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AFSM · First Trust Active Factor Small Cap ETF ETF

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$40.46 +0.18 (+0.45%) At close · Sep 4

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP →
Holders: 7
Total Value: $3,183,250
Total Shares: 137,091

Institutional Ownership Trend

13 quarters

Holder Concentration

Across 7 13F filers · Δ vs Dec 31, 2022
Top Holder
34.7%
Jun 2020 → Mar 2023 · range 34.7% – 100.0%
−29.9 pts
Top 5
99.2%
Jun 2020 → Mar 2023 · range 99.2% – 100.0%
−0.8 pts
Top 10
100.0%
Jun 2020 → Mar 2023 · range 100.0% – 100.0%
0.0 pts
HHI
2,567
Jun 2020 → Mar 2023 · range 2,567 – 10,000
Highly concentrated−2,366

Quarterly Activity

vs Dec 31, 2022
New
2
Increased
3
Decreased
1
Sold Out
0
Unchanged
1
Holder count: +2
Institutional value: +1.0%
Shares held: -1.3%

Top Buyers

vs Dec 31, 2022
Institution Added Now Holds Open
Tower Research Capital LLC (TRC) +11,283 47,512
Prospera Financial Services Inc +5,883 18,543
OSAIC HOLDINGS, INC. +846 1,146

Top Sellers

vs Dec 31, 2022
Institution Sold Now Holds Open
Cetera Investment Advisers −54,822 34,825

Top New Positions

vs Dec 31, 2022
Institution Acquired Value (USD) Open
CITADEL ADVISORS LLC 31,584 $733,380
UBS Group AG 3,481 $80,828

Top Sold-Out Positions

vs Dec 31, 2022
No fully closed positions this quarter.
Filter: New 2 Increased 3 Reduced 1 Sold out 0 Unchanged 1
Showing 7 of 7
All Common Calls Puts
Export CSV
Holder Value (USD) % of 13F Shares Open
Tower Research Capital LLC (TRC) AFSM $1,103,228 34.66% 47,512
Cetera Investment Advisers AFSM $808,636 25.40% 34,825
CITADEL ADVISORS LLC AFSM $733,380 23.04% 31,584
Prospera Financial Services Inc AFSM $430,568 13.53% 18,543
UBS Group AG AFSM $80,828 2.54% 3,481
OSAIC HOLDINGS, INC. AFSM $26,610 0.84% 1,146
PROEQUITIES, INC. AFSM $0 0.00% 0