Vault-13

FIRST TR EXCHANGE-TRADED FD SDVY

SMID RISNG ETF · ETP · CUSIP 33741X102

179 institutional holders +11 vs Q2 2023
39,535,74639.5m shares reported held*
$1.1bnreported value*
19 new 99 added 41 reduced 11 sold out net bought ≈ $286.0m (+10.1m 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 ($257.6k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $28.22. Options: 1 managers hold calls ($0 notional), 1 hold puts ($0).

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 146Q4 22: 154Q1 23: 164Q2 23: 168Q3 23: 179179Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 2022146
Q4 2022154
Q1 2023164
Q2 2023168
Q3 2023179

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 23Q3 23: 118 bought or addedQ3 23: 52 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 20227667
Q1 202310459
Q2 20239877
Q3 202311852

Calls vs puts

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

CallsPuts
$0$100k$200k$300k$400kQ4 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 0.00Q3 23 calls: $0Q3 23 puts: $0Q3 23P/C —
Numbers
QuarterCallsPutsP/C
Q4 2022$0$0—
Q1 2023$0$122.6k—
Q2 2023$345.4k$00.00
Q3 2023$0$0—

Biggest buyers

MORGAN STANLEY Added +2,562,005+2.6m
TRUIST FINANCIAL CORP Added +1,566,457+1.6m
WELLS FARGO & COMPANY/MN Added +951,468+951.5k
LPL Financial LLC Added +935,420+935.4k
Baird Financial Group, Inc. Added +534,008+534.0k
BANK OF AMERICA CORP /DE/ Added +503,787+503.8k
UBS Group AG Added +493,510+493.5k
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC New +377,786+377.8k
OSAIC HOLDINGS, INC. Added +374,028+374.0k
BLAIR WILLIAM & CO/IL Added +259,029+259.0k

Biggest sellers

Regal Investment Advisors LLC Reduced -169,070-169.1k
CASTLE WEALTH MANAGEMENT LLC Reduced -128,574-128.6k
Second Half Financial Partners, LLC Sold out -123,235-123.2k
CIBC WORLD MARKET INC. Sold out -86,959-87.0k
Mattern Wealth Management LLC Reduced -72,559-72.6k
Private Advisor Group, LLC Reduced -58,310-58.3k
Steward Partners Investment Advisory, LLC Reduced -56,505-56.5k
AE Wealth Management LLC Reduced -44,881-44.9k
Snowden Capital Advisors LLC Sold out -43,019-43.0k
Mariner, LLC Reduced -36,522-36.5k

Biggest calls

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, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.14% of their portfolio FORT MILL, SC 6,870,1476.9m $193.9m $193.9m 0.14% Added +935.4k +935,420
2 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 3,977,0714.0m $112.3m $112.3m 0.01% Added +2.6m +2,562,005
3 WELLS FARGO & COMPANY/MN 0.02% of their portfolio SAN FRANCISCO, CA 2,468,1712.5m $69.7m $69.7m 0.02% Added +951.5k +951,468
4 TRUIST FINANCIAL CORP 0.10% of their portfolio CHARLOTTE, NC 2,167,1562.2m $61.2m $61.2m 0.10% Added +1.6m +1,566,457
5 RAYMOND JAMES & ASSOCIATES 0.05% of their portfolio ST PETERSBURG, FL 1,988,9332.0m $56.1m $56.1m 0.05% Reduced -24.7k -24,664
6 OSAIC HOLDINGS, INC. 0.07% of their portfolio SCOTTSDALE, AZ 1,764,2241.8m $49.8m $49.8m 0.07% Added +374.0k +374,028
7 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 1,269,1021.3m $35.8m $35.8m 0.01% Added +161.0k +160,982
8 Raymond James Financial Services Advisors, Inc. 0.06% of their portfolio ST. PETERSBURG, FL 1,176,9111.2m $33.2m $33.2m 0.06% Added +7.3k +7,293
9 UBS Group AG 0.02% of their portfolio ZURICH, V8 1,175,8731.2m $33.2m $33.2m 0.02% Added +493.5k +493,510
10 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 1,160,6181.2m $32.8m $32.8m 0.01% Added +53.6k +53,622
11 STIFEL FINANCIAL CORP 0.04% of their portfolio ST. LOUIS, MO 995,143995.1k $28.1m $28.1m 0.04% Added +141.4k +141,410
12 Baird Financial Group, Inc. 0.06% of their portfolio MILWAUKEE, WI 794,895794.9k $22.4m $22.4m 0.06% Added +534.0k +534,008
13 Prospera Financial Services Inc 0.67% of their portfolio Dallas, TX 616,524616.5k $17.4m $17.4m 0.67% Added +91.5k +91,501
14 BLAIR WILLIAM & CO/IL 0.06% of their portfolio CHICAGO, IL 567,834567.8k $16.0m $16.0m 0.06% Added +259.0k +259,029
15 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 504,772504.8k $14.2m $14.2m 0.00% Added +503.8k +503,787
16 Cambridge Investment Research Advisors, Inc. 0.07% of their portfolio FAIRFIELD, IA 494,477494.5k $14.0m $14.0m 0.07% Added +103.8k +103,824
17 Private Advisor Group, LLC 0.12% of their portfolio MORRISTOWN, NJ 485,637485.6k $13.7m $13.7m 0.12% Reduced -58.3k -58,310
18 COMMONWEALTH EQUITY SERVICES, LLC 0.02% of their portfolio WALTHAM, MA 419,647419.6k $11.8m $11.8m 0.02% Added +91.8k +91,750
19 Cetera Investment Advisers 0.10% of their portfolio SCHAUMBURG, IL 417,410417.4k $11.8m $11.8m 0.10% Added +55.7k +55,712
20 MML INVESTORS SERVICES, LLC 0.06% of their portfolio SPRINGFIELD, MA 405,010405.0k $11.4m $11.4m 0.06% Added +83.0k +83,037
21 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.04% of their portfolio PLYMOUTH, MN 377,786377.8k $10.7m $10.7m 0.04% New
22 TrueWealth Advisors, LLC 3.56% of their portfolio BIRMINGHAM, AL 298,560298.6k $8.4m $8.4m 3.56% Reduced -1.0k -1,045
23 KESTRA PRIVATE WEALTH SERVICES, LLC 0.26% of their portfolio AUSTIN, TX 289,304289.3k $8.2m $8.2m 0.26% Added +23.2k +23,200
24 Mariner, LLC 0.02% of their portfolio Overland Park, KS 278,400278.4k $7.9m $7.9m 0.02% Reduced -36.5k -36,522
25 Ergawealth Advisors, Inc. 5.06% of their portfolio OAK BROOK, IL 259,769259.8k $7.3m $7.3m 5.06% Added +5.6k +5,569
26 Steward Partners Investment Advisory, LLC 0.09% of their portfolio STAMFORD, CT 218,431218.4k $6.2m $6.2m 0.09% Reduced -56.5k -56,505
27 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 217,746217.7k $6.1m $6.1m 0.02% Added +5.6k +5,562
28 Cetera Advisor Networks LLC 0.04% of their portfolio EL SEGUNDO, CA 216,012216.0k $6.1m $6.1m 0.04% Added +5.1k +5,126
29 Pine Valley Investments Ltd Liability Co 0.58% of their portfolio MARLTON, NJ 213,066213.1k $6.0m $6.0m 0.58% Added +5.6k +5,649
30 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.01% of their portfolio MILWAUKEE, WI 209,891209.9k $5.9m $5.9m 0.01% Added +16.5k +16,470
31 D.A. DAVIDSON & CO. 0.06% of their portfolio GREAT FALLS, MT 208,953209.0k $5.9m $5.9m 0.06% Added +110.9k +110,933
32 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 202,969203.0k $5.7m $5.7m 0.01% Added +167.5k +167,505
33 Per Stirling Capital Management, LLC. 1.16% of their portfolio AUSTIN, TX 197,827197.8k $5.6m $5.6m 1.16% Reduced -7.3k -7,312
34 Integrated Wealth Concepts LLC 0.09% of their portfolio WALTHAM, MA 182,721182.7k $5.2m $5.2m 0.09% Added +41.9k +41,860
35 AE Wealth Management LLC 0.03% of their portfolio TOPEKA, KS 182,141182.1k $5.1m $5.1m 0.03% Reduced -44.9k -44,881
36 Western Wealth Management, LLC 0.43% of their portfolio GOLDEN, CO 178,293178.3k $5.0m $5.0m 0.43% Added +66.9k +66,885
37 Kestra Advisory Services, LLC 0.05% of their portfolio AUSTIN, TX 175,862175.9k $5.0m $5.0m 0.05% Reduced -1.1k -1,132
38 INDEPENDENT FINANCIAL GROUP, LLC 0.32% of their portfolio SAN DIEGO, CA 174,283174.3k $4.9m $4.9m 0.32% Added +19.2k +19,202
39 TAP Consulting, LLC 1.21% of their portfolio KIRKWOOD, MO 166,097166.1k $4.7m $4.7m 1.21% Reduced -7.6k -7,559
40 Stratos Wealth Partners, LTD. 0.09% of their portfolio BEACHWOOD, OH 148,489148.5k $4.2m $4.2m 0.09% Added +19.0k +18,953
41 WINTRUST INVESTMENTS LLC 0.45% of their portfolio CHICAGO, IL 146,752146.8k $4.1m $4.1m 0.45% Added +124.5k +124,493
42 Good Life Advisors, LLC 0.47% of their portfolio READING, PA 145,839145.8k $4.1m $4.1m 0.47% Added +3.3k +3,330
43 Aprio Wealth Management, LLC 1.13% of their portfolio ATLANTA, GA 145,423145.4k $4.1m $4.1m 1.13% Added +15.6k +15,645
44 FSB PREMIER WEALTH MANAGEMENT, INC. 2.23% of their portfolio WATERLOO, IA 142,110142.1k $4.0m $4.0m 2.23% Added +17.9k +17,944
45 First Heartland Consultants, Inc. 0.50% of their portfolio LAKE ST. LOUIS, MO 140,976141.0k $4.0m $4.0m 0.50% Added +26.9k +26,912
46 SignalPoint Asset Management, LLC 1.26% of their portfolio SPRINGFIELD, MO 140,122140.1k $4.0m $4.0m 1.26% Added +33.1k +33,138
47 Naviter Wealth, LLC 0.87% of their portfolio LITTLE ROCK, AR 127,285127.3k $3.6m $3.6m 0.87% Added +643 +643
48 Kolinsky Wealth Management, LLC 3.44% of their portfolio RAMSEY, NJ 122,709122.7k $3.5m $3.5m 3.44% Reduced -4.2k -4,168
49 BENJAMIN F. EDWARDS & COMPANY, INC. 0.12% of their portfolio ST. LOUIS, MO 112,952113.0k $3.2m $3.2m 0.12% Added +39.1k +39,126
50 J.P. Morgan Private Wealth Advisors LLC 0.01% of their portfolio SAN FRANCISCO, CA 112,510112.5k $3.2m $3.2m 0.01% Reduced -1.3k -1,287
51 CX Institutional 0.17% of their portfolio AUBURN, IN 110,861110.9k $3.1m $3.1m 0.17% Reduced -20.9k -20,904
52 HARBOUR INVESTMENTS, INC. 0.15% of their portfolio MADISON, WI 103,126103.1k $2.9m $2.9m 0.15% Added +18.9k +18,923
53 Private Advisory Group LLC 0.57% of their portfolio REDMOND, WA 102,325102.3k $2.9m $2.9m 0.57% New
54 PSI Advisors, LLC 1.20% of their portfolio TAMPA, FL 98,17098.2k $2.8m $2.8m 1.20% Added +7.9k +7,877
55 NewEdge Advisors, LLC 0.03% of their portfolio NEW ORLEANS, LA 98,06198.1k $2.8m $2.8m 0.03% Added +54.2k +54,246
56 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 96,08296.1k $2.7m $2.7m 0.00% Added +80.5k +80,493
57 Financial Advocates Investment Management 0.19% of their portfolio OLYMPIA, WA 90,05990.1k $2.5m $2.5m 0.19% Reduced -2.9k -2,936
58 Owen LaRue, LLC 2.74% of their portfolio ELIZABETHTOWN, KY 88,23788.2k $2.5m $2.5m 2.74% Added +3.7k +3,721
59 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 87,96088.0k $2.5m $2.5m 0.00% Added +29.3k +29,276
60 Atria Wealth Solutions, Inc. 0.03% of their portfolio NEW YORK, NY 87,47587.5k $2.5m $2.5m 0.03% Reduced -32.5k -32,491
61 Sigma Planning Corp 0.09% of their portfolio ANN ARBOR, MI 87,09987.1k $2.5m $2.5m 0.09% Reduced -1.7k -1,684
62 GPS Wealth Strategies Group, LLC 0.47% of their portfolio CENTENNIAL, CO 86,59486.6k $2.4m $2.4m 0.47% Added +1.6k +1,564
63 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 86,33386.3k $2.4m $2.4m 0.00% Added +73.0k +73,030
64 Spire Wealth Management 0.08% of their portfolio MCLEAN, VA 74,96475.0k $2.1m $2.1m 0.08% Added +6.9k +6,911
65 Hilltop Holdings Inc. 0.25% of their portfolio DALLAS, TX 71,45471.5k $2.0m $2.0m 0.25% Added +37.3k +37,312
66 IHT Wealth Management, LLC 0.10% of their portfolio Chicago, IL 71,02671.0k $2.0m $2.0m 0.10% Added +35.4k +35,413
67 Gladstone Institutional Advisory LLC 0.12% of their portfolio Bedminster, NJ 66,33266.3k $1.9m $1.9m 0.12% Reduced -5.0k -5,000
68 Cedrus LLC 1.32% of their portfolio Littleton, CO 65,71465.7k $1.9m $1.9m 1.32% Added +28.7k +28,746
69 COZAD ASSET MANAGEMENT INC 0.24% of their portfolio CHAMPAIGN, IL 65,59165.6k $1.9m $1.9m 0.24% Added +1.3k +1,290
70 Equitable Holdings, Inc. 0.03% of their portfolio NEW YORK, NY 65,54465.5k $1.9m $1.9m 0.03% Added +21.8k +21,761
71 WORLD EQUITY GROUP, INC. 0.30% of their portfolio SCHAUMBURG, IL 64,41664.4k $1.4m $1.4m 0.30% Added +31.3k +31,278
72 J.W. COLE ADVISORS, INC. 0.13% of their portfolio TAMPA, FL 61,75761.8k $1.7m $1.7m 0.13% Added +1.7k +1,748
73 StoneX Group Inc. 0.19% of their portfolio NEW YORK, NY 61,64161.6k $1.7m $1.7m 0.19% Added +38.1k +38,108
74 Cetera Advisors LLC 0.03% of their portfolio DENVER, CO 60,92060.9k $1.7m $1.7m 0.03% Added +3.9k +3,941
75 RFG Advisory, LLC 0.07% of their portfolio BIRMINGHAM, AL 57,68557.7k $1.6m $1.6m 0.07% Reduced -25.1k -25,073
76 Arkadios Wealth Advisors 0.15% of their portfolio ATLANTA, GA 56,71856.7k $1.6m $1.6m 0.15% Added +12.4k +12,438
77 RAYMOND JAMES TRUST N.A. 0.05% of their portfolio ST. PETERSBURG, FL 56,46256.5k $1.6m $1.6m 0.05% Added +14.5k +14,456
78 FLAGSTAR SECURITIES, INC 0.59% of their portfolio New York, NY 55,17855.2k $1.6m $1.6m 0.59% Added +6.1k +6,089
79 IFG Advisory, LLC 0.13% of their portfolio ATLANTA, GA 53,87153.9k $1.5m $1.5m 0.13% Reduced -889 -889
80 Summit Investment Advisory Services, LLC 1.10% of their portfolio ROSEVILLE, MN 52,60252.6k $1.5m $1.5m 1.10% Added +5.4k +5,397
81 PCG Wealth Advisors, LLC 0.97% of their portfolio OVERLAND PARK, KS 52,27652.3k $1.5m $1.5m 0.97% Reduced -301 -301
82 Harvest Investment Services, LLC 0.95% of their portfolio Oakbrook Terrace, IL 52,23452.2k $1.5m $1.5m 0.95% Reduced -1.3k -1,283
83 AVANTAX ADVISORY SERVICES, INC. 0.02% of their portfolio DALLAS, TX 49,92249.9k $1.4m $1.4m 0.02% Added +26.2k +26,212
84 Purus Wealth Management, LLC 0.94% of their portfolio Newport Beach, CA 49,54949.5k $1.4m $1.4m 0.94% Added +120 +120
85 Cherry Creek Investment Advisors, Inc. 0.94% of their portfolio ENGLEWOOD, CO 49,04549.0k $1.4m $1.4m 0.94% Added +2.7k +2,697
86 Kingsview Wealth Management, LLC 0.05% of their portfolio GRANTS PASS, OR 48,46248.5k $1.4m $1.4m 0.05% Added +5.8k +5,773
87 IFP Advisors, Inc 0.06% of their portfolio TAMPA, FL 46,85846.9k $1.3m $1.3m 0.06% Reduced -14.4k -14,396
88 CHIRON CAPITAL MANAGEMENT, LLC 1.13% of their portfolio TALLAHASSEE, FL 46,50546.5k $1.3m $1.3m 1.13% Reduced -1.9k -1,850
89 DHK Financial Advisors, Inc. 1.09% of their portfolio PORTSMOUTH, NH 43,37643.4k $1.2m $1.2m 1.09% Unchanged
90 Root Financial Partners, LLC 0.63% of their portfolio ENCINITAS, CA 42,22042.2k $1.2m $1.2m 0.63% Added +764 +764
91 Visionary Wealth Advisors 0.10% of their portfolio O'FALLON, IL 41,98342.0k $1.2m $1.2m 0.10% New
92 SILVER OAK SECURITIES, INCORPORATED 0.26% of their portfolio JACKSON, TN 41,63241.6k $1.2m $1.2m 0.26% Added +34.0k +34,016
93 Koshinski Asset Management, Inc. 0.13% of their portfolio DECATUR, IL 39,23939.2k $1.1m $1.1m 0.13% Reduced -1.7k -1,652
94 Atlas Wealth LLC 0.21% of their portfolio CINCINNATI, OH 38,90738.9k $1.1m $1.1m 0.21% Reduced -157 -157
95 MinichMacGregor Wealth Management, LLC 0.36% of their portfolio Saratoga Springs, NY 38,05738.1k $1.1m $1.1m 0.36% New
96 OPPENHEIMER & CO INC 0.02% of their portfolio NEW YORK, NY 37,94837.9k $1.1m $1.1m 0.02% Added +8.3k +8,347
97 Stratos Wealth Advisors, LLC 0.07% of their portfolio BEACHWOOD, OH 37,73037.7k $1.1m $1.1m 0.07% Reduced -482 -482
98 Thrivent Financial for Lutherans 0.00% of their portfolio Minneapolis, MN 36,89136.9k $1.0m $1.0m 0.00% Added +22.7k +22,686
99 Atria Investments, Inc 0.02% of their portfolio Charlotte, NC 36,71436.7k $1.0m $1.0m 0.02% Reduced -13.0k -13,025
100 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 31,71831.7k $895.4k $895.4k 0.00% Added +5.5k +5,456