Vault-13

FIRST TR EXCHANGE-TRADED FD SDVY

SMID RISNG ETF · ETP · CUSIP 33741X102

164 institutional holders +10 vs Q4 2022
27,844,52827.8m shares reported held*
$741.6mreported value*
21 new 83 added 47 reduced 12 sold out net bought ≈ $41.4m (+1.5m 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 ($243.2k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $26.63. Options: 1 managers hold calls ($0 notional), 2 hold puts ($122.6k).

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 146Q4 22: 154Q1 23: 164164Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022146
Q4 2022154
Q1 2023164

Buyers vs sellers

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

Bought or addedCut or sold out
2000200Q4 22: 76 bought or addedQ4 22: 67 cut or sold outQ4 22Q1 23: 104 bought or addedQ1 23: 59 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 20227667
Q1 202310459

Calls vs puts

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

CallsPuts
$0$50k$100k$150kQ3 22 calls: $0Q3 22 puts: $0Q3 22P/C —Q4 22 calls: $0Q4 22 puts: $0Q4 22P/C —Q1 23 calls: $0Q1 23 puts: $122.6kQ1 23P/C —
Numbers
QuarterCallsPutsP/C
Q3 2022$0$0—
Q4 2022$0$0—
Q1 2023$0$122.6k—

Biggest buyers

LPL Financial LLC Added +687,510+687.5k
WELLS FARGO & COMPANY/MN Added +374,804+374.8k
Mariner, LLC Added +219,224+219.2k
AE Wealth Management LLC Added +181,336+181.3k
CX Institutional New +136,103+136.1k
Baird Financial Group, Inc. Added +115,798+115.8k
RAYMOND JAMES & ASSOCIATES Added +112,340+112.3k
Kestra Advisory Services, LLC Added +89,218+89.2k
GPS Wealth Strategies Group, LLC New +79,344+79.3k
TAP Consulting, LLC Added +76,740+76.7k

Biggest sellers

COMMONWEALTH EQUITY SERVICES, LLC Reduced -303,486-303.5k
JANE STREET GROUP, LLC Reduced -268,887-268.9k
MORGAN STANLEY Reduced -259,316-259.3k
Cambridge Investment Research Advisors, Inc. Reduced -160,827-160.8k
Raymond James Financial Services Advisors, Inc. Reduced -128,400-128.4k
Regal Investment Advisors LLC Reduced -105,513-105.5k
Cetera Advisor Networks LLC Reduced -54,977-55.0k
ENVESTNET ASSET MANAGEMENT INC Reduced -51,826-51.8k
Sigma Planning Corp Reduced -49,039-49.0k
NewEdge Advisors, LLC Reduced -46,554-46.6k

Biggest calls

CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CITADEL ADVISORS LLC New $122.6k4.6k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 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, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.13% of their portfolio FORT MILL, SC 6,384,5216.4m $170.2m $170.2m 0.13% Added +687.5k +687,510
2 RAYMOND JAMES & ASSOCIATES 0.05% of their portfolio ST PETERSBURG, FL 2,009,8962.0m $53.6m $53.6m 0.05% Added +112.3k +112,340
3 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 1,466,6241.5m $39.1m $39.1m 0.01% Added +374.8k +374,804
4 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,461,0831.5m $38.9m $38.9m 0.00% Reduced -259.3k -259,316
5 Raymond James Financial Services Advisors, Inc. 0.06% of their portfolio ST. PETERSBURG, FL 1,266,9171.3m $33.8m $33.8m 0.06% Reduced -128.4k -128,400
6 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 1,192,1521.2m $31.8m $31.8m 0.01% Added +19.6k +19,612
7 OSAIC HOLDINGS, INC. 0.04% of their portfolio SCOTTSDALE, AZ 860,604860.6k $22.9m $22.9m 0.04% Added +12.5k +12,533
8 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 790,301790.3k $21.1m $21.1m 0.01% Reduced -51.8k -51,826
9 Private Advisor Group, LLC 0.15% of their portfolio MORRISTOWN, NJ 594,425594.4k $15.8m $15.8m 0.15% Added +925 +925
10 STIFEL FINANCIAL CORP 0.02% of their portfolio ST. LOUIS, MO 545,098545.1k $14.5m $14.5m 0.02% Added +69.2k +69,175
11 UBS Group AG 0.01% of their portfolio ZURICH, V8 519,285519.3k $13.8m $13.8m 0.01% Added +47.3k +47,321
12 Prospera Financial Services Inc 0.48% of their portfolio Dallas, TX 434,906434.9k $11.6m $11.6m 0.48% Added +10.5k +10,470
13 Cetera Investment Advisers 0.09% of their portfolio SCHAUMBURG, IL 383,184383.2k $10.2m $10.2m 0.09% Added +35.3k +35,307
14 Cambridge Investment Research Advisors, Inc. 0.05% of their portfolio FAIRFIELD, IA 381,917381.9k $10.2m $10.2m 0.05% Reduced -160.8k -160,827
15 TRUIST FINANCIAL CORP 0.02% of their portfolio CHARLOTTE, NC 340,926340.9k $9.1m $9.1m 0.02% Reduced -29.6k -29,601
16 Mariner, LLC 0.02% of their portfolio Overland Park, KS 318,580318.6k $8.5m $8.5m 0.02% Added +219.2k +219,224
17 MML INVESTORS SERVICES, LLC 0.06% of their portfolio SPRINGFIELD, MA 313,021313.0k $8.3m $8.3m 0.06% Reduced -19.0k -18,987
18 TrueWealth Advisors, LLC 3.27% of their portfolio BIRMINGHAM, AL 292,485292.5k $7.8m $7.8m 3.27% Added +27.4k +27,374
19 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 285,365285.4k $7.6m $7.6m 0.02% Reduced -303.5k -303,486
20 Kestra Advisory Services, LLC 0.08% of their portfolio AUSTIN, TX 278,747278.7k $7.4m $7.4m 0.08% Added +89.2k +89,218
21 Baird Financial Group, Inc. 0.02% of their portfolio MILWAUKEE, WI 276,457276.5k $7.4m $7.4m 0.02% Added +115.8k +115,798
22 KESTRA PRIVATE WEALTH SERVICES, LLC 0.28% of their portfolio AUSTIN, TX 266,983267.0k $7.1m $7.1m 0.28% Added +39.0k +38,953
23 Cetera Advisor Networks LLC 0.05% of their portfolio EL SEGUNDO, CA 231,043231.0k $6.2m $6.2m 0.05% Reduced -55.0k -54,977
24 Ergawealth Advisors, Inc. 4.89% of their portfolio OAK BROOK, IL 225,369225.4k $6.0m $6.0m 4.89% Added +12.2k +12,156
25 AE Wealth Management LLC 0.04% of their portfolio TOPEKA, KS 225,364225.4k $6.0m $6.0m 0.04% Added +181.3k +181,336
26 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 208,781208.8k $5.6m $5.6m 0.02% Added +22.3k +22,296
27 Pine Valley Investments Ltd Liability Co 0.81% of their portfolio MARLTON, NJ 206,998207.0k $5.3m $5.3m 0.81% First filing
28 Regal Investment Advisors LLC 0.46% of their portfolio KENTWOOD, MI 193,600193.6k $5.2m $5.2m 0.46% Reduced -105.5k -105,513
29 Steward Partners Investment Advisory, LLC 0.08% of their portfolio STAMFORD, CT 186,710186.7k $5.0m $5.0m 0.08% Reduced -12.2k -12,242
30 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 183,713183.7k $4.9m $4.9m 0.01% Added +27.2k +27,246
31 TAP Consulting, LLC 1.16% of their portfolio KIRKWOOD, MO 177,207177.2k $4.7m $4.7m 1.16% Added +76.7k +76,740
32 CASTLE WEALTH MANAGEMENT LLC 3.46% of their portfolio BOYNTON BEACH, FL 167,879167.9k $4.5m $4.5m 3.46% Added +7.9k +7,912
33 BLAIR WILLIAM & CO/IL 0.02% of their portfolio CHICAGO, IL 167,700167.7k $4.5m $4.5m 0.02% Added +38.7k +38,665
34 HARBOUR INVESTMENTS, INC. 0.24% of their portfolio MADISON, WI 161,909161.9k $4.3m $4.3m 0.24% Added +6.9k +6,865
35 RFG Advisory, LLC 0.19% of their portfolio BIRMINGHAM, AL 146,534146.5k $3.9m $3.9m 0.19% Added +3.2k +3,247
36 Atria Wealth Solutions, Inc. 0.05% of their portfolio NEW YORK, NY 136,805136.8k $3.6m $3.6m 0.05% Added +18.2k +18,198
37 CX Institutional 0.19% of their portfolio AUBURN, IN 136,103136.1k $3.6m $3.6m 0.19% New
38 Crumly & Associates Inc. 1.53% of their portfolio SPRINGFIELD, IL 131,884131.9k $3.5m $3.5m 1.53% Reduced -13.5k -13,455
39 FSB PREMIER WEALTH MANAGEMENT, INC. 1.95% of their portfolio WATERLOO, IA 131,656131.7k $3.5m $3.5m 1.95% Added +45.3k +45,330
40 Aprio Wealth Management, LLC 1.04% of their portfolio ATLANTA, GA 127,186127.2k $3.4m $3.4m 1.04% Added +24.6k +24,552
41 J.P. Morgan Private Wealth Advisors LLC 0.01% of their portfolio SAN FRANCISCO, CA 126,773126.8k $3.4m $3.4m 0.01% Reduced -11.4k -11,351
42 Kolinsky Wealth Management, LLC 3.58% of their portfolio RAMSEY, NJ 126,659126.7k $3.4m $3.4m 3.58% Added +4.1k +4,062
43 Western Wealth Management, LLC 0.30% of their portfolio GOLDEN, CO 120,289120.3k $3.2m $3.2m 0.30% Added +12.2k +12,228
44 Integrated Wealth Concepts LLC 0.07% of their portfolio WALTHAM, MA 119,767119.8k $3.2m $3.2m 0.07% Added +49.2k +49,229
45 Good Life Advisors, LLC 0.41% of their portfolio READING, PA 119,111119.1k $3.2m $3.2m 0.41% Added +11.7k +11,742
46 Stratos Wealth Partners, LTD. 0.08% of their portfolio BEACHWOOD, OH 118,356118.4k $3.2m $3.2m 0.08% Added +5.5k +5,464
47 SignalPoint Asset Management, LLC 0.92% of their portfolio SPRINGFIELD, MO 109,027109.0k $2.9m $2.9m 0.92% Added +43.7k +43,744
48 Waverly Advisors, LLC 0.13% of their portfolio BIRMINGHAM, AL 93,18693.2k $2.5m $2.5m 0.13% Reduced -10.8k -10,801
49 Gladstone Institutional Advisory LLC 0.16% of their portfolio Bedminster, NJ 90,10590.1k $2.4m $2.4m 0.16% Reduced -16.7k -16,731
50 First Heartland Consultants, Inc. 0.36% of their portfolio LAKE ST. LOUIS, MO 89,35389.4k $2.4m $2.4m 0.36% Added +51 +51
51 Financial Advocates Investment Management 0.18% of their portfolio OLYMPIA, WA 86,84586.8k $2.3m $2.3m 0.18% Added +2.3k +2,312
52 GPS Wealth Strategies Group, LLC 0.44% of their portfolio CENTENNIAL, CO 79,34479.3k $2.1m $2.1m 0.44% New
53 INDEPENDENT FINANCIAL GROUP, LLC 0.16% of their portfolio SAN DIEGO, CA 76,53676.5k $2.0m $2.0m 0.16% Added +45.4k +45,362
54 Mattern Wealth Management LLC 0.67% of their portfolio LAWRENCE, KS 75,87175.9k $2.0m $2.0m 0.67% New
55 CIBC WORLD MARKET INC. 0.01% of their portfolio TORONTO, A6 74,93574.9k $2.0m $2.0m 0.01% New
56 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 73,69473.7k $2.0m $2.0m 0.00% Added +23.7k +23,694
57 Sigma Planning Corp 0.06% of their portfolio ANN ARBOR, MI 72,88472.9k $1.9m $1.9m 0.06% Reduced -49.0k -49,039
58 Owen LaRue, LLC 2.06% of their portfolio ELIZABETHTOWN, KY 71,84271.8k $1.9m $1.9m 2.06% Unchanged
59 PSI Advisors, LLC 0.88% of their portfolio TAMPA, FL 68,15868.2k $1.8m $1.8m 0.88% Added +32.7k +32,673
60 COZAD ASSET MANAGEMENT INC 0.23% of their portfolio CHAMPAIGN, IL 65,77965.8k $1.8m $1.8m 0.23% Added +482 +482
61 Koshinski Asset Management, Inc. 0.16% of their portfolio DECATUR, IL 61,47061.5k $1.6m $1.6m 0.16% Reduced -870 -870
62 BENJAMIN F. EDWARDS & COMPANY, INC. 0.07% of their portfolio ST. LOUIS, MO 60,63360.6k $1.6m $1.6m 0.07% Added +7.9k +7,930
63 Spire Wealth Management 0.06% of their portfolio MCLEAN, VA 59,96060.0k $1.6m $1.6m 0.06% Added +59.9k +59,858
64 Cetera Advisors LLC 0.03% of their portfolio DENVER, CO 58,30258.3k $1.6m $1.6m 0.03% Reduced -5.7k -5,685
65 NewEdge Advisors, LLC 0.02% of their portfolio NEW ORLEANS, LA 57,39057.4k $1.5m $1.5m 0.02% Reduced -46.6k -46,554
66 IFG Advisory, LLC 0.14% of their portfolio ATLANTA, GA 56,46256.5k $1.5m $1.5m 0.14% Added +3.6k +3,558
67 J.W. COLE ADVISORS, INC. 0.11% of their portfolio TAMPA, FL 56,10256.1k $1.5m $1.5m 0.11% New
68 Harvest Investment Services, LLC 1.11% of their portfolio Oakbrook Terrace, IL 53,98754.0k $1.4m $1.4m 1.11% Added +2.2k +2,181
69 PCG Wealth Advisors, LLC 0.89% of their portfolio OVERLAND PARK, KS 52,55452.6k $1.4m $1.4m 0.89% Reduced -11.8k -11,843
70 RVW Wealth, LLC 0.16% of their portfolio LOS ANGELES, CA 49,45249.5k $1.3m $1.3m 0.16% Reduced -5.6k -5,596
71 CHIRON CAPITAL MANAGEMENT, LLC 0.87% of their portfolio TALLAHASSEE, FL 46,95747.0k $1.3m $1.3m 0.87% Added +4.7k +4,665
72 Smart Portfolios, LLC 2.20% of their portfolio LAKE FOREST PARK, WA 46,78846.8k $1.2m $1.2m 2.20% Reduced -112 -112
73 FLAGSTAR SECURITIES, INC 0.45% of their portfolio New York, NY 46,30646.3k $1.2m $1.2m 0.45% Added +2.3k +2,268
74 Root Financial Partners, LLC 0.88% of their portfolio ENCINITAS, CA 46,26846.3k $1.2m $1.2m 0.88% First filing
75 Cherry Creek Investment Advisors, Inc. 0.90% of their portfolio ENGLEWOOD, CO 46,20946.2k $1.2m $1.2m 0.90% Added +2.5k +2,477
76 Summit Investment Advisory Services, LLC 0.83% of their portfolio ROSEVILLE, MN 43,93643.9k $1.2m $1.2m 0.83% Added +885 +885
77 Kingsview Wealth Management, LLC 0.05% of their portfolio GRANTS PASS, OR 42,80042.8k $1.1m $1.1m 0.05% Added +4.5k +4,478
78 Atlas Wealth LLC 0.22% of their portfolio CINCINNATI, OH 42,13542.1k $1.1m $1.1m 0.22% Reduced -183 -183
79 Snowden Capital Advisors LLC 0.04% of their portfolio New York, NY 41,44141.4k $1.1m $1.1m 0.04% Reduced -41.5k -41,520
80 Orion Porfolio Solutions, LLC 0.01% of their portfolio OMAHA, NE 40,66740.7k $1.1m $1.1m 0.01% New
81 Orion Portfolio Solutions, LLC 0.01% of their portfolio Omaha, NE 40,66740.7k $1.1m $1.1m 0.01% Added +2.2k +2,188
82 RAYMOND JAMES TRUST N.A. 0.03% of their portfolio ST. PETERSBURG, FL 40,58140.6k $1.1m $1.1m 0.03% Added +62 +62
83 Arkadios Wealth Advisors 0.13% of their portfolio ATLANTA, GA 39,60339.6k $1.1m $1.1m 0.13% Added +30.9k +30,909
84 Equitable Holdings, Inc. 0.02% of their portfolio NEW YORK, NY 38,97039.0k $1.0m $1.0m 0.02% Added +11.5k +11,455
85 IHT Wealth Management, LLC 0.06% of their portfolio Chicago, IL 38,25638.3k $1.0m $1.0m 0.06% Added +5.2k +5,175
86 D.A. DAVIDSON & CO. 0.01% of their portfolio GREAT FALLS, MT 33,21533.2k $885.2k $885.2k 0.01% Added +6.4k +6,373
87 Purus Wealth Management, LLC 0.69% of their portfolio Newport Beach, CA 32,72432.7k $872.1k $872.1k 0.69% Reduced -258 -258
88 IFP Advisors, Inc 0.03% of their portfolio TAMPA, FL 32,23432.2k $679.8k $679.8k 0.03% Reduced -45.5k -45,546
89 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 31,28331.3k $837.0k $837.0k 0.00% Added +3.6k +3,618
90 Cedrus LLC 0.57% of their portfolio Littleton, CO 30,30630.3k $807.7k $807.7k 0.57% New
91 Altus Wealth Group LLC 0.47% of their portfolio COLORADO SPRINGS, CO 26,46126.5k $705.2k $705.2k 0.47% Added +974 +974
92 WINTRUST INVESTMENTS LLC 0.09% of their portfolio CHICAGO, IL 24,34024.3k $649.0k $649.0k 0.09% Reduced -2.3k -2,270
93 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 23,89423.9k $636.8k $636.8k 0.00% New
94 Ameritas Advisory Services, LLC 0.03% of their portfolio Lincoln, NE 23,72723.7k $631.1k $631.1k 0.03% Reduced -2.6k -2,646
95 Tower Research Capital LLC (TRC) 0.02% of their portfolio NEW YORK, NY 23,43723.4k $625.0k $625.0k 0.02% Added +12.1k +12,137
96 StoneX Group Inc. 0.07% of their portfolio NEW YORK, NY 22,61122.6k $603.2k $603.2k 0.07% Added +138 +138
97 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 22,42622.4k $597.7k $597.7k 0.01% Added +12.1k +12,116
98 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.05% of their portfolio BIRMINGHAM, AL 22,07522.1k $588.3k $588.3k 0.05% Added +5.9k +5,892
99 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.08% of their portfolio ORLANDO, FL 21,09421.1k $563.3k $563.3k 0.08% Reduced -3.7k -3,691
100 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 20,48120.5k $545.8k $545.8k 0.01% Added +2.5k +2,528