Vault-13

FIRST TR EXCHANGE-TRADED FD SDVY

SMID RISNG ETF · ETP · CUSIP 33741X102

237 institutional holders +58 vs Q3 2023
63,686,13763.7m shares reported held*
$2.1bnreported value*
50 new 111 added 47 reduced 10 sold out net bought ≈ $761.6m (+23.2m 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 ($987.0k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $32.76. Options: 2 managers hold calls ($186.8k notional), 1 hold puts ($0).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 146Q4 22: 154Q1 23: 164Q2 23: 168Q3 23: 179Q4 23: 237237Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 2022146
Q4 2022154
Q1 2023164
Q2 2023168
Q3 2023179
Q4 2023237

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 23Q4 23: 161 bought or addedQ4 23: 57 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20227667
Q1 202310459
Q2 20239877
Q3 202311852
Q4 202316157

Calls vs puts

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

CallsPuts
$0$100k$200k$300k$400kQ1 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 —Q4 23 calls: $186.8kQ4 23 puts: $0Q4 23P/C 0.00
Numbers
QuarterCallsPutsP/C
Q1 2023$0$122.6k—
Q2 2023$345.4k$00.00
Q3 2023$0$0—
Q4 2023$186.8k$00.00

Biggest buyers

MORGAN STANLEY Added +8,485,871+8.5m
LPL Financial LLC Added +2,223,318+2.2m
WELLS FARGO & COMPANY/MN Added +2,009,597+2.0m
BANK OF AMERICA CORP /DE/ Added +1,236,043+1.2m
COMMONWEALTH EQUITY SERVICES, LLC Added +667,805+667.8k
Cambridge Investment Research Advisors, Inc. Added +630,424+630.4k
RAYMOND JAMES & ASSOCIATES Added +590,680+590.7k
STIFEL FINANCIAL CORP Added +574,141+574.1k
ROYAL BANK OF CANADA Added +536,816+536.8k
UBS Group AG Added +530,102+530.1k

Biggest sellers

Kolinsky Wealth Management, LLC Sold out -122,709-122.7k
OSAIC HOLDINGS, INC. Reduced -119,815-119.8k
ENVESTNET ASSET MANAGEMENT INC Reduced -114,880-114.9k
Prospera Financial Services Inc Reduced -83,226-83.2k
Mariner, LLC Reduced -79,586-79.6k
WORLD EQUITY GROUP, INC. Sold out -64,416-64.4k
TRUIST FINANCIAL CORP Reduced -63,520-63.5k
Sigma Planning Corp Reduced -48,687-48.7k
KESTRA PRIVATE WEALTH SERVICES, LLC Reduced -39,229-39.2k
Atria Investments, Inc Sold out -36,714-36.7k

Biggest calls

CITADEL ADVISORS LLC New $186.8k5.7k 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, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.02% of their portfolio NEW YORK, NY 12,462,94212.5m $408.4m $408.4m 0.02% Added +8.5m +8,485,871
2 LPL Financial LLC 0.18% of their portfolio FORT MILL, SC 9,093,4659.1m $298.0m $298.0m 0.18% Added +2.2m +2,223,318
3 WELLS FARGO & COMPANY/MN 0.04% of their portfolio SAN FRANCISCO, CA 4,477,7684.5m $146.7m $146.7m 0.04% Added +2.0m +2,009,597
4 RAYMOND JAMES & ASSOCIATES 0.06% of their portfolio ST PETERSBURG, FL 2,579,6132.6m $84.5m $84.5m 0.06% Added +590.7k +590,680
5 TRUIST FINANCIAL CORP 0.11% of their portfolio CHARLOTTE, NC 2,103,6362.1m $68.9m $68.9m 0.11% Reduced -63.5k -63,520
6 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 1,805,9181.8m $59.2m $59.2m 0.01% Added +536.8k +536,816
7 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 1,740,8151.7m $57.0m $57.0m 0.01% Added +1.2m +1,236,043
8 UBS Group AG 0.02% of their portfolio ZURICH, V8 1,705,9751.7m $55.9m $55.9m 0.02% Added +530.1k +530,102
9 OSAIC HOLDINGS, INC. 0.09% of their portfolio SCOTTSDALE, AZ 1,644,4091.6m $53.9m $53.9m 0.09% Reduced -119.8k -119,815
10 Raymond James Financial Services Advisors, Inc. 0.08% of their portfolio ST. PETERSBURG, FL 1,576,5911.6m $51.7m $51.7m 0.08% Added +399.7k +399,680
11 STIFEL FINANCIAL CORP 0.06% of their portfolio ST. LOUIS, MO 1,569,2841.6m $51.4m $51.4m 0.06% Added +574.1k +574,141
12 Cambridge Investment Research Advisors, Inc. 0.16% of their portfolio FAIRFIELD, IA 1,124,9011.1m $36.9m $36.9m 0.16% Added +630.4k +630,424
13 COMMONWEALTH EQUITY SERVICES, LLC 0.07% of their portfolio WALTHAM, MA 1,087,4521.1m $35.6m $35.6m 0.07% Added +667.8k +667,805
14 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 1,045,7381.0m $34.3m $34.3m 0.01% Reduced -114.9k -114,880
15 Baird Financial Group, Inc. 0.06% of their portfolio MILWAUKEE, WI 837,204837.2k $27.4m $27.4m 0.06% Added +42.3k +42,309
16 BLAIR WILLIAM & CO/IL 0.08% of their portfolio CHICAGO, IL 728,511728.5k $23.9m $23.9m 0.08% Added +160.7k +160,677
17 Private Advisor Group, LLC 0.18% of their portfolio MORRISTOWN, NJ 697,464697.5k $22.9m $22.9m 0.18% Added +211.8k +211,827
18 Cetera Investment Advisers 0.16% of their portfolio SCHAUMBURG, IL 602,828602.8k $19.8m $19.8m 0.16% Added +185.4k +185,418
19 Prospera Financial Services Inc 0.58% of their portfolio Dallas, TX 533,298533.3k $17.5m $17.5m 0.58% Reduced -83.2k -83,226
20 Kestra Advisory Services, LLC 0.14% of their portfolio AUSTIN, TX 511,587511.6k $16.8m $16.8m 0.14% Added +335.7k +335,725
21 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.02% of their portfolio MILWAUKEE, WI 507,344507.3k $16.6m $16.6m 0.02% Added +297.5k +297,453
22 JANE STREET GROUP, LLC 0.02% of their portfolio NEW YORK, NY 471,494471.5k $15.5m $15.5m 0.02% Added +375.4k +375,412
23 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.04% of their portfolio PLYMOUTH, MN 470,178470.2k $15.4m $15.4m 0.04% Added +92.4k +92,392
24 Steward Partners Investment Advisory, LLC 0.20% of their portfolio STAMFORD, CT 456,026456.0k $14.9m $14.9m 0.20% Added +237.6k +237,595
25 MML INVESTORS SERVICES, LLC 0.06% of their portfolio SPRINGFIELD, MA 421,379421.4k $13.8m $13.8m 0.06% Added +16.4k +16,369
26 Cetera Advisor Networks LLC 0.07% of their portfolio EL SEGUNDO, CA 407,870407.9k $13.4m $13.4m 0.07% Added +191.9k +191,858
27 AE Wealth Management LLC 0.07% of their portfolio TOPEKA, KS 397,657397.7k $12.9m $12.9m 0.07% Added +215.5k +215,516
28 Sanchez Wealth Management Group 4.67% of their portfolio JACKSONVILLE, FL 391,301391.3k $12.8m $12.8m 4.67% New
29 HighTower Advisors, LLC 0.02% of their portfolio CHICAGO, IL 380,366380.4k $12.5m $12.5m 0.02% Added +177.4k +177,397
30 Advantage Trust Co 9.63% of their portfolio SALINA, KS 373,175373.2k $12.2m $12.2m 9.63% First filing
31 Pine Valley Investments Ltd Liability Co 1.01% of their portfolio MARLTON, NJ 365,119365.1k $12.0m $12.0m 1.01% Added +152.1k +152,053
32 Western Wealth Management, LLC 0.75% of their portfolio GOLDEN, CO 317,507317.5k $10.4m $10.4m 0.75% Added +139.2k +139,214
33 TrueWealth Advisors, LLC 4.02% of their portfolio BIRMINGHAM, AL 316,726316.7k $10.4m $10.4m 4.02% Added +18.2k +18,166
34 Ergawealth Advisors, Inc. 5.63% of their portfolio OAK BROOK, IL 279,397279.4k $9.2m $9.2m 5.63% Added +19.6k +19,628
35 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 267,184267.2k $8.8m $8.8m 0.00% Added +267.1k +267,105
36 KESTRA PRIVATE WEALTH SERVICES, LLC 0.21% of their portfolio AUSTIN, TX 250,075250.1k $8.2m $8.2m 0.21% Reduced -39.2k -39,229
37 D.A. DAVIDSON & CO. 0.08% of their portfolio GREAT FALLS, MT 248,831248.8k $8.2m $8.2m 0.08% Added +39.9k +39,878
38 Janney Montgomery Scott LLC 0.03% of their portfolio PHILADELPHIA, PA 243,826243.8k $8.0m $8.0m 0.03% Added +26.1k +26,080
39 Integrated Wealth Concepts LLC 0.12% of their portfolio WALTHAM, MA 229,312229.3k $7.5m $7.5m 0.12% Added +46.6k +46,591
40 Per Stirling Capital Management, LLC. 1.21% of their portfolio AUSTIN, TX 201,318201.3k $6.6m $6.6m 1.21% Added +3.5k +3,491
41 Mariner, LLC 0.02% of their portfolio Overland Park, KS 198,814198.8k $6.5m $6.5m 0.02% Reduced -79.6k -79,586
42 HARBOUR INVESTMENTS, INC. 0.26% of their portfolio MADISON, WI 189,608189.6k $6.2m $6.2m 0.26% Added +86.5k +86,482
43 INDEPENDENT FINANCIAL GROUP, LLC 0.31% of their portfolio SAN DIEGO, CA 177,775177.8k $5.8m $5.8m 0.31% Added +3.5k +3,492
44 AIFG Consultants Ltd. 4.35% of their portfolio HALFMOON, NY 174,645174.6k $5.7m $5.7m 4.35% New
45 RiverTree Advisors, LLC 3.85% of their portfolio WINTER PARK, FL 172,977173.0k $5.7m $5.7m 3.85% New
46 ARVEST INVESTMENTS, INC. 0.91% of their portfolio LOWELL, AR 170,226170.2k $5.6m $5.6m 0.91% First filing
47 Aprio Wealth Management, LLC 1.17% of their portfolio ATLANTA, GA 160,586160.6k $5.3m $5.3m 1.17% Added +15.2k +15,163
48 WINTRUST INVESTMENTS LLC 0.50% of their portfolio CHICAGO, IL 153,348153.3k $5.0m $5.0m 0.50% Added +6.6k +6,596
49 IHT Wealth Management, LLC 0.22% of their portfolio Chicago, IL 152,158152.2k $5.0m $5.0m 0.22% Added +81.1k +81,132
50 Gallagher Fiduciary Advisors, LLC 0.17% of their portfolio ROLLING MEADOWS, IL 151,859151.9k $5.0m $5.0m 0.17% New
51 Good Life Advisors, LLC 0.48% of their portfolio READING, PA 148,100148.1k $4.9m $4.9m 0.48% Added +2.3k +2,261
52 TAP Consulting, LLC 1.12% of their portfolio KIRKWOOD, MO 143,465143.5k $4.7m $4.7m 1.12% Reduced -22.6k -22,632
53 Hobart Private Capital, LLC 1.55% of their portfolio CHARLOTTE, NC 142,721142.7k $4.7m $4.7m 1.55% New
54 Wealthcare Advisory Partners LLC 0.19% of their portfolio WEST CHESTER, PA 142,556142.6k $4.7m $4.7m 0.19% New
55 First Heartland Consultants, Inc. 0.56% of their portfolio LAKE ST. LOUIS, MO 140,639140.6k $4.6m $4.6m 0.56% Reduced -337 -337
56 FSB PREMIER WEALTH MANAGEMENT, INC. 2.29% of their portfolio WATERLOO, IA 139,722139.7k $4.6m $4.6m 2.29% Reduced -2.4k -2,388
57 StoneX Group Inc. 0.44% of their portfolio NEW YORK, NY 136,139136.1k $4.5m $4.5m 0.44% Added +74.5k +74,498
58 SignalPoint Asset Management, LLC 1.29% of their portfolio SPRINGFIELD, MO 133,773133.8k $4.4m $4.4m 1.29% Reduced -6.3k -6,349
59 Visionary Wealth Advisors 0.32% of their portfolio O'FALLON, IL 131,208131.2k $4.3m $4.3m 0.32% Added +89.2k +89,225
60 Mach-1 Financial Group, LLC 1.61% of their portfolio Rogers, AR 128,889128.9k $4.2m $4.2m 1.61% Added +113.9k +113,926
61 J.W. COLE ADVISORS, INC. 0.24% of their portfolio TAMPA, FL 127,182127.2k $4.2m $4.2m 0.24% Added +65.4k +65,425
62 BENJAMIN F. EDWARDS & COMPANY, INC. 0.08% of their portfolio ST. LOUIS, MO 125,480125.5k $4.1m $4.1m 0.08% Added +12.5k +12,528
63 Stratos Wealth Partners, LTD. 0.08% of their portfolio BEACHWOOD, OH 124,057124.1k $4.1m $4.1m 0.08% Reduced -24.4k -24,432
64 Naviter Wealth, LLC 0.81% of their portfolio LITTLE ROCK, AR 122,409122.4k $4.0m $4.0m 0.81% Reduced -4.9k -4,876
65 Private Advisory Group LLC 0.66% of their portfolio REDMOND, WA 115,900115.9k $3.8m $3.8m 0.66% Added +13.6k +13,575
66 NewEdge Advisors, LLC 0.04% of their portfolio NEW ORLEANS, LA 115,758115.8k $3.8m $3.8m 0.04% Added +17.7k +17,697
67 Intrua Financial, LLC 0.58% of their portfolio Houston, TX 114,065114.1k $3.7m $3.7m 0.58% New
68 PSI Advisors, LLC 1.36% of their portfolio TAMPA, FL 111,249111.2k $3.6m $3.6m 1.36% Added +13.1k +13,079
69 CX Institutional 0.19% of their portfolio AUBURN, IN 107,304107.3k $3.5m $3.5m 0.19% Reduced -3.6k -3,557
70 Atria Wealth Solutions, Inc. 0.04% of their portfolio NEW YORK, NY 107,012107.0k $3.5m $3.5m 0.04% Added +19.5k +19,537
71 AVANTAX ADVISORY SERVICES, INC. 0.03% of their portfolio DALLAS, TX 102,462102.5k $3.4m $3.4m 0.03% Added +52.5k +52,540
72 Equitable Holdings, Inc. 0.04% of their portfolio NEW YORK, NY 100,611100.6k $3.3m $3.3m 0.04% Added +35.1k +35,067
73 Financial Advocates Investment Management 0.21% of their portfolio OLYMPIA, WA 97,86397.9k $3.2m $3.2m 0.21% Added +7.8k +7,804
74 SYNOVUS FINANCIAL CORP 0.04% of their portfolio Columbus, GA 93,11193.1k $3.1m $3.1m 0.04% Added +67.0k +67,044
75 Owen LaRue, LLC 2.85% of their portfolio ELIZABETHTOWN, KY 91,39091.4k $3.0m $3.0m 2.85% Added +3.2k +3,153
76 Rockefeller Capital Management L.P. 0.01% of their portfolio NEW YORK, NY 87,31287.3k $2.9m $2.9m 0.01% Added +55.6k +55,594
77 Cetera Advisors LLC 0.04% of their portfolio DENVER, CO 86,59586.6k $2.8m $2.8m 0.04% Added +25.7k +25,675
78 GPS Wealth Strategies Group, LLC 0.51% of their portfolio CENTENNIAL, CO 86,04786.0k $2.8m $2.8m 0.51% Reduced -547 -547
79 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 81,84081.8k $2.7m $2.7m 0.00% Reduced -4.5k -4,493
80 Spire Wealth Management 0.08% of their portfolio MCLEAN, VA 76,43376.4k $2.4m $2.4m 0.08% Added +1.5k +1,469
81 SECURED RETIREMENT ADVISORS, LLC 2.37% of their portfolio ST LOUIS PARK, MN 75,15875.2k $2.5m $2.5m 2.37% First filing
82 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 74,64574.6k $2.4m $2.4m 0.00% Reduced -13.3k -13,315
83 POM Investment Strategies, LLC 2.23% of their portfolio RALEIGH, NC 74,32074.3k $2.4m $2.4m 2.23% First filing
84 Stratos Wealth Advisors, LLC 0.14% of their portfolio BEACHWOOD, OH 71,92671.9k $2.4m $2.4m 0.14% Added +34.2k +34,196
85 Hilltop Holdings Inc. 0.27% of their portfolio DALLAS, TX 71,89871.9k $2.4m $2.4m 0.27% Added +444 +444
86 Cedrus LLC 1.42% of their portfolio Littleton, CO 70,16470.2k $2.3m $2.3m 1.42% Added +4.5k +4,450
87 Cherry Creek Investment Advisors, Inc. 1.35% of their portfolio ENGLEWOOD, CO 67,26367.3k $2.2m $2.2m 1.35% Added +18.2k +18,218
88 Concurrent Investment Advisors, LLC 0.10% of their portfolio Tampa, FL 66,62666.6k $2.2m $2.2m 0.10% First filing
89 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 63,40063.4k $2.1m $2.1m 0.00% Added +48.1k +48,100
90 Koshinski Asset Management, Inc. 0.31% of their portfolio DECATUR, IL 62,92862.9k $2.1m $2.1m 0.31% Added +23.7k +23,689
91 IFP Advisors, Inc 0.10% of their portfolio TAMPA, FL 62,55162.6k $2.0m $2.0m 0.10% Added +15.7k +15,693
92 COZAD ASSET MANAGEMENT INC 0.24% of their portfolio CHAMPAIGN, IL 62,39762.4k $2.0m $2.0m 0.24% Reduced -3.2k -3,194
93 FLAGSTAR SECURITIES, INC 0.64% of their portfolio New York, NY 62,13262.1k $2.0m $2.0m 0.64% Added +7.0k +6,954
94 Kingsview Wealth Management, LLC 0.06% of their portfolio GRANTS PASS, OR 61,19261.2k $2.0m $2.0m 0.06% Added +12.7k +12,730
95 PCG Wealth Advisors, LLC 1.11% of their portfolio OVERLAND PARK, KS 60,57660.6k $2.0m $2.0m 1.11% Added +8.3k +8,300
96 Gladstone Institutional Advisory LLC 0.11% of their portfolio Bedminster, NJ 57,57557.6k $1.9m $1.9m 0.11% Reduced -8.8k -8,757
97 RAYMOND JAMES TRUST N.A. 0.05% of their portfolio ST. PETERSBURG, FL 57,00457.0k $1.9m $1.9m 0.05% Added +542 +542
98 Summit Investment Advisory Services, LLC 1.16% of their portfolio ROSEVILLE, MN 56,14056.1k $1.8m $1.8m 1.16% Added +3.5k +3,538
99 Trueblood Wealth Management, LLC 1.15% of their portfolio LIMA, OH 55,89555.9k $1.8m $1.8m 1.15% First filing
100 MEITAV INVESTMENT HOUSE LTD 0.03% of their portfolio BENE-BERAQ, L3 55,71655.7k $1.8m $1.8m 0.03% New