Vault-13

FIRST TR EXCHANGE TRAD FD VI FAAR

ALT ABSLT STRG · ETP · CUSIP 33740Y101

81 institutional holders -6 vs Q4 2023
3,969,9084.0m shares reported held*
$114.3mreported value*
4 new 33 added 36 reduced 10 sold out net sold ≈ $30.7m (-1.1m 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 ($16.0k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $28.79.

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 78Q4 22: 76Q1 23: 89Q2 23: 83Q3 23: 85Q4 23: 87Q1 24: 8181Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 202278
Q4 202276
Q1 202389
Q2 202383
Q3 202385
Q4 202387
Q1 202481

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 23Q1 24: 37 bought or addedQ1 24: 46 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 20223740
Q1 20234839
Q2 20235338
Q3 20233747
Q4 20234541
Q1 20243746

Calls vs puts

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

CallsPuts
$0$1m$2m$3mQ2 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 —Q1 24 calls: $0Q1 24 puts: $0Q1 24P/C —
Numbers
QuarterCallsPutsP/C
Q2 2023$0$2.8m—
Q3 2023$0$0—
Q4 2023$0$0—
Q1 2024$0$0—

Biggest buyers

JANE STREET GROUP, LLC Added +207,860+207.9k
Simplicity Wealth,LLC New +34,960+35.0k
FIRST TRUST ADVISORS LP Added +30,740+30.7k
FLOW TRADERS U.S. LLC Added +30,110+30.1k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Added +19,622+19.6k
Walkner Condon Financial Advisors LLC Added +17,942+17.9k
Ausdal Financial Partners, Inc. Added +16,423+16.4k
ASSETMARK, INC Added +10,756+10.8k
Jaffetilchin Investment Partners, LLC New +10,626+10.6k
Apollon Wealth Management, LLC New +9,151+9.2k

Biggest sellers

ENVESTNET ASSET MANAGEMENT INC Reduced -319,581-319.6k
AE Wealth Management LLC Reduced -202,801-202.8k
OSAIC HOLDINGS, INC. Reduced -186,608-186.6k
Cetera Advisor Networks LLC Sold out -171,279-171.3k
OLD MISSION CAPITAL LLC Sold out -89,180-89.2k
Cetera Investment Advisers Reduced -83,638-83.6k
Bank of New York Mellon Corp Reduced -65,733-65.7k
BANK OF MONTREAL /CAN/ Sold out -55,562-55.6k
SMART Wealth LLC Reduced -41,455-41.5k
KESTRA PRIVATE WEALTH SERVICES, LLC Reduced -34,217-34.2k

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, Q1 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Horizon Advisory Services, Inc. 8.19% of their portfolio WEST HENRIETTA, NY 610,655610.7k $17.6m $17.6m 8.19% First filing
2 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 350,060350.1k $10.1m $10.1m 0.00% Reduced -319.6k -319,581
3 JANE STREET GROUP, LLC 0.01% of their portfolio NEW YORK, NY 323,350323.4k $9.3m $9.3m 0.01% Added +207.9k +207,860
4 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 276,817276.8k $8.0m $8.0m 0.00% Reduced -21.1k -21,102
5 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 208,857208.9k $6.0m $6.0m 0.01% Reduced -186.6k -186,608
6 CAPTRUST FINANCIAL ADVISORS 0.01% of their portfolio RALEIGH, NC 134,015134.0k $3.9m $3.9m 0.01% Reduced -5.3k -5,270
7 Walkner Condon Financial Advisors LLC 0.70% of their portfolio MADISON, WI 114,417114.4k $3.3m $3.3m 0.70% Added +17.9k +17,942
8 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 112,257112.3k $3.2m $3.2m 0.01% Reduced -83.6k -83,638
9 AVANTAX ADVISORY SERVICES, INC. 0.03% of their portfolio DALLAS, TX 112,067112.1k $3.2m $3.2m 0.03% Added +146 +146
10 Authentikos Wealth Advisory, LLC 2.72% of their portfolio MORGAN HILL, CA 94,12794.1k $2.7m $2.7m 2.72% Reduced -5.4k -5,445
11 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 90,59690.6k $2.6m $2.6m 0.00% Added +4.6k +4,641
12 Ausdal Financial Partners, Inc. 0.28% of their portfolio Davenport, IA 82,46382.5k $2.4m $2.4m 0.28% Added +16.4k +16,423
13 IFP Advisors, Inc 0.09% of their portfolio TAMPA, FL 74,15874.2k $2.1m $2.1m 0.09% Added +1.8k +1,790
14 FLOW TRADERS U.S. LLC 0.11% of their portfolio NEW YORK, NY 71,63771.6k $2.1m $2.1m 0.11% Added +30.1k +30,110
15 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 70,51770.5k $2.0m $2.0m 0.00% Reduced -65.7k -65,733
16 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 65,50665.5k $1.9m $1.9m 0.00% Added +5.3k +5,308
17 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 51,77751.8k $1.5m $1.5m 0.01% Reduced -28.1k -28,082
18 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 50,38350.4k $1.5m $1.5m 0.00% Reduced -12.3k -12,327
19 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 47,92547.9k $1.4m $1.4m 0.00% Added +30.7k +30,740
20 Atria Wealth Solutions, Inc. 0.02% of their portfolio NEW YORK, NY 46,94346.9k $1.4m $1.4m 0.02% Reduced -12.0k -12,018
21 Gateway Wealth Partners, LLC 0.44% of their portfolio APPLETON, WI 43,01943.0k $1.2m $1.2m 0.44% Added +5.7k +5,658
22 Coppell Advisory Solutions Corp. 0.23% of their portfolio COPPELL, TX 41,81941.8k $1.2m $1.2m 0.23% First filing
23 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 41,03341.0k $1.2m $1.2m 0.00% Added +19.6k +19,622
24 Pinnacle Family Advisors, LLC 0.63% of their portfolio Springfield, MO 40,88040.9k $1.2m $1.2m 0.63% Added +3.3k +3,303
25 IAMS WEALTH MANAGEMENT, LLC 0.70% of their portfolio OMAHA, NE 40,51340.5k $1.2m $1.2m 0.70% Added +3.4k +3,391
26 ASSETMARK, INC 0.00% of their portfolio CONCORD, CA 38,31138.3k $1.1m $1.1m 0.00% Added +10.8k +10,756
27 Simplicity Wealth,LLC 0.02% of their portfolio SUMMIT, NJ 34,96035.0k $1.0m $1.0m 0.02% New
28 Envestnet Portfolio Solutions, Inc. 0.00% of their portfolio BERWYN, PA 34,50434.5k $993.4k $993.4k 0.00% Reduced -9.9k -9,893
29 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 32,51532.5k $936.0k $936.0k 0.00% Reduced -18.6k -18,571
30 GeoWealth Management, LLC 0.03% of their portfolio CHICAGO, IL 30,99231.0k $892.3k $892.3k 0.03% Added +5.8k +5,844
31 AE Wealth Management LLC 0.01% of their portfolio TOPEKA, KS 29,30629.3k $843.7k $843.7k 0.01% Reduced -202.8k -202,801
32 VIMA LLC 0.97% of their portfolio TROY, MI 28,16528.2k $836.5k $836.5k 0.97% Reduced -4.5k -4,457
33 Orion Porfolio Solutions, LLC 0.01% of their portfolio OMAHA, NE 27,55127.6k $793.2k $793.2k 0.01% Reduced -16.8k -16,811
34 Orion Portfolio Solutions, LLC 0.01% of their portfolio Omaha, NE 27,55127.6k $793.2k $793.2k 0.01% Reduced -16.8k -16,811
35 Snowden Capital Advisors LLC 0.02% of their portfolio New York, NY 26,38126.4k $759.5k $759.5k 0.02% Added +855 +855
36 BlueChip Wealth Advisors LLC 0.48% of their portfolio Milton, GA 26,05726.1k $750.2k $750.2k 0.48% Unchanged
37 SMART Wealth LLC 0.30% of their portfolio Omaha, NE 23,39023.4k $673.4k $673.4k 0.30% Reduced -41.5k -41,455
38 StoneX Group Inc. 0.06% of their portfolio NEW YORK, NY 22,94022.9k $660.4k $660.4k 0.06% Reduced -8.1k -8,142
39 B. Riley Wealth Advisors, Inc. 0.02% of their portfolio MEMPHIS, TN 22,32522.3k $640.7k $640.7k 0.02% Added +8.3k +8,281
40 Stratos Wealth Partners, LTD. 0.01% of their portfolio BEACHWOOD, OH 21,54621.5k $620.3k $620.3k 0.01% Reduced -5.8k -5,768
41 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 21,09121.1k $607.2k $607.2k 0.00% Reduced -5.6k -5,555
42 FSB PREMIER WEALTH MANAGEMENT, INC. 0.27% of their portfolio WATERLOO, IA 19,87519.9k $572.2k $572.2k 0.27% Added +4.8k +4,782
43 NewEdge Wealth, LLC 0.01% of their portfolio STAMFORD, CT 19,06319.1k $539.7k $539.7k 0.01% Reduced -14.7k -14,670
44 Patriot Financial Group Insurance Agency, LLC 0.09% of their portfolio Westborough, MA 18,85718.9k $542.9k $542.9k 0.09% Added +4.3k +4,253
45 Global Retirement Partners, LLC 0.02% of their portfolio San Rafael, CA 18,20018.2k $524.0k $524.0k 0.02% Reduced -250 -250
46 PARK AVENUE SECURITIES LLC 0.01% of their portfolio NEW YORK, NY 16,71216.7k $481.0k $481.0k 0.01% Reduced -13.9k -13,921
47 Virtue Capital Management, LLC 0.09% of their portfolio BRENTWOOD, TN 16,45416.5k $484.6k $484.6k 0.09% Added +56 +56
48 CreativeOne Wealth, LLC 0.02% of their portfolio OVERLAND PARK, KS 14,99215.0k $431.0k $431.0k 0.02% Added +5.9k +5,901
49 RFG Advisory, LLC 0.01% of their portfolio BIRMINGHAM, AL 14,42714.4k $415.4k $415.4k 0.01% Added +484 +484
50 SCOTIA CAPITAL INC. 0.00% of their portfolio TORONTO, A6 13,77213.8k $396.5k $396.5k 0.00% Reduced -9.1k -9,097
51 Allworth Financial LP 0.00% of their portfolio FOLSOM, CA 13,69213.7k $394.2k $394.2k 0.00% Reduced -1.6k -1,578
52 Focus Financial Network, Inc. 0.02% of their portfolio MINNEAPOLIS, MN 13,68813.7k $397.2k $397.2k 0.02% First filing
53 1776 Wealth LLC 0.18% of their portfolio ATLANTA, GA 13,05713.1k $375.9k $375.9k 0.18% Unchanged
54 BENJAMIN F. EDWARDS & COMPANY, INC. 0.01% of their portfolio ST. LOUIS, MO 12,86212.9k $370.0k $370.0k 0.01% Reduced -14.1k -14,068
55 Mutual Advisors, LLC 0.01% of their portfolio OMAHA, NE 11,29511.3k $325.2k $325.2k 0.01% Reduced -949 -949
56 Jaffetilchin Investment Partners, LLC 0.03% of their portfolio TAMPA, FL 10,62610.6k $305.9k $305.9k 0.03% New
57 PFG Advisors 0.02% of their portfolio Phoenix, AZ 10,48910.5k $302.0k $302.0k 0.02% Reduced -1.9k -1,924
58 UBS Group AG 0.00% of their portfolio ZURICH, V8 10,22610.2k $294.4k $294.4k 0.00% Added +8.5k +8,460
59 MARIPAU WEALTH MANAGEMENT LLC 0.21% of their portfolio FORT WAYNE, IN 9,6639.7k $278.2k $278.2k 0.21% Added +459 +459
60 Signal Advisors Wealth, LLC 0.07% of their portfolio DETROIT, MI 9,6639.7k $278.2k $278.2k 0.07% Added +459 +459
61 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 9,4899.5k $273.0k $273.0k 0.00% Added +3.5k +3,500
62 Apollon Wealth Management, LLC 0.01% of their portfolio MOUNT PLEASANT, SC 9,1519.2k $263.5k $263.5k 0.01% New
63 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 7,6797.7k $221.1k $221.1k 0.01% Reduced -2.0k -2,033
64 Prospera Financial Services Inc 0.01% of their portfolio Dallas, TX 7,5127.5k $216.4k $216.4k 0.01% Reduced -433 -433
65 KESTRA PRIVATE WEALTH SERVICES, LLC 0.00% of their portfolio AUSTIN, TX 7,1407.1k $205.6k $205.6k 0.00% Reduced -34.2k -34,217
66 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.01% of their portfolio BIRMINGHAM, AL 5,9566.0k $171.5k $171.5k 0.01% Reduced -3.8k -3,825
67 ICA Group Wealth Management, LLC 0.02% of their portfolio DENVER, CO 4,3084.3k $124.0k $124.0k 0.02% Added +69 +69
68 TUCKER ASSET MANAGEMENT LLC 0.01% of their portfolio LITTLETON, CO 1,7041.7k $49.1k $49.1k 0.01% Added +528 +528
69 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 1,4821.5k $42.0k $42.0k 0.00% Added +998 +998
70 Larson Financial Group LLC 0.00% of their portfolio ST LOUIS, MO 1,3271.3k $38.2k $38.2k 0.00% Added +1 +1
71 Sunbelt Securities, Inc. 0.00% of their portfolio HOUSTON, TX 1,1981.2k $34.5k $34.5k 0.00% Added +8 +8
72 PRINCIPAL SECURITIES, INC. 0.00% of their portfolio DES MOINES, IA 773773 $22.3k $22.3k 0.00% Reduced -494 -494
73 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 588588 $17.0k $17.0k 0.00% Added +302 +302
74 BENJAMIN EDWARDS INC 0.00% of their portfolio Clayton, MO 573573 $16.0k $16.0k 0.00% Reduced -575 -575
75 SOA Wealth Advisors, LLC. 0.00% of their portfolio NEW YORK, NY 308308 $8.9k $8.9k 0.00% Added +5 +5
76 CWM, LLC 0.00% of their portfolio OMAHA, NE 138138 $4.0k $4.0k 0.00% Reduced -5 -5
77 LANARK FINANCIAL, INC. 0.00% of their portfolio BIRMINGHAM, AL 113113 $3.0k $3.0k 0.00% Unchanged
78 Sound Income Strategies, LLC 0.00% of their portfolio FT LAUDERDALE, FL 4141 $1.2k $1.2k 0.00% New
79 DHJJ Financial Advisors, Ltd. 0.00% of their portfolio NAPERVILLE, IL 1010 $288 $288 0.00% Unchanged
80 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 11 $35 $35 0.00% Unchanged
81 FMR LLC 0.00% of their portfolio BOSTON, MA 11 $29 $29 0.00% Reduced -28 -28