Vault-13

FIRST TR EXCHANGE-TRADED FD SDVY

SMID RISNG ETF · ETP · CUSIP 33741X102

306 institutional holders +69 vs Q4 2023
111,732,621111.7m shares reported held*
$3.9bnreported value*
80 new 166 added 44 reduced 14 sold out net bought ≈ $1.6bn (+47.2m 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 ($1.8m this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $34.65. Options: 2 managers hold calls ($139.3k notional), 1 hold puts ($0).

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

0200400Q3 22: 146Q4 22: 154Q1 23: 164Q2 23: 168Q3 23: 179Q4 23: 237Q1 24: 306306Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 2022146
Q4 2022154
Q1 2023164
Q2 2023168
Q3 2023179
Q4 2023237
Q1 2024306

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q4 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 23Q1 24: 246 bought or addedQ1 24: 58 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 20227667
Q1 202310459
Q2 20239877
Q3 202311852
Q4 202316157
Q1 202424658

Calls vs puts

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

CallsPuts
$0$100k$200k$300k$400kQ2 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 0.00Q1 24 calls: $139.3kQ1 24 puts: $0Q1 24P/C 0.00
Numbers
QuarterCallsPutsP/C
Q2 2023$345.4k$00.00
Q3 2023$0$0—
Q4 2023$186.8k$00.00
Q1 2024$139.3k$00.00

Biggest buyers

MORGAN STANLEY Added +18,899,667+18.9m
LPL Financial LLC Added +4,159,143+4.2m
WELLS FARGO & COMPANY/MN Added +2,884,233+2.9m
LVZ, Inc. New +2,693,387+2.7m
UBS Group AG Added +2,136,226+2.1m
BANK OF AMERICA CORP /DE/ Added +2,002,375+2.0m
Cetera Investment Advisers Added +1,237,801+1.2m
ROYAL BANK OF CANADA Added +1,067,606+1.1m
Raymond James Financial Services Advisors, Inc. Added +853,848+853.8k
ENVESTNET ASSET MANAGEMENT INC Added +728,884+728.9k

Biggest sellers

Cetera Advisor Networks LLC Sold out -407,870-407.9k
AE Wealth Management LLC Reduced -356,379-356.4k
Baird Financial Group, Inc. Reduced -122,213-122.2k
Private Advisory Group LLC Sold out -115,900-115.9k
Intrua Financial, LLC Sold out -114,065-114.1k
JANE STREET GROUP, LLC Reduced -111,117-111.1k
Cetera Advisors LLC Sold out -86,595-86.6k
Spire Wealth Management Reduced -75,709-75.7k
TrueWealth Advisors, LLC Reduced -75,172-75.2k
SignalPoint Asset Management, LLC Reduced -46,943-46.9k

Biggest calls

CITADEL ADVISORS LLC Reduced $139.3k4.0k 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, Q1 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.03% of their portfolio NEW YORK, NY 31,362,60931.4m $1.1bn $1.1bn 0.03% Added +18.9m +18,899,667
2 LPL Financial LLC 0.25% of their portfolio FORT MILL, SC 13,252,60813.3m $461.5m $461.5m 0.25% Added +4.2m +4,159,143
3 WELLS FARGO & COMPANY/MN 0.07% of their portfolio SAN FRANCISCO, CA 7,362,0017.4m $256.3m $256.3m 0.07% Added +2.9m +2,884,233
4 UBS Group AG 0.04% of their portfolio ZURICH, V8 3,842,2013.8m $133.8m $133.8m 0.04% Added +2.1m +2,136,226
5 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 3,743,1903.7m $130.3m $130.3m 0.01% Added +2.0m +2,002,375
6 RAYMOND JAMES & ASSOCIATES 0.08% of their portfolio ST PETERSBURG, FL 3,307,2253.3m $115.2m $115.2m 0.08% Added +727.6k +727,612
7 ROYAL BANK OF CANADA 0.02% of their portfolio TORONTO, A6 2,873,5242.9m $100.1m $100.1m 0.02% Added +1.1m +1,067,606
8 LVZ, Inc. 12.75% of their portfolio Holland, MI 2,693,3872.7m $93.8m $93.8m 12.75% New
9 TRUIST FINANCIAL CORP 0.13% of their portfolio CHARLOTTE, NC 2,468,8382.5m $86.0m $86.0m 0.13% Added +365.2k +365,202
10 Raymond James Financial Services Advisors, Inc. 0.13% of their portfolio ST. PETERSBURG, FL 2,430,4392.4m $84.6m $84.6m 0.13% Added +853.8k +853,848
11 STIFEL FINANCIAL CORP 0.08% of their portfolio ST. LOUIS, MO 2,091,5382.1m $72.8m $72.8m 0.08% Added +522.3k +522,254
12 Cetera Investment Advisers 0.15% of their portfolio SCHAUMBURG, IL 1,840,6291.8m $64.1m $64.1m 0.15% Added +1.2m +1,237,801
13 COMMONWEALTH EQUITY SERVICES, LLC 0.10% of their portfolio WALTHAM, MA 1,775,4891.8m $61.8m $61.8m 0.10% Added +688.0k +688,037
14 ENVESTNET ASSET MANAGEMENT INC 0.02% of their portfolio Berwyn, PA 1,774,6221.8m $61.8m $61.8m 0.02% Added +728.9k +728,884
15 OSAIC HOLDINGS, INC. 0.14% of their portfolio SCOTTSDALE, AZ 1,769,5001.8m $61.6m $61.6m 0.14% Added +125.1k +125,091
16 Cambridge Investment Research Advisors, Inc. 0.19% of their portfolio FAIRFIELD, IA 1,400,9691.4m $48.8m $48.8m 0.19% Added +276.1k +276,068
17 BLAIR WILLIAM & CO/IL 0.11% of their portfolio CHICAGO, IL 966,461966.5k $33.7m $33.7m 0.11% Added +237.9k +237,950
18 Private Advisor Group, LLC 0.21% of their portfolio MORRISTOWN, NJ 849,602849.6k $29.6m $29.6m 0.21% Added +152.1k +152,138
19 MML INVESTORS SERVICES, LLC 0.12% of their portfolio SPRINGFIELD, MA 835,967836.0k $29.1m $29.1m 0.12% Added +414.6k +414,588
20 Horizon Advisory Services, Inc. 13.13% of their portfolio WEST HENRIETTA, NY 809,790809.8k $28.2m $28.2m 13.13% First filing
21 Kestra Advisory Services, LLC 0.18% of their portfolio AUSTIN, TX 764,110764.1k $26.6m $26.6m 0.18% Added +252.5k +252,523
22 Baird Financial Group, Inc. 0.05% of their portfolio MILWAUKEE, WI 714,991715.0k $24.9m $24.9m 0.05% Reduced -122.2k -122,213
23 Steward Partners Investment Advisory, LLC 0.26% of their portfolio STAMFORD, CT 680,773680.8k $23.7m $23.7m 0.26% Added +224.7k +224,747
24 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.02% of their portfolio MILWAUKEE, WI 676,558676.6k $23.6m $23.6m 0.02% Added +169.2k +169,214
25 HighTower Advisors, LLC 0.04% of their portfolio CHICAGO, IL 663,452663.5k $23.1m $23.1m 0.04% Added +283.1k +283,086
26 Prospera Financial Services Inc 0.69% of their portfolio Dallas, TX 661,311661.3k $23.0m $23.0m 0.69% Added +128.0k +128,013
27 Global Assets Advisory, LLC 0.61% of their portfolio ORLANDO, FL 549,672549.7k $15.9k $15.9k 0.61% Added +533.8k +533,784
28 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.05% of their portfolio PLYMOUTH, MN 518,530518.5k $18.1m $18.1m 0.05% Added +48.4k +48,352
29 KESTRA PRIVATE WEALTH SERVICES, LLC 0.39% of their portfolio AUSTIN, TX 498,225498.2k $17.3m $17.3m 0.39% Added +248.2k +248,150
30 Good Life Advisors, LLC 1.43% of their portfolio READING, PA 463,115463.1k $16.1m $16.1m 1.43% Added +315.0k +315,015
31 Pine Valley Investments Ltd Liability Co 1.05% of their portfolio MARLTON, NJ 387,141387.1k $13.5m $13.5m 1.05% Added +22.0k +22,022
32 Sanchez Wealth Management Group 4.42% of their portfolio JACKSONVILLE, FL 375,197375.2k $13.1m $13.1m 4.42% Reduced -16.1k -16,104
33 Advantage Trust Co 9.60% of their portfolio SALINA, KS 373,795373.8k $13.0m $13.0m 9.60% Added +620 +620
34 JANE STREET GROUP, LLC 0.02% of their portfolio NEW YORK, NY 360,377360.4k $12.5m $12.5m 0.02% Reduced -111.1k -111,117
35 AVANTAX ADVISORY SERVICES, INC. 0.11% of their portfolio DALLAS, TX 344,864344.9k $12.0m $12.0m 0.11% Added +242.4k +242,402
36 Western Wealth Management, LLC 0.93% of their portfolio GOLDEN, CO 343,777343.8k $12.0m $12.0m 0.93% Added +26.3k +26,270
37 D.A. DAVIDSON & CO. 0.10% of their portfolio GREAT FALLS, MT 333,156333.2k $11.6m $11.6m 0.10% Added +84.3k +84,325
38 Wagner Wealth Management, LLC 3.50% of their portfolio GREENVILLE, SC 329,773329.8k $11.5m $11.5m 3.50% New
39 Integrated Wealth Concepts LLC 0.16% of their portfolio WALTHAM, MA 323,867323.9k $11.3m $11.3m 0.16% Added +94.6k +94,555
40 HARBOUR INVESTMENTS, INC. 0.40% of their portfolio MADISON, WI 320,650320.6k $11.2m $11.2m 0.40% Added +131.0k +131,042
41 INDEPENDENT FINANCIAL GROUP, LLC 0.48% of their portfolio SAN DIEGO, CA 300,917300.9k $10.5m $10.5m 0.48% Added +123.1k +123,142
42 Presidio Capital Management, LLC 7.58% of their portfolio SAN DIEGO, CA 298,630298.6k $10.4m $10.4m 7.58% New
43 Visionary Wealth Advisors 0.70% of their portfolio O'FALLON, IL 296,485296.5k $10.3m $10.3m 0.70% Added +165.3k +165,277
44 Ergawealth Advisors, Inc. 5.63% of their portfolio OAK BROOK, IL 294,939294.9k $10.3m $10.3m 5.63% Added +15.5k +15,542
45 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 285,198285.2k $9.9m $9.9m 0.00% Added +18.0k +18,014
46 Janney Montgomery Scott LLC 0.03% of their portfolio PHILADELPHIA, PA 269,868269.9k $9.4m $9.4m 0.03% Added +26.0k +26,042
47 First Heartland Consultants, Inc. 0.96% of their portfolio LAKE ST. LOUIS, MO 264,635264.6k $9.2m $9.2m 0.96% Added +124.0k +123,996
48 Aft, Forsyth & Sober, LLC 3.07% of their portfolio VALRICO, FL 250,000250.0k $8.7m $8.7m 3.07% New
49 Astor Investment Management LLC 3.42% of their portfolio CHICAGO, IL 247,078247.1k $8.6m $8.6m 3.42% New
50 TrueWealth Advisors, LLC 3.25% of their portfolio BIRMINGHAM, AL 241,554241.6k $8.4m $8.4m 3.25% Reduced -75.2k -75,172
51 Atria Investments, Inc 0.11% of their portfolio Charlotte, NC 232,861232.9k $8.1m $8.1m 0.11% New
52 Sigma Planning Corp 0.25% of their portfolio ANN ARBOR, MI 228,883228.9k $8.0m $8.0m 0.25% Added +190.5k +190,471
53 Mach-1 Financial Group, LLC 5.82% of their portfolio Rogers, AR 219,135219.1k $7.6m $7.6m 5.82% Added +90.2k +90,246
54 Mariner, LLC 0.02% of their portfolio Overland Park, KS 215,988216.0k $7.5m $7.5m 0.02% Added +17.2k +17,174
55 TMD Wealth Management, LLC 1.74% of their portfolio SCOTTSDALE, AZ 214,290214.3k $7.5m $7.5m 1.74% New
56 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.45% of their portfolio BIRMINGHAM, AL 199,197199.2k $6.9m $6.9m 0.45% Added +168.9k +168,922
57 Per Stirling Capital Management, LLC. 1.13% of their portfolio AUSTIN, TX 195,023195.0k $6.8m $6.8m 1.13% Reduced -6.3k -6,295
58 BENJAMIN F. EDWARDS & COMPANY, INC. 0.12% of their portfolio ST. LOUIS, MO 191,010191.0k $6.7m $6.7m 0.12% Added +65.5k +65,530
59 Crumly & Associates Inc. 1.71% of their portfolio SPRINGFIELD, IL 186,356186.4k $6.5m $6.5m 1.71% Added +164.8k +164,785
60 AIFG Consultants Ltd. 4.63% of their portfolio HALFMOON, NY 184,577184.6k $6.4m $6.4m 4.63% Added +9.9k +9,932
61 Rockefeller Capital Management L.P. 0.02% of their portfolio NEW YORK, NY 183,054183.1k $6.4m $6.4m 0.02% Added +95.7k +95,742
62 Gallagher Fiduciary Advisors, LLC 0.22% of their portfolio ROLLING MEADOWS, IL 181,859181.9k $6.3m $6.3m 0.22% Added +30.0k +30,000
63 Aprio Wealth Management, LLC 1.23% of their portfolio ATLANTA, GA 180,798180.8k $6.3m $6.3m 1.23% Added +20.2k +20,212
64 RiverTree Advisors, LLC 4.15% of their portfolio WINTER PARK, FL 177,716177.7k $6.2m $6.2m 4.15% Added +4.7k +4,739
65 WINTRUST INVESTMENTS LLC 0.55% of their portfolio CHICAGO, IL 176,158176.2k $6.1m $6.1m 0.55% Added +22.8k +22,810
66 StoneX Group Inc. 0.55% of their portfolio NEW YORK, NY 175,861175.9k $6.1m $6.1m 0.55% Added +39.7k +39,722
67 TAP Consulting, LLC 1.34% of their portfolio KIRKWOOD, MO 175,408175.4k $6.1m $6.1m 1.34% Added +31.9k +31,943
68 IHT Wealth Management, LLC 0.24% of their portfolio Chicago, IL 172,393172.4k $6.0m $6.0m 0.24% Added +20.2k +20,235
69 Hobart Private Capital, LLC 1.83% of their portfolio CHARLOTTE, NC 171,984172.0k $6.0m $6.0m 1.83% Added +29.3k +29,263
70 Concorde Asset Management, LLC 4.04% of their portfolio ANN ARBOR, MI 169,636169.6k $5.9m $5.9m 4.04% New
71 Elevated Capital Advisors, LLC 1.67% of their portfolio SANDY, UT 167,152167.2k $5.8m $5.8m 1.67% Added +148.4k +148,396
72 ARVEST INVESTMENTS, INC. 0.91% of their portfolio LOWELL, AR 164,253164.3k $5.7m $5.7m 0.91% Reduced -6.0k -5,973
73 J.W. COLE ADVISORS, INC. 0.26% of their portfolio TAMPA, FL 148,392148.4k $5.2m $5.2m 0.26% Added +21.2k +21,210
74 Stratos Wealth Partners, LTD. 0.08% of their portfolio BEACHWOOD, OH 144,485144.5k $5.0m $5.0m 0.08% Added +20.4k +20,428
75 Equitable Holdings, Inc. 0.06% of their portfolio NEW YORK, NY 143,617143.6k $5.0m $5.0m 0.06% Added +43.0k +43,006
76 PSI Advisors, LLC 1.79% of their portfolio TAMPA, FL 142,617142.6k $5.0m $5.0m 1.79% Added +31.4k +31,368
77 Wealthcare Advisory Partners LLC 0.16% of their portfolio WEST CHESTER, PA 136,108136.1k $4.7m $4.7m 0.16% Reduced -6.4k -6,448
78 Darwin Wealth Management, LLC 1.25% of their portfolio TAMPA, FL 128,353128.4k $4.5m $4.5m 1.25% New
79 N.E.W. Advisory Services LLC 0.49% of their portfolio DE PERE, WI 125,928125.9k $4.4m $4.4m 0.49% Added +114.0k +113,991
80 FSB PREMIER WEALTH MANAGEMENT, INC. 2.00% of their portfolio WATERLOO, IA 123,672123.7k $4.3m $4.3m 2.00% Reduced -16.1k -16,050
81 Redhawk Wealth Advisors, Inc. 0.70% of their portfolio MINNEAPOLIS, MN 123,420123.4k $4.3m $4.3m 0.70% Added +116.2k +116,154
82 WORLD EQUITY GROUP, INC. 0.77% of their portfolio SCHAUMBURG, IL 108,075108.1k $3.8m $3.8m 0.77% New
83 Financial Advocates Investment Management 0.22% of their portfolio OLYMPIA, WA 107,682107.7k $3.7m $3.7m 0.22% Added +9.8k +9,819
84 NewEdge Advisors, LLC 0.03% of their portfolio NEW ORLEANS, LA 105,780105.8k $3.7m $3.7m 0.03% Reduced -10.0k -9,978
85 SYNOVUS FINANCIAL CORP 0.05% of their portfolio Columbus, GA 105,510105.5k $3.7m $3.7m 0.05% Added +12.4k +12,399
86 GPS Wealth Strategies Group, LLC 0.58% of their portfolio CENTENNIAL, CO 103,031103.0k $3.6m $3.6m 0.58% Added +17.0k +16,984
87 Naviter Wealth, LLC 0.59% of their portfolio LITTLE ROCK, AR 102,975103.0k $3.6m $3.6m 0.59% Reduced -19.4k -19,434
88 Owen LaRue, LLC 2.24% of their portfolio ELIZABETHTOWN, KY 102,973103.0k $3.6m $3.6m 2.24% Added +11.6k +11,583
89 D. E. Shaw & Co., Inc. 0.00% of their portfolio New York, NY 100,296100.3k $3.5m $3.5m 0.00% Added +88.7k +88,652
90 ICA Group Wealth Management, LLC 0.68% of their portfolio DENVER, CO 97,03897.0k $3.4m $3.4m 0.68% Added +90.4k +90,419
91 CX Institutional 0.16% of their portfolio AUBURN, IN 96,97097.0k $3.4m $3.4m 0.16% Reduced -10.3k -10,334
92 Capital Investment Advisory Services, LLC 0.34% of their portfolio RALEIGH, NC 91,35591.4k $3.2m $3.2m 0.34% Added +44.9k +44,854
93 Stratos Wealth Advisors, LLC 0.19% of their portfolio BEACHWOOD, OH 91,33391.3k $3.2m $3.2m 0.19% Added +19.4k +19,407
94 RFG Advisory, LLC 0.11% of their portfolio BIRMINGHAM, AL 90,46690.5k $3.2m $3.2m 0.11% Added +37.9k +37,901
95 SignalPoint Asset Management, LLC 0.83% of their portfolio SPRINGFIELD, MO 86,83086.8k $3.0m $3.0m 0.83% Reduced -46.9k -46,943
96 Atria Wealth Solutions, Inc. 0.03% of their portfolio NEW YORK, NY 84,61584.6k $2.9m $2.9m 0.03% Reduced -22.4k -22,397
97 Cherry Creek Investment Advisors, Inc. 1.48% of their portfolio ENGLEWOOD, CO 78,73278.7k $2.7m $2.7m 1.48% Added +11.5k +11,469
98 Quantum Portfolio Management LLC 1.56% of their portfolio NEW YORK, NY 78,58278.6k $2.7m $2.7m 1.56% Added +25.5k +25,457
99 POM Investment Strategies, LLC 2.22% of their portfolio RALEIGH, NC 77,80877.8k $2.7m $2.7m 2.22% Added +3.5k +3,488
100 Cedrus LLC 1.47% of their portfolio Littleton, CO 77,16877.2k $2.7m $2.7m 1.47% Added +7.0k +7,004