Vault-13

FIRST TR EXCHANGE-TRADED FD SDVY

SMID RISNG ETF · ETP · CUSIP 33741X102

168 institutional holders +4 vs Q1 2023
29,352,96229.4m shares reported held*
$830.8mreported value*
21 new 77 added 60 reduced 17 sold out net bought ≈ $41.8m (+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. Holder counts are more reliable. Implied quarter-end price ≈ $28.30. Options: 2 managers hold calls ($345.4k notional), 1 hold puts ($0).

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 146Q4 22: 154Q1 23: 164Q2 23: 168168Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022146
Q4 2022154
Q1 2023164
Q2 2023168

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 23Q2 23: 98 bought or addedQ2 23: 77 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20227667
Q1 202310459
Q2 20239877

Calls vs puts

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

CallsPuts
$0$100k$200k$300k$400kQ3 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 —Q2 23 calls: $345.4kQ2 23 puts: $0Q2 23P/C 0.00
Numbers
QuarterCallsPutsP/C
Q3 2022$0$0—
Q4 2022$0$0—
Q1 2023$0$122.6k—
Q2 2023$345.4k$00.00

Biggest buyers

OSAIC HOLDINGS, INC. Added +529,592+529.6k
ENVESTNET ASSET MANAGEMENT INC Added +316,695+316.7k
STIFEL FINANCIAL CORP Added +308,635+308.6k
TRUIST FINANCIAL CORP Added +259,773+259.8k
Per Stirling Capital Management, LLC. New +205,139+205.1k
UBS Group AG Added +163,078+163.1k
BLAIR WILLIAM & CO/IL Added +141,105+141.1k
Naviter Wealth, LLC New +126,642+126.6k
Second Half Financial Partners, LLC New +123,235+123.2k
Prospera Financial Services Inc Added +90,117+90.1k

Biggest sellers

LPL Financial LLC Reduced -449,794-449.8k
Crumly & Associates Inc. Reduced -124,542-124.5k
Kestra Advisory Services, LLC Reduced -101,753-101.8k
Raymond James Financial Services Advisors, Inc. Reduced -97,299-97.3k
Waverly Advisors, LLC Sold out -93,186-93.2k
ROYAL BANK OF CANADA Reduced -84,032-84.0k
HARBOUR INVESTMENTS, INC. Reduced -77,706-77.7k
RFG Advisory, LLC Reduced -63,776-63.8k
Private Advisor Group, LLC Reduced -50,478-50.5k
RVW Wealth, LLC Sold out -49,452-49.5k

Biggest calls

CITADEL ADVISORS LLC New $345.4k12.2k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

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, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.12% of their portfolio FORT MILL, SC 5,934,7275.9m $168.0m $168.0m 0.12% Reduced -449.8k -449,794
2 RAYMOND JAMES & ASSOCIATES 0.05% of their portfolio ST PETERSBURG, FL 2,013,5972.0m $57.0m $57.0m 0.05% Added +3.7k +3,701
3 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 1,516,7031.5m $42.9m $42.9m 0.01% Added +50.1k +50,079
4 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,415,0661.4m $40.1m $40.1m 0.00% Reduced -46.0k -46,017
5 OSAIC HOLDINGS, INC. 0.07% of their portfolio SCOTTSDALE, AZ 1,390,1961.4m $39.4m $39.4m 0.07% Added +529.6k +529,592
6 Raymond James Financial Services Advisors, Inc. 0.06% of their portfolio ST. PETERSBURG, FL 1,169,6181.2m $33.1m $33.1m 0.06% Reduced -97.3k -97,299
7 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 1,108,1201.1m $31.4m $31.4m 0.01% Reduced -84.0k -84,032
8 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 1,106,9961.1m $31.3m $31.3m 0.01% Added +316.7k +316,695
9 STIFEL FINANCIAL CORP 0.03% of their portfolio ST. LOUIS, MO 853,733853.7k $24.2m $24.2m 0.03% Added +308.6k +308,635
10 UBS Group AG 0.01% of their portfolio ZURICH, V8 682,363682.4k $19.3m $19.3m 0.01% Added +163.1k +163,078
11 TRUIST FINANCIAL CORP 0.03% of their portfolio CHARLOTTE, NC 600,699600.7k $17.0m $17.0m 0.03% Added +259.8k +259,773
12 Private Advisor Group, LLC 0.13% of their portfolio MORRISTOWN, NJ 543,947543.9k $15.4m $15.4m 0.13% Reduced -50.5k -50,478
13 Prospera Financial Services Inc 0.57% of their portfolio Dallas, TX 525,023525.0k $14.9m $14.9m 0.57% Added +90.1k +90,117
14 Cambridge Investment Research Advisors, Inc. 0.05% of their portfolio FAIRFIELD, IA 390,653390.7k $11.1m $11.1m 0.05% Added +8.7k +8,736
15 Cetera Investment Advisers 0.09% of their portfolio SCHAUMBURG, IL 361,698361.7k $10.2m $10.2m 0.09% Reduced -21.5k -21,486
16 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 327,897327.9k $9.3m $9.3m 0.02% Added +42.5k +42,532
17 MML INVESTORS SERVICES, LLC 0.05% of their portfolio SPRINGFIELD, MA 321,973322.0k $9.1m $9.1m 0.05% Added +9.0k +8,952
18 Mariner, LLC 0.02% of their portfolio Overland Park, KS 314,922314.9k $8.9m $8.9m 0.02% Reduced -3.7k -3,658
19 BLAIR WILLIAM & CO/IL 0.03% of their portfolio CHICAGO, IL 308,805308.8k $8.7m $8.7m 0.03% Added +141.1k +141,105
20 TrueWealth Advisors, LLC 3.48% of their portfolio BIRMINGHAM, AL 299,605299.6k $8.5m $8.5m 3.48% Added +7.1k +7,120
21 Steward Partners Investment Advisory, LLC 0.12% of their portfolio STAMFORD, CT 274,936274.9k $7.8m $7.8m 0.12% Added +88.2k +88,226
22 KESTRA PRIVATE WEALTH SERVICES, LLC 0.26% of their portfolio AUSTIN, TX 266,104266.1k $7.5m $7.5m 0.26% Reduced -879 -879
23 Baird Financial Group, Inc. 0.02% of their portfolio MILWAUKEE, WI 260,887260.9k $7.4m $7.4m 0.02% Reduced -15.6k -15,570
24 Ergawealth Advisors, Inc. 4.93% of their portfolio OAK BROOK, IL 254,200254.2k $7.2m $7.2m 4.93% Added +28.8k +28,831
25 AE Wealth Management LLC 0.04% of their portfolio TOPEKA, KS 227,022227.0k $6.4m $6.4m 0.04% Added +1.7k +1,658
26 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 212,184212.2k $6.0m $6.0m 0.02% Added +3.4k +3,403
27 Cetera Advisor Networks LLC 0.04% of their portfolio EL SEGUNDO, CA 210,886210.9k $6.0m $6.0m 0.04% Reduced -20.2k -20,157
28 Pine Valley Investments Ltd Liability Co 0.58% of their portfolio MARLTON, NJ 207,417207.4k $5.9m $5.9m 0.58% Added +419 +419
29 Per Stirling Capital Management, LLC. 1.18% of their portfolio AUSTIN, TX 205,139205.1k $5.8m $5.8m 1.18% New
30 Regal Investment Advisors LLC 0.47% of their portfolio KENTWOOD, MI 196,609196.6k $5.6m $5.6m 0.47% Added +3.0k +3,009
31 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 193,421193.4k $5.5m $5.5m 0.01% Added +9.7k +9,708
32 Kestra Advisory Services, LLC 0.05% of their portfolio AUSTIN, TX 176,994177.0k $5.0m $5.0m 0.05% Reduced -101.8k -101,753
33 TAP Consulting, LLC 1.21% of their portfolio KIRKWOOD, MO 173,656173.7k $4.9m $4.9m 1.21% Reduced -3.6k -3,551
34 INDEPENDENT FINANCIAL GROUP, LLC 0.30% of their portfolio SAN DIEGO, CA 155,081155.1k $4.4m $4.4m 0.30% Added +78.5k +78,545
35 Good Life Advisors, LLC 0.45% of their portfolio READING, PA 142,509142.5k $4.0m $4.0m 0.45% Added +23.4k +23,398
36 Integrated Wealth Concepts LLC 0.07% of their portfolio WALTHAM, MA 140,861140.9k $4.0m $4.0m 0.07% Added +21.1k +21,094
37 CASTLE WEALTH MANAGEMENT LLC 2.69% of their portfolio BOYNTON BEACH, FL 136,265136.3k $3.9m $3.9m 2.69% Reduced -31.6k -31,614
38 CX Institutional 0.19% of their portfolio AUBURN, IN 131,765131.8k $3.7m $3.7m 0.19% Reduced -4.3k -4,338
39 Aprio Wealth Management, LLC 1.01% of their portfolio ATLANTA, GA 129,778129.8k $3.7m $3.7m 1.01% Added +2.6k +2,592
40 Stratos Wealth Partners, LTD. 0.08% of their portfolio BEACHWOOD, OH 129,536129.5k $3.7m $3.7m 0.08% Added +11.2k +11,180
41 Kolinsky Wealth Management, LLC 3.40% of their portfolio RAMSEY, NJ 126,877126.9k $3.6m $3.6m 3.40% Added +218 +218
42 Naviter Wealth, LLC 0.91% of their portfolio LITTLE ROCK, AR 126,642126.6k $3.6m $3.6m 0.91% New
43 FSB PREMIER WEALTH MANAGEMENT, INC. 1.91% of their portfolio WATERLOO, IA 124,166124.2k $3.5m $3.5m 1.91% Reduced -7.5k -7,490
44 Second Half Financial Partners, LLC 0.80% of their portfolio SEBRING, FL 123,235123.2k $3.5m $3.5m 0.80% New
45 Atria Wealth Solutions, Inc. 0.05% of their portfolio NEW YORK, NY 119,966120.0k $3.4m $3.4m 0.05% Reduced -16.8k -16,839
46 First Heartland Consultants, Inc. 0.42% of their portfolio LAKE ST. LOUIS, MO 114,064114.1k $3.2m $3.2m 0.42% Added +24.7k +24,711
47 J.P. Morgan Private Wealth Advisors LLC 0.02% of their portfolio SAN FRANCISCO, CA 113,797113.8k $3.2m $3.2m 0.02% Reduced -13.0k -12,976
48 Western Wealth Management, LLC 0.27% of their portfolio GOLDEN, CO 111,408111.4k $3.2m $3.2m 0.27% Reduced -8.9k -8,881
49 SignalPoint Asset Management, LLC 0.93% of their portfolio SPRINGFIELD, MO 106,984107.0k $3.0m $3.0m 0.93% Reduced -2.0k -2,043
50 D.A. DAVIDSON & CO. 0.03% of their portfolio GREAT FALLS, MT 98,02098.0k $2.8m $2.8m 0.03% Added +64.8k +64,805
51 Financial Advocates Investment Management 0.19% of their portfolio OLYMPIA, WA 92,99593.0k $2.6m $2.6m 0.19% Added +6.2k +6,150
52 PSI Advisors, LLC 1.12% of their portfolio TAMPA, FL 90,29390.3k $2.6m $2.6m 1.12% Added +22.1k +22,135
53 Sigma Planning Corp 0.09% of their portfolio ANN ARBOR, MI 88,78388.8k $2.5m $2.5m 0.09% Added +15.9k +15,899
54 CIBC WORLD MARKET INC. 0.01% of their portfolio TORONTO, A6 86,95987.0k $2.5m $2.5m 0.01% Added +12.0k +12,024
55 GPS Wealth Strategies Group, LLC 0.45% of their portfolio CENTENNIAL, CO 85,03085.0k $2.4m $2.4m 0.45% Added +5.7k +5,686
56 Owen LaRue, LLC 2.53% of their portfolio ELIZABETHTOWN, KY 84,51684.5k $2.4m $2.4m 2.53% Added +12.7k +12,674
57 HARBOUR INVESTMENTS, INC. 0.12% of their portfolio MADISON, WI 84,20384.2k $2.4m $2.4m 0.12% Reduced -77.7k -77,706
58 RFG Advisory, LLC 0.10% of their portfolio BIRMINGHAM, AL 82,75882.8k $2.3m $2.3m 0.10% Reduced -63.8k -63,776
59 Mattern Wealth Management LLC 0.68% of their portfolio LAWRENCE, KS 82,04182.0k $2.3m $2.3m 0.68% Added +6.2k +6,170
60 BENJAMIN F. EDWARDS & COMPANY, INC. 0.08% of their portfolio ST. LOUIS, MO 73,82673.8k $2.1m $2.1m 0.08% Added +13.2k +13,193
61 Gladstone Institutional Advisory LLC 0.12% of their portfolio Bedminster, NJ 71,33271.3k $2.0m $2.0m 0.12% Reduced -18.8k -18,773
62 Spire Wealth Management 0.07% of their portfolio MCLEAN, VA 68,05368.1k $1.9m $1.9m 0.07% Added +8.1k +8,093
63 COZAD ASSET MANAGEMENT INC 0.23% of their portfolio CHAMPAIGN, IL 64,30164.3k $1.8m $1.8m 0.23% Reduced -1.5k -1,478
64 IFP Advisors, Inc 0.03% of their portfolio TAMPA, FL 61,25461.3k $1.5m $1.5m 0.03% Added +29.0k +29,020
65 J.W. COLE ADVISORS, INC. 0.12% of their portfolio TAMPA, FL 60,00960.0k $1.7m $1.7m 0.12% Added +3.9k +3,907
66 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 58,68458.7k $1.7m $1.7m 0.00% Reduced -15.0k -15,010
67 Cetera Advisors LLC 0.03% of their portfolio DENVER, CO 56,97957.0k $1.6m $1.6m 0.03% Reduced -1.3k -1,323
68 IFG Advisory, LLC 0.14% of their portfolio ATLANTA, GA 54,76054.8k $1.6m $1.6m 0.14% Reduced -1.7k -1,702
69 Harvest Investment Services, LLC 0.86% of their portfolio Oakbrook Terrace, IL 53,51753.5k $1.5m $1.5m 0.86% Reduced -470 -470
70 PCG Wealth Advisors, LLC 0.92% of their portfolio OVERLAND PARK, KS 52,57752.6k $1.5m $1.5m 0.92% Added +23 +23
71 Atria Investments, Inc 0.03% of their portfolio Charlotte, NC 49,73949.7k $1.4m $1.4m 0.03% New
72 Purus Wealth Management, LLC 0.91% of their portfolio Newport Beach, CA 49,42949.4k $1.4m $1.4m 0.91% Added +16.7k +16,705
73 FLAGSTAR SECURITIES, INC 0.52% of their portfolio New York, NY 49,08949.1k $1.4m $1.4m 0.52% Added +2.8k +2,783
74 CHIRON CAPITAL MANAGEMENT, LLC 1.08% of their portfolio TALLAHASSEE, FL 48,35548.4k $1.4m $1.4m 1.08% Added +1.4k +1,398
75 Summit Investment Advisory Services, LLC 0.88% of their portfolio ROSEVILLE, MN 47,20547.2k $1.3m $1.3m 0.88% Added +3.3k +3,269
76 Cherry Creek Investment Advisors, Inc. 0.88% of their portfolio ENGLEWOOD, CO 46,34846.3k $1.3m $1.3m 0.88% Added +139 +139
77 Arkadios Wealth Advisors 0.15% of their portfolio ATLANTA, GA 44,28044.3k $1.3m $1.3m 0.15% Added +4.7k +4,677
78 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 43,81543.8k $1.2m $1.2m 0.01% Reduced -13.6k -13,575
79 Equitable Holdings, Inc. 0.02% of their portfolio NEW YORK, NY 43,78343.8k $1.2m $1.2m 0.02% Added +4.8k +4,813
80 DHK Financial Advisors, Inc. 1.05% of their portfolio PORTSMOUTH, NH 43,37643.4k $1.2m $1.2m 1.05% New
81 Snowden Capital Advisors LLC 0.04% of their portfolio New York, NY 43,01943.0k $1.2m $1.2m 0.04% Added +1.6k +1,578
82 Kingsview Wealth Management, LLC 0.05% of their portfolio GRANTS PASS, OR 42,68942.7k $1.2m $1.2m 0.05% Reduced -111 -111
83 RAYMOND JAMES TRUST N.A. 0.03% of their portfolio ST. PETERSBURG, FL 42,00642.0k $1.2m $1.2m 0.03% Added +1.4k +1,425
84 Root Financial Partners, LLC 0.70% of their portfolio ENCINITAS, CA 41,45641.5k $1.2m $1.2m 0.70% Reduced -4.8k -4,812
85 Koshinski Asset Management, Inc. 0.12% of their portfolio DECATUR, IL 40,89140.9k $1.2m $1.2m 0.12% Reduced -20.6k -20,579
86 Atlas Wealth LLC 0.21% of their portfolio CINCINNATI, OH 39,06439.1k $1.2m $1.2m 0.21% Reduced -3.1k -3,071
87 Stratos Wealth Advisors, LLC 0.08% of their portfolio BEACHWOOD, OH 38,21238.2k $1.1m $1.1m 0.08% New
88 Cedrus LLC 0.74% of their portfolio Littleton, CO 36,96837.0k $1.0m $1.0m 0.74% Added +6.7k +6,662
89 IHT Wealth Management, LLC 0.05% of their portfolio Chicago, IL 35,61335.6k $1.0m $1.0m 0.05% Reduced -2.6k -2,643
90 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 35,46435.5k $999.0k $999.0k 0.00% Added +4.2k +4,181
91 Hilltop Holdings Inc. 0.12% of their portfolio DALLAS, TX 34,14234.1k $966.6k $966.6k 0.12% New
92 WORLD EQUITY GROUP, INC. 0.28% of their portfolio SCHAUMBURG, IL 33,13833.1k $938.1k $938.1k 0.28% New
93 OPPENHEIMER & CO INC 0.02% of their portfolio NEW YORK, NY 29,60129.6k $838.0k $838.0k 0.02% Added +7.2k +7,175
94 Altus Wealth Group LLC 0.46% of their portfolio COLORADO SPRINGS, CO 26,39826.4k $747.3k $747.3k 0.46% Reduced -63 -63
95 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.06% of their portfolio BIRMINGHAM, AL 26,33626.3k $745.6k $745.6k 0.06% Added +4.3k +4,261
96 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 26,26226.3k $743.5k $743.5k 0.00% First filing
97 AVANTAX ADVISORY SERVICES, INC. 0.01% of their portfolio DALLAS, TX 23,71023.7k $671.2k $671.2k 0.01% Added +3.2k +3,229
98 StoneX Group Inc. 0.07% of their portfolio NEW YORK, NY 23,53323.5k $666.2k $666.2k 0.07% Added +922 +922
99 WINTRUST INVESTMENTS LLC 0.07% of their portfolio CHICAGO, IL 22,25922.3k $630.0k $630.0k 0.07% Reduced -2.1k -2,081
100 INVESTMENT PARTNERS, LTD. 0.30% of their portfolio NEW PHILADELPHIA, OH 20,19420.2k $571.7k $571.7k 0.30% Added +12 +12