Vault-13

FIRST TR EXCHANGE-TRADED FD SDVY

SMID RISNG ETF · ETP · CUSIP 33741X102

505 institutional holders +101 vs Q3 2024
165,375,305165.4m shares reported held*
$5.9bnreported value*
83 new 265 added 75 reduced 26 sold out net bought ≈ $968.6m (+27.0m 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 ($956.9k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $35.86. Options: 2 managers hold calls ($143.4k notional), 1 hold puts ($0).

Trends to Q4 2024

Institutional holders

Managers reporting a position, each quarter

0200400600Q3 22: 146Q4 22: 154Q1 23: 164Q2 23: 168Q3 23: 179Q4 23: 237Q1 24: 306Q2 24: 340Q3 24: 404Q4 24: 505505Q3 22Q1 23Q3 23Q1 24Q3 24Q4 24
Numbers
QuarterHolders
Q3 2022146
Q4 2022154
Q1 2023164
Q2 2023168
Q3 2023179
Q4 2023237
Q1 2024306
Q2 2024340
Q3 2024404
Q4 2024505

Buyers vs sellers

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

Bought or addedCut or sold out
4000400Q1 23: 104 bought or addedQ1 23: 59 cut or sold outQ2 23: 98 bought or addedQ2 23: 77 cut or sold outQ2 23Q3 23: 118 bought or addedQ3 23: 52 cut or sold outQ4 23: 161 bought or addedQ4 23: 57 cut or sold outQ4 23Q1 24: 246 bought or addedQ1 24: 58 cut or sold outQ2 24: 242 bought or addedQ2 24: 91 cut or sold outQ2 24Q3 24: 301 bought or addedQ3 24: 89 cut or sold outQ4 24: 348 bought or addedQ4 24: 101 cut or sold outQ4 24
Numbers
QuarterBought or addedCut or sold out
Q1 202310459
Q2 20239877
Q3 202311852
Q4 202316157
Q1 202424658
Q2 202424291
Q3 202430189
Q4 2024348101

Calls vs puts

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

CallsPuts
$0$100k$200k$300kQ1 24 calls: $139.3kQ1 24 puts: $0Q1 24P/C 0.00Q2 24 calls: $0Q2 24 puts: $36.7kQ2 24P/C —Q3 24 calls: $243.7kQ3 24 puts: $0Q3 24P/C 0.00Q4 24 calls: $143.4kQ4 24 puts: $0Q4 24P/C 0.00
Numbers
QuarterCallsPutsP/C
Q1 2024$139.3k$00.00
Q2 2024$0$36.7k—
Q3 2024$243.7k$00.00
Q4 2024$143.4k$00.00

Biggest buyers

LPL Financial LLC Added +3,948,772+3.9m
MORGAN STANLEY Added +3,776,261+3.8m
WELLS FARGO & COMPANY/MN Added +2,172,523+2.2m
Independent Advisor Alliance New +1,414,753+1.4m
BANK OF AMERICA CORP /DE/ Added +1,327,323+1.3m
ROYAL BANK OF CANADA Added +1,241,896+1.2m
HighTower Advisors, LLC Added +1,059,353+1.1m
FIRST TRUST ADVISORS LP Added +720,848+720.8k
COMMONWEALTH EQUITY SERVICES, LLC Added +610,079+610.1k
UBS Group AG Added +596,265+596.3k

Biggest sellers

Horizon Advisory Services, Inc. Reduced -746,767-746.8k
Aft, Forsyth & Sober, LLC Sold out -250,600-250.6k
Mach-1 Financial Group, LLC Reduced -222,567-222.6k
Ascentis Independent Advisors Reduced -195,978-196.0k
JPMORGAN CHASE & CO Reduced -173,232-173.2k
GOLDMAN SACHS GROUP INC Reduced -102,824-102.8k
Y-Intercept (Hong Kong) Ltd Sold out -100,110-100.1k
AIFG Consultants Ltd. Reduced -90,108-90.1k
KESTRA PRIVATE WEALTH SERVICES, LLC Reduced -86,773-86.8k
Presidio Capital Management, LLC Reduced -85,079-85.1k

Biggest calls

CITADEL ADVISORS LLC Reduced $143.4k4.0k 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, Q4 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LPL Financial LLC 0.32% of their portfolio FORT MILL, SC 21,935,88621.9m $786.4m $786.4m 0.32% Added +3.9m +3,948,772
2 MORGAN STANLEY 0.05% of their portfolio NEW YORK, NY 18,729,90418.7m $671.5m $671.5m 0.05% Added +3.8m +3,776,261
3 WELLS FARGO & COMPANY/MN 0.11% of their portfolio SAN FRANCISCO, CA 12,732,12012.7m $456.4m $456.4m 0.11% Added +2.2m +2,172,523
4 RAYMOND JAMES FINANCIAL INC 0.14% of their portfolio ST. PETERSBURG, FL 10,636,02310.6m $381.3m $381.3m 0.14% First filing
5 BANK OF AMERICA CORP /DE/ 0.02% of their portfolio CHARLOTTE, NC 7,099,0537.1m $254.5m $254.5m 0.02% Added +1.3m +1,327,323
6 UBS Group AG 0.05% of their portfolio ZURICH, V8 6,618,8676.6m $237.3m $237.3m 0.05% Added +596.3k +596,265
7 ROYAL BANK OF CANADA 0.04% of their portfolio TORONTO, A6 5,599,0815.6m $200.7m $200.7m 0.04% Added +1.2m +1,241,896
8 Capital Investment Advisors, LLC 2.56% of their portfolio ATLANTA, GA 3,510,0503.5m $125.8m $125.8m 2.56% Added +267.4k +267,372
9 Cetera Investment Advisers 0.26% of their portfolio SCHAUMBURG, IL 3,447,1373.4m $123.6m $123.6m 0.26% Added +325.2k +325,194
10 ENVESTNET ASSET MANAGEMENT INC 0.03% of their portfolio Berwyn, PA 2,974,7933.0m $106.6m $106.6m 0.03% Added +430.3k +430,281
11 PARK NATIONAL CORP /OH/ 3.71% of their portfolio NEWARK, OH 2,827,5932.8m $101.4m $101.4m 3.71% Added +296.6k +296,558
12 STIFEL FINANCIAL CORP 0.10% of their portfolio ST. LOUIS, MO 2,771,7532.8m $99.4m $99.4m 0.10% Added +286.5k +286,502
13 LVZ, Inc. 12.54% of their portfolio Holland, MI 2,726,8112.7m $97.8m $97.8m 12.54% Added +17.7k +17,661
14 COMMONWEALTH EQUITY SERVICES, LLC 0.14% of their portfolio WALTHAM, MA 2,702,1672.7m $96.9m $96.9m 0.14% Added +610.1k +610,079
15 TRUIST FINANCIAL CORP 0.15% of their portfolio CHARLOTTE, NC 2,629,9532.6m $94.3m $94.3m 0.15% Added +190.7k +190,665
16 OSAIC HOLDINGS, INC. 0.19% of their portfolio SCOTTSDALE, AZ 2,412,5792.4m $86.5m $86.5m 0.19% Added +234.5k +234,539
17 HighTower Advisors, LLC 0.12% of their portfolio CHICAGO, IL 2,398,4272.4m $86.0m $86.0m 0.12% Added +1.1m +1,059,353
18 Cambridge Investment Research Advisors, Inc. 0.26% of their portfolio FAIRFIELD, IA 2,133,0572.1m $76.5m $76.5m 0.26% Added +322.3k +322,315
19 Private Advisor Group, LLC 0.31% of their portfolio MORRISTOWN, NJ 1,533,8251.5m $55.0m $55.0m 0.31% Added +499.8k +499,841
20 Independent Advisor Alliance 0.67% of their portfolio CHARLOTTE, NC 1,414,7531.4m $50.7m $50.7m 0.67% New
21 MML INVESTORS SERVICES, LLC 0.17% of their portfolio SPRINGFIELD, MA 1,410,6661.4m $50.6m $50.6m 0.17% Added +280.4k +280,360
22 Baird Financial Group, Inc. 0.09% of their portfolio MILWAUKEE, WI 1,268,4661.3m $45.5m $45.5m 0.09% Added +163.9k +163,878
23 BLAIR WILLIAM & CO/IL 0.13% of their portfolio CHICAGO, IL 1,243,5111.2m $44.6m $44.6m 0.13% Added +149.5k +149,453
24 Steward Partners Investment Advisory, LLC 0.34% of their portfolio STAMFORD, CT 1,080,8951.1m $38.8m $38.8m 0.34% Added +175.2k +175,217
25 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.03% of their portfolio MILWAUKEE, WI 1,078,4201.1m $38.7m $38.7m 0.03% Added +114.5k +114,455
26 Kestra Advisory Services, LLC 0.21% of their portfolio AUSTIN, TX 1,064,6521.1m $38.2m $38.2m 0.21% Added +98.9k +98,942
27 SMITH CHAS P & ASSOCIATES PA CPAS 2.01% of their portfolio LAKELAND, FL 975,635975.6k $35.0m $35.0m 2.01% Added +19.3k +19,291
28 FIRST TRUST ADVISORS LP 0.02% of their portfolio Wheaton, IL 763,274763.3k $27.4m $27.4m 0.02% Added +720.8k +720,848
29 AVANTAX ADVISORY SERVICES, INC. 0.16% of their portfolio DALLAS, TX 723,521723.5k $25.9m $25.9m 0.16% Added +146.7k +146,659
30 Prospera Financial Services Inc 0.60% of their portfolio Dallas, TX 713,663713.7k $25.6m $25.6m 0.60% Added +51.8k +51,834
31 Janney Montgomery Scott LLC 0.07% of their portfolio PHILADELPHIA, PA 713,298713.3k $25.6m $25.6m 0.07% Added +227.4k +227,413
32 Integrated Wealth Concepts LLC 0.29% of their portfolio WALTHAM, MA 691,411691.4k $24.8m $24.8m 0.29% Added +132.9k +132,886
33 StoneX Group Inc. 1.35% of their portfolio NEW YORK, NY 686,084686.1k $24.6m $24.6m 1.35% Added +15.0k +14,995
34 NewEdge Advisors, LLC 0.15% of their portfolio NEW ORLEANS, LA 673,608673.6k $24.1m $24.1m 0.15% Added +302.0k +302,042
35 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.04% of their portfolio PLYMOUTH, MN 638,953639.0k $22.9m $22.9m 0.04% Added +72.3k +72,285
36 Western Wealth Management, LLC 1.16% of their portfolio GOLDEN, CO 605,230605.2k $21.7m $21.7m 1.16% Added +75.1k +75,097
37 HARBOUR INVESTMENTS, INC. 0.62% of their portfolio MADISON, WI 601,110601.1k $21.5m $21.5m 0.62% Added +102.0k +102,004
38 SAGE PRIVATE WEALTH GROUP, LLC 15.43% of their portfolio OAKBROOK TERRACE, IL 573,402573.4k $20.6m $20.6m 15.43% Reduced -1.9k -1,859
39 Good Life Advisors, LLC 1.48% of their portfolio READING, PA 567,671567.7k $20.4m $20.4m 1.48% Added +89.6k +89,574
40 D.A. DAVIDSON & CO. 0.16% of their portfolio GREAT FALLS, MT 550,770550.8k $19.7m $19.7m 0.16% Added +88.3k +88,269
41 INDEPENDENT FINANCIAL GROUP, LLC 0.63% of their portfolio SAN DIEGO, CA 532,934532.9k $19.1m $19.1m 0.63% Added +211.4k +211,414
42 Sigma Planning Corp 0.59% of their portfolio ANN ARBOR, MI 521,050521.0k $18.7m $18.7m 0.59% Added +96.3k +96,286
43 Advance Capital Management, Inc. 0.81% of their portfolio SOUTHFIELD, MI 491,017491.0k $17.6m $17.6m 0.81% New
44 Atria Investments, Inc 0.21% of their portfolio Charlotte, NC 472,676472.7k $16.9m $16.9m 0.21% Added +24.6k +24,596
45 Sanctuary Advisors, LLC 0.11% of their portfolio INDIANAPOLIS, IN 464,571464.6k $17.6m $17.6m 0.11% Added +71.9k +71,855
46 Rockefeller Capital Management L.P. 0.04% of their portfolio NEW YORK, NY 423,604423.6k $15.2m $15.2m 0.04% Added +9.7k +9,744
47 Advantage Trust Co 8.80% of their portfolio SALINA, KS 417,295417.3k $15.0m $15.0m 8.80% Added +13.0k +13,009
48 GDS Wealth Management 1.32% of their portfolio FLOWER MOUND, TX 404,829404.8k $14.5m $14.5m 1.32% Added +18.5k +18,521
49 DAYMARK WEALTH PARTNERS, LLC 0.61% of their portfolio CINCINNATI, OH 401,848401.8k $14.4m $14.4m 0.61% Added +222.0k +221,992
50 Wagner Wealth Management, LLC 3.63% of their portfolio GREENVILLE, SC 392,166392.2k $14.1m $14.1m 3.63% Added +19.3k +19,271
51 Pine Valley Investments Ltd Liability Co 0.92% of their portfolio MARLTON, NJ 390,347390.3k $14.0m $14.0m 0.92% Added +5.1k +5,106
52 Blue Chip Partners, LLC 1.18% of their portfolio FARMINGTON HILLS, MI 382,712382.7k $13.7m $13.7m 1.18% New
53 Aptus Capital Advisors, LLC 0.16% of their portfolio FAIRHOPE, AL 374,992375.0k $13.4m $13.4m 0.16% Added +301.8k +301,792
54 Mariner, LLC 0.02% of their portfolio Overland Park, KS 372,568372.6k $13.4m $13.4m 0.02% Added +27.9k +27,947
55 Sanchez Wealth Management Group 3.47% of their portfolio JACKSONVILLE, FL 354,481354.5k $12.7m $12.7m 3.47% Added +2.7k +2,731
56 Solano Wealth Investment Advisors LLC 7.57% of their portfolio Fairfield, CA 351,147351.1k $12.6m $12.6m 7.57% First filing
57 GUARDIAN WEALTH ADVISORS, LLC / NC 0.98% of their portfolio RALEIGH, NC 342,184342.2k $12.3m $12.3m 0.98% Added +287.3k +287,309
58 NorthCoast Asset Management LLC 0.06% of their portfolio STAMFORD, CT 341,914341.9k $12.3m $12.3m 0.06% Added +1.1k +1,121
59 Equitable Holdings, Inc. 0.11% of their portfolio NEW YORK, NY 336,502336.5k $12.1m $12.1m 0.11% Added +83.3k +83,319
60 Visionary Wealth Advisors 0.69% of their portfolio O'FALLON, IL 330,497330.5k $11.8m $11.8m 0.69% Reduced -38.1k -38,067
61 KESTRA PRIVATE WEALTH SERVICES, LLC 0.20% of their portfolio AUSTIN, TX 323,605323.6k $11.6m $11.6m 0.20% Reduced -86.8k -86,773
62 B & T Capital Management DBA Alpha Capital Management 2.07% of their portfolio AUSTIN, TX 314,380314.4k $11.3m $11.3m 2.07% New
63 Ferguson Shapiro LLC 4.11% of their portfolio DECATUR, GA 309,810309.8k $11.1m $11.1m 4.11% New
64 First Heartland Consultants, Inc. 1.12% of their portfolio LAKE ST. LOUIS, MO 304,136304.1k $10.9m $10.9m 1.12% Reduced -16.7k -16,656
65 Ergawealth Advisors, Inc. 5.35% of their portfolio OAK BROOK, IL 301,750301.8k $10.8m $10.8m 5.35% Reduced -10.8k -10,777
66 DAGCO, INC. 3.39% of their portfolio WESTLAKE, OH 285,370285.4k $10.2m $10.2m 3.39% Added +67.0k +66,980
67 RFG Advisory, LLC 0.28% of their portfolio BIRMINGHAM, AL 277,020277.0k $9.9m $9.9m 0.28% Added +72.5k +72,507
68 First Horizon Advisors, Inc. 0.28% of their portfolio MEMPHIS, TN 275,534275.5k $9.9m $9.9m 0.28% Added +82.9k +82,860
69 IHT Wealth Management, LLC 0.30% of their portfolio Chicago, IL 258,531258.5k $9.3m $9.3m 0.30% Added +21.2k +21,158
70 Presidio Capital Management, LLC 4.85% of their portfolio SAN DIEGO, CA 252,746252.7k $9.1m $9.1m 4.85% Reduced -85.1k -85,079
71 TrueWealth Advisors, LLC 3.01% of their portfolio BIRMINGHAM, AL 251,737251.7k $9.0m $9.0m 3.01% Reduced -5.0k -4,991
72 Golden State Wealth Management, LLC 1.34% of their portfolio SANTA ANA, CA 249,404249.4k $8.9m $8.9m 1.34% First filing
73 JONES FINANCIAL COMPANIES LLLP 0.01% of their portfolio DES PERES, MO 249,236249.2k $8.9m $8.9m 0.01% Added +168.1k +168,064
74 Crumly & Associates Inc. 2.28% of their portfolio SPRINGFIELD, IL 233,980234.0k $8.4m $8.4m 2.28% Added +7.7k +7,661
75 TAP Consulting, LLC 1.67% of their portfolio KIRKWOOD, MO 228,019228.0k $8.2m $8.2m 1.67% Reduced -1.1k -1,051
76 Csenge Advisory Group 0.44% of their portfolio CLEARWATER, FL 227,979228.0k $8.2m $8.2m 0.44% Added +216.8k +216,822
77 BREAKTHRU ADVISORY SERVICES, LLC 7.15% of their portfolio MUSKEGO, WI 220,230220.2k $7.9m $7.9m 7.15% First filing
78 CIBC WORLD MARKET INC. 0.02% of their portfolio TORONTO, A6 217,001217.0k $7.8m $7.8m 0.02% New
79 Triumph Capital Management 2.62% of their portfolio DENVER, CO 213,329213.3k $7.6m $7.6m 2.62% Added +26.1k +26,120
80 Richmond Investment Services, LLC 4.28% of their portfolio Mequon, WI 212,459212.5k $7.6m $7.6m 4.28% First filing
81 Capital Investment Counsel, LLC 1.27% of their portfolio DENVER, CO 212,062212.1k $7.6m $7.6m 1.27% Added +549 +549
82 Beaumont Financial Advisors, LLC 0.55% of their portfolio NEEDHAM, MA 204,703204.7k $7.3m $7.3m 0.55% New
83 N.E.W. Advisory Services LLC 0.69% of their portfolio DE PERE, WI 202,754202.8k $7.3m $7.3m 0.69% Added +14.7k +14,675
84 Aprio Wealth Management, LLC 1.05% of their portfolio ATLANTA, GA 201,302201.3k $7.2m $7.2m 1.05% Added +15.8k +15,819
85 Atria Wealth Solutions, Inc. 0.08% of their portfolio NEW YORK, NY 199,270199.3k $7.1m $7.1m 0.08% Added +64.7k +64,708
86 San Luis Wealth Advisors LLC 1.35% of their portfolio SAN LUIS OBISPO, CA 198,784198.8k $7.1m $7.1m 1.35% Added +18.4k +18,435
87 BENJAMIN EDWARDS INC 0.10% of their portfolio Clayton, MO 197,680197.7k $7.1m $7.1m 0.10% Added +18.7k +18,658
88 PSI Advisors, LLC 2.10% of their portfolio TAMPA, FL 197,075197.1k $7.1m $7.1m 2.10% Added +13.6k +13,555
89 Southland Equity Partners LLC 1.63% of their portfolio WILDWOOD, MO 195,825195.8k $7.0m $7.0m 1.63% Added +2.8k +2,818
90 Gallagher Fiduciary Advisors, LLC 1.36% of their portfolio ROLLING MEADOWS, IL 193,866193.9k $7.0m $7.0m 1.36% Added +7.3k +7,271
91 Wealthcare Advisory Partners LLC 0.19% of their portfolio WEST CHESTER, PA 193,114193.1k $6.9m $6.9m 0.19% Added +49.3k +49,272
92 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.41% of their portfolio BIRMINGHAM, AL 191,672191.7k $7.3m $7.3m 0.41% Added +12.0k +12,004
93 LFA - Lugano Financial Advisors SA 4.45% of their portfolio LUGANO, V8 190,046190.0k $6.8m $6.8m 4.45% New
94 Certified Advisory Corp 0.74% of their portfolio ALTAMONTE SPRINGS, FL 189,749189.7k $6.8m $6.8m 0.74% Added +17.3k +17,340
95 Hobart Private Capital, LLC 1.68% of their portfolio CHARLOTTE, NC 189,279189.3k $6.8m $6.8m 1.68% Reduced -34.2k -34,179
96 ARVEST INVESTMENTS, INC. 1.06% of their portfolio LOWELL, AR 185,597185.6k $6.7m $6.7m 1.06% Added +2.8k +2,823
97 Foundations Investment Advisors, LLC 0.13% of their portfolio PHOENIX, AZ 184,977185.0k $6.6m $6.6m 0.13% Added +8.9k +8,889
98 SSI INVESTMENT MANAGEMENT LLC 0.49% of their portfolio Los Angeles, CA 183,679183.7k $6.6m $6.6m 0.49% Added +66.6k +66,569
99 Astor Investment Management LLC 3.35% of their portfolio CHICAGO, IL 182,179182.2k $6.5m $6.5m 3.35% Reduced -11.4k -11,448
100 Stratos Wealth Partners, LTD. 0.09% of their portfolio BEACHWOOD, OH 177,771177.8k $6.4m $6.4m 0.09% Added +22.3k +22,329