237,413-237.4k
AE Wealth Management LLC Reduced -131,610-131.6k
LPL Financial LLC Reduced -102,595-102.6k
OSAIC HOLDINGS, INC. Reduced -43,136-43.1k
MERCER GLOBAL ADVISORS INC /ADV Reduced -31,778-31.8k
CAPTRUST FINANCIAL ADVISORS Reduced -25,180-25.2k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -22,283-22.3k
Jaffetilchin Investment Partners, LLC Sold out -18,794-18.8k
ENVESTNET ASSET MANAGEMENT INC Reduced -11,719-11.7k
Sigma Planning Corp Sold out -11,427-11.4k

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
FIRST TRUST PORTFOLIOS LP 13G · institution +5.4 pts · filed 2026-10-07 36.1% +5.4 pts 2.6m≈ $82.1m 2026-10-07

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 669,641669.6k $18.3m $18.3m 0.01% Reduced -11.7k -11,719
2 OSAIC HOLDINGS, INC. 0.02% of their portfolio SCOTTSDALE, AZ 395,465395.5k $10.8m $10.8m 0.02% Reduced -43.1k -43,136
3 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 297,919297.9k $8.1m $8.1m 0.00% Reduced -102.6k -102,595
4 AE Wealth Management LLC 0.03% of their portfolio TOPEKA, KS 232,107232.1k $6.5m $6.5m 0.03% Reduced -131.6k -131,610
5 Cetera Investment Advisers 0.04% of their portfolio SCHAUMBURG, IL 195,895195.9k $5.4m $5.4m 0.04% Added +1.9k +1,931
6 Cetera Advisor Networks LLC 0.03% of their portfolio EL SEGUNDO, CA 171,279171.3k $4.7m $4.7m 0.03% Reduced -6.1k -6,101
7 CAPTRUST FINANCIAL ADVISORS 0.01% of their portfolio RALEIGH, NC 139,285139.3k $3.8m $3.8m 0.01% Reduced -25.2k -25,180
8 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 136,250136.2k $3.7m $3.7m 0.00% Added +14.0k +13,962
9 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 115,490115.5k $3.2m $3.2m 0.00% Added +29.5k +29,503
10 AVANTAX ADVISORY SERVICES, INC. 0.03% of their portfolio DALLAS, TX 111,921111.9k $3.1m $3.1m 0.03% Reduced -8.4k -8,444
11 Authentikos Wealth Advisory, LLC 2.89% of their portfolio MORGAN HILL, CA 99,57299.6k $2.7m $2.7m 2.89% Added +830 +830
12 Walkner Condon Financial Advisors LLC 0.60% of their portfolio MADISON, WI 96,47596.5k $2.6m $2.6m 0.60% Added +86.0k +85,971
13 OLD MISSION CAPITAL LLC 0.07% of their portfolio CHICAGO, IL 89,18089.2k $2.4m $2.4m 0.07% New
14 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 85,95586.0k $2.4m $2.4m 0.00% Reduced -1.5k -1,497
15 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 79,85979.9k $2.2m $2.2m 0.01% Added +5.5k +5,516
16 IFP Advisors, Inc 0.09% of their portfolio TAMPA, FL 72,36872.4k $2.0m $2.0m 0.09% Added +5.4k +5,407
17 Ausdal Financial Partners, Inc. 0.22% of their portfolio Davenport, IA 66,04066.0k $1.8m $1.8m 0.22% Reduced -5.3k -5,292
18 SMART Wealth LLC 0.97% of their portfolio Omaha, NE 64,84564.8k $1.8m $1.8m 0.97% Added +17.9k +17,908
19 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 62,71062.7k $1.7m $1.7m 0.00% Added +8.8k +8,793
20 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 60,19860.2k $1.6m $1.6m 0.00% Added +41.7k +41,720
21 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 58,96159.0k $1.6m $1.6m 0.02% Added +2.7k +2,744
22 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 55,56255.6k $1.5m $1.5m 0.00% New
23 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 51,08651.1k $1.4m $1.4m 0.00% Reduced -31.8k -31,778
24 Envestnet Portfolio Solutions, Inc. 0.01% of their portfolio BERWYN, PA 44,39744.4k $1.2m $1.2m 0.01% Reduced -1.7k -1,701
25 Orion Porfolio Solutions, LLC 0.01% of their portfolio OMAHA, NE 44,36244.4k $1.2m $1.2m 0.01% Added +7.1k +7,113
26 Orion Portfolio Solutions, LLC 0.01% of their portfolio Omaha, NE 44,36244.4k $1.2m $1.2m 0.01% Added +7.1k +7,113
27 FLOW TRADERS U.S. LLC 0.03% of their portfolio NEW YORK, NY 41,52741.5k $1.1m $1.1m 0.03% Reduced -1.6k -1,550
28 KESTRA PRIVATE WEALTH SERVICES, LLC 0.03% of their portfolio AUSTIN, TX 41,35741.4k $1.1m $1.1m 0.03% Reduced -5.4k -5,352
29 Coppell Advisory Solutions LLC 0.22% of their portfolio COPPELL, TX 40,84240.8k $1.1m $1.1m 0.22% Added +11.3k +11,319
30 Pinnacle Family Advisors, LLC 0.60% of their portfolio Springfield, MO 37,57737.6k $1.0m $1.0m 0.60% Added +1.4k +1,380
31 Gateway Wealth Partners, LLC 0.41% of their portfolio APPLETON, WI 37,36137.4k $1.0m $1.0m 0.41% Added +5.6k +5,597
32 IAMS WEALTH MANAGEMENT, LLC 0.66% of their portfolio OMAHA, NE 37,12237.1k $1.0m $1.0m 0.66% Reduced -8.7k -8,674
33 NewEdge Wealth, LLC 0.02% of their portfolio STAMFORD, CT 33,73333.7k $922.6k $922.6k 0.02% Reduced -1.6k -1,623
34 VIMA LLC 2.06% of their portfolio TROY, MI 32,62232.6k $892.2k $892.2k 2.06% First filing
35 StoneX Group Inc. 0.08% of their portfolio NEW YORK, NY 31,08231.1k $850.1k $850.1k 0.08% Reduced -879 -879
36 PARK AVENUE SECURITIES LLC 0.01% of their portfolio NEW YORK, NY 30,63330.6k $838.0k $838.0k 0.01% Reduced -1.9k -1,919
37 ASSETMARK, INC 0.00% of their portfolio CONCORD, CA 27,55527.6k $753.6k $753.6k 0.00% Added +12.0k +12,038
38 Stratos Wealth Partners, LTD. 0.01% of their portfolio BEACHWOOD, OH 27,31427.3k $747.0k $747.0k 0.01% Added +470 +470
39 BENJAMIN F. EDWARDS & COMPANY, INC. 0.01% of their portfolio ST. LOUIS, MO 26,93026.9k $737.0k $737.0k 0.01% Added +3.4k +3,353
40 Kestra Advisory Services, LLC 0.01% of their portfolio AUSTIN, TX 26,64626.6k $728.8k $728.8k 0.01% Reduced -2.9k -2,910
41 BlueChip Wealth Advisors LLC 0.50% of their portfolio Milton, GA 26,05726.1k $712.7k $712.7k 0.50% First filing
42 Snowden Capital Advisors LLC 0.03% of their portfolio New York, NY 25,52625.5k $698.1k $698.1k 0.03% Reduced -612 -612
43 GeoWealth Management, LLC 0.06% of their portfolio CHICAGO, IL 25,14825.1k $687.0k $687.0k 0.06% Added +5.7k +5,739
44 SCOTIA CAPITAL INC. 0.00% of their portfolio TORONTO, A6 22,86922.9k $625.5k $625.5k 0.00% Reduced -2.3k -2,300
45 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 21,41121.4k $585.6k $585.6k 0.00% Reduced -22.3k -22,283
46 FOCUS FINANCIAL NETWORK INC /ADV 0.02% of their portfolio Minneapolis, MN 19,74919.7k $540.1k $540.1k 0.02% First filing
47 Global Retirement Partners, LLC 0.02% of their portfolio San Rafael, CA 18,45018.4k $512.0k $512.0k 0.02% Added +1.6k +1,586
48 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 17,18517.2k $470.0k $470.0k 0.00% Added +622 +622
49 Virtue Capital Management, LLC 0.09% of their portfolio BRENTWOOD, TN 16,39816.4k $447.3k $447.3k 0.09% Added +5.4k +5,423
50 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 15,27015.3k $417.6k $417.6k 0.00% Reduced -4.4k -4,357
51 FSB PREMIER WEALTH MANAGEMENT, INC. 0.21% of their portfolio WATERLOO, IA 15,09315.1k $412.8k $412.8k 0.21% Reduced -201 -201
52 Cetera Advisors LLC 0.01% of their portfolio DENVER, CO 14,93114.9k $408.4k $408.4k 0.01% Added +1.5k +1,489
53 Patriot Financial Group Insurance Agency, LLC 0.08% of their portfolio Westborough, MA 14,60414.6k $399.4k $399.4k 0.08% New
54 B. Riley Wealth Advisors, Inc. 0.01% of their portfolio MEMPHIS, TN 14,04414.0k $384.1k $384.1k 0.01% Reduced -8.3k -8,281
55 RFG Advisory, LLC 0.01% of their portfolio BIRMINGHAM, AL 13,94313.9k $381.3k $381.3k 0.01% Added +103 +103
56 1776 Wealth LLC 0.18% of their portfolio ATLANTA, GA 13,05713.1k $357.1k $357.1k 0.18% Reduced -122 -122
57 PFG Advisors 0.03% of their portfolio Phoenix, AZ 12,41312.4k $339.5k $339.5k 0.03% Reduced -933 -933
58 Mutual Advisors, LLC 0.01% of their portfolio OMAHA, NE 12,24412.2k $334.9k $334.9k 0.01% Unchanged
59 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.02% of their portfolio BIRMINGHAM, AL 9,7819.8k $267.5k $267.5k 0.02% Added +219 +219
60 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 9,7129.7k $265.6k $265.6k 0.01% Added +299 +299
61 MARIPAU WEALTH MANAGEMENT LLC 0.22% of their portfolio FORT WAYNE, IN 9,2049.2k $251.7k $251.7k 0.22% Reduced -1.6k -1,641
62 Signal Advisors Wealth, LLC 0.09% of their portfolio DETROIT, MI 9,2049.2k $251.7k $251.7k 0.09% First filing
63 CreativeOne Wealth, LLC 0.02% of their portfolio OVERLAND PARK, KS 9,0919.1k $249.0k $249.0k 0.02% New
64 GREAT VALLEY ADVISOR GROUP, INC. 0.01% of their portfolio WILMINGTON, DE 8,8118.8k $241.0k $241.0k 0.01% Reduced -2.8k -2,806
65 Concorde Asset Management, LLC 0.16% of their portfolio ANN ARBOR, MI 8,6578.7k $236.8k $236.8k 0.16% Added +488 +488
66 Prospera Financial Services Inc 0.01% of their portfolio Dallas, TX 7,9457.9k $217.3k $217.3k 0.01% New
67 DFPG INVESTMENTS, LLC 0.02% of their portfolio SANDY, UT 7,8537.9k $216.1k $216.1k 0.02% Unchanged
68 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 5,9896.0k $164.0k $164.0k 0.00% Added +725 +725
69 REAP Financial Group, LLC 0.04% of their portfolio AUSTIN, TX 4,6824.7k $128.1k $128.1k 0.04% First filing
70 ICA Group Wealth Management, LLC 0.03% of their portfolio DENVER, CO 4,2394.2k $116.0k $116.0k 0.03% New
71 Tower Research Capital LLC (TRC) 0.00% of their portfolio NEW YORK, NY 2,1062.1k $57.6k $57.6k 0.00% Added +176 +176
72 UBS Group AG 0.00% of their portfolio ZURICH, V8 1,7661.8k $48.3k $48.3k 0.00% Added +1.7k +1,690
73 Larson Financial Group LLC 0.00% of their portfolio ST LOUIS, MO 1,3261.3k $36.3k $36.3k 0.00% Added +1.2k +1,246
74 COMERICA BANK 0.00% of their portfolio DALLAS, TX 1,3161.3k $36.0k $36.0k 0.00% Reduced -169 -169
75 PRINCIPAL SECURITIES, INC. 0.00% of their portfolio DES MOINES, IA 1,2671.3k $34.7k $34.7k 0.00% First filing
76 Sunbelt Securities, Inc. 0.00% of their portfolio HOUSTON, TX 1,1901.2k $32.5k $32.5k 0.00% Added +11 +11
77 TUCKER ASSET MANAGEMENT LLC 0.01% of their portfolio LITTLETON, CO 1,1761.2k $32.2k $32.2k 0.01% Reduced -396 -396
78 BENJAMIN EDWARDS INC 0.01% of their portfolio Clayton, MO 1,1481.1k $31.0k $31.0k 0.01% Added +70 +70
79 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 484484 $13.2k $13.2k 0.00% Added +94 +94
80 SOA Wealth Advisors, LLC. 0.00% of their portfolio NEW YORK, NY 303303 $8.3k $8.3k 0.00% Added +3 +3
81 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 286286 $7.8k $7.8k 0.00% Added +143 +143
82 Avior Wealth Management, LLC 0.00% of their portfolio OMAHA, NE 264264 $7.2k $7.2k 0.00% Reduced -11.2k -11,158
83 CWM, LLC 0.00% of their portfolio OMAHA, NE 143143 $4.0k $4.0k 0.00% Reduced -15 -15
84 LANARK FINANCIAL, INC. 0.00% of their portfolio BIRMINGHAM, AL 113113 $3.0k $3.0k 0.00% Unchanged
85 FMR LLC 0.00% of their portfolio BOSTON, MA 2929 $793 $793 0.00% New
86 DHJJ Financial Advisors, Ltd. 0.00% of their portfolio NAPERVILLE, IL 1010 $274 $274 0.00% Unchanged
87 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 11 $16 $16 0.00% Added +1 +1