FAAR · First Trust Alternative Absolute Return Strategy ETF ETF

$31.54 +0.09 (+0.29%) 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 →

Quarter:

Holders: 82

Total Value: $130,738,245

Total Shares: 4,555,373

Institutional Ownership Trend

15 quarters

Holder Concentration

Across 82 13F filers · Δ vs Jun 30, 2023

Top Holder

15.0%

+0.3 pts

Top 5

46.6%

+3.9 pts

Top 10

63.7%

+4.5 pts

HHI

584

Broadly held+51

Quarterly Activity

vs Jun 30, 2023

New

Increased

Decreased

Sold Out

Unchanged

Holder count: +1

Institutional value: -5.4%

Shares held: -7.2%

Top Buyers

vs Jun 30, 2023

Institution	Added	Now Holds
Large HighTower Advisors, LLC	+87,828	237,413
Large OSAIC HOLDINGS, INC.	+72,685	438,601
Mid Global Retirement Partners, LLC	+15,166	16,864
Small FLOW TRADERS U.S. LLC	+12,883	43,077
Mid PARK AVENUE SECURITIES LLC	+11,316	32,552

Top Sellers

vs Jun 30, 2023

Institution	Sold	Now Holds
Mega JANE STREET GROUP, LLC	−128,312	85,987
Large Kestra Advisory Services, LLC	−83,575	29,556
Mid Apollon Wealth Management, LLC	−55,058	7,557
Small IAMS WEALTH MANAGEMENT, LLC	−54,020	45,796
Mega LPL Financial LLC	−38,216	400,514

Top New Positions

vs Jun 30, 2023

Institution	Acquired	Value (USD)
Mid Envestnet Portfolio Solutions, Inc.	46,098	$1,323,012
Small DFPG INVESTMENTS, LLC	7,853	$225,381
Small Centennial Wealth Advisory LLC	7,196	$206,525
Mid Tower Research Capital LLC (TRC)	1,930	$55,391
Large COMERICA BANK	1,485	$42,619

Top Sold-Out Positions

vs Jun 30, 2023

Institution	Previously Held	Last Value (USD)
Mid Prospera Financial Services Inc	125,014	$3,520,394
Mid OLD MISSION CAPITAL LLC	43,560	$1,226,649
Mega RAYMOND JAMES & ASSOCIATES	10,821	$304,719
Large Mariner, LLC	10,125	$285,120
Mid Pine Valley Investments Ltd Liability Co	8,440	$237,670

Filter: New 8 Increased 28 Reduced 40 Sold out 7 Unchanged 6

Showing 82 of 82

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

ENVESTNET ASSET MANAGEMENT INC FAAR

$19,555,032

14.96%

681,360

OSAIC HOLDINGS, INC. FAAR

$12,586,927

9.63%

438,601

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	3,756	$107,797	0.9%	Defined
OSAIC INSTITUTIONS, INC.	344	$9,872	0.1%	Defined
FSC SECURITES, INC.	26,572	$762,616	6.1%	Defined
WOODBURY FINANCIAL SERVICES, INC.	147,171	$4,223,807	33.6%	Defined
SECURITIES AMERICA ADVISORS INC	80,721	$2,316,692	18.4%	Defined
ARBOR POINT ADVISORS, LLC	441	$12,656	0.1%	Defined
TRIAD ADVISORS, LLC	33	$29	0.0%	Defined
VISION2020 WEALTH MANAGEMENT CORP.	179,563	$5,153,458	40.9%	Defined

LPL Financial LLC FAAR

$11,494,751

8.79%

400,514

AE Wealth Management LLC FAAR

$10,438,677

7.98%

363,717

HighTower Advisors, LLC FAAR

$6,813,753

5.21%

237,413

Cetera Investment Advisers FAAR

$5,566,766

4.26%

193,964

Cetera Advisor Networks LLC FAAR

$5,090,806

3.89%

177,380

CAPTRUST FINANCIAL ADVISORS FAAR

$4,720,145

3.61%

164,465

Bank of New York Mellon Corp FAAR

$3,509,665

2.68%

122,288

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BNY Mellon Advisors, Inc.	122,282	$3,509,493	100.0%	Defined
Held directly	6	$172	0.0%	Defined

AVANTAX ADVISORY SERVICES, INC. FAAR

$3,454,475

2.64%

120,365

Authentikos Wealth Advisory, LLC FAAR

$2,833,895

2.17%

98,742

Raymond James Financial Services Advisors, Inc. FAAR

$2,509,872

1.92%

87,452

JANE STREET GROUP, LLC FAAR

$2,467,826

1.89%

85,987

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	85,987	$2,467,826	100.0%	Defined

MERCER GLOBAL ADVISORS INC /ADV FAAR

$2,378,196

1.82%

82,864

Cambridge Investment Research Advisors, Inc. FAAR

$2,133,644

1.63%

74,343

Ausdal Financial Partners, Inc. FAAR

$2,047,228

1.57%

71,332

IFP Advisors, Inc FAAR

$1,921,780

1.47%

66,961

Atria Wealth Solutions, Inc. FAAR

$1,613,427

1.23%

56,217

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
CADARET, GRANT & CO. INC.	30,398	$872,422	54.1%	Defined
CUSO Financial Services L.P. /CA	25,819	$741,005	45.9%	Defined

COMMONWEALTH EQUITY SERVICES, LLC FAAR

$1,547,417

1.18%

53,917

KESTRA PRIVATE WEALTH SERVICES, LLC FAAR

$1,340,548

1.03%

46,709

Envestnet Portfolio Solutions, Inc. FAAR

$1,323,012

1.01%

46,098

IAMS WEALTH MANAGEMENT, LLC FAAR

$1,314,345

1.01%

45,796

SUSQUEHANNA INTERNATIONAL GROUP, LLP FAAR

$1,254,017

0.96%

43,694

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	28,771	$825,727	65.8%	Defined
G1 EXECUTION SERVICES, LLC	14,923	$428,290	34.2%	Defined

FLOW TRADERS U.S. LLC FAAR

$1,236,309

0.95%

43,077

Orion Portfolio Solutions, LLC FAAR

$1,069,046

0.82%

37,249

Pinnacle Family Advisors, LLC FAAR

$1,038,853

0.79%

36,197

NewEdge Wealth, LLC FAAR

$1,014,717

0.78%

35,356

PARK AVENUE SECURITIES LLC FAAR

$934,242

0.71%

32,552

StoneX Group Inc. FAAR

$917,280

0.70%

31,961

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SA Stone Investment Advisors Inc.	31,961	$917,280	100.0%	Defined

Gateway Wealth Partners, LLC FAAR

$911,626

0.70%

31,764

Kestra Advisory Services, LLC FAAR

$848,257

0.65%

29,556

Coppell Advisory Solutions LLC FAAR

$847,310

0.65%

29,523

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Manager 51	29,523	$847,310	100.0%	Sole

Stratos Wealth Partners, LTD. FAAR

$770,422

0.59%

26,844

Snowden Capital Advisors LLC FAAR

$750,160

0.57%

26,138

SCOTIA CAPITAL INC. FAAR

$722,350

0.55%

25,169

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BANK OF NOVA SCOTIA	25,169	$722,350	100.0%	Defined

BENJAMIN F. EDWARDS & COMPANY, INC. FAAR

$676,659

0.52%

23,577

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BENJAMIN EDWARDS INC	23,577	$676,659	100.0%	Defined

B. Riley Wealth Advisors, Inc. FAAR

$640,727

0.49%

22,325

Allworth Financial LP FAAR

$563,294

0.43%

19,627

GeoWealth Management, LLC FAAR

$557,037

0.43%

19,409

Jaffetilchin Investment Partners, LLC FAAR

$539,387

0.41%

18,794

STIFEL FINANCIAL CORP FAAR

$530,318

0.41%

18,478

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
STIFEL NICOLAUS & CO INC \MO\	18,478	$530,318	100.0%	Defined

Global Retirement Partners, LLC FAAR

$483,996

0.37%

16,864

FIRST TRUST ADVISORS LP FAAR

$475,358

0.36%

16,563

ASSETMARK, INC FAAR

$445,337

0.34%

15,517

FSB PREMIER WEALTH MANAGEMENT, INC. FAAR

$438,937

0.34%

15,294

RFG Advisory, LLC FAAR

$397,208

0.30%

13,840

Cetera Advisors LLC FAAR

$385,785

0.30%

13,442

PFG Advisors FAAR

$383,030

0.29%

13,346

1776 Wealth LLC FAAR

$378,237

0.29%

13,179

Mutual Advisors, LLC FAAR

$351,402

0.27%

12,244

GREAT VALLEY ADVISOR GROUP, INC. FAAR

$333,407

0.26%

11,617

Sigma Planning Corp FAAR

$327,954

0.25%

11,427

Avior Wealth Management, LLC FAAR

$327,811

0.25%

11,422

Virtue Capital Management, LLC FAAR

$314,982

0.24%

10,975

MARIPAU WEALTH MANAGEMENT LLC FAAR

$311,251

0.24%

10,845

Rockefeller Capital Management L.P. FAAR

$306,315

0.23%

10,673

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER FINANCIAL LLC	10,673	$306,315	100.0%	Defined

Walkner Condon Financial Advisors LLC FAAR

$301,464

0.23%

10,504

PROEQUITIES, INC. FAAR

$274,429

0.21%

9,562

HARBOUR INVESTMENTS, INC. FAAR

$270,153

0.21%

9,413

TRANSCEND CAPITAL ADVISORS, LLC FAAR

$256,176

0.20%

8,926

Concorde Asset Management, LLC FAAR

$234,450

0.18%

8,169

DFPG INVESTMENTS, LLC FAAR

$225,381

0.17%

7,853

Apollon Wealth Management, LLC FAAR

$216,885

0.17%

7,557

Truadvice, LLC FAAR

$207,931

0.16%

7,245

Centennial Wealth Advisory LLC FAAR

$206,525

0.16%

7,196

ROYAL BANK OF CANADA FAAR

$151,076

0.12%

5,264

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RBC Capital Markets, LLC	5,264	$151,076	100.0%	Defined

Tower Research Capital LLC (TRC) FAAR

$55,391

0.04%

1,930

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Tower Research Capital Investments LLC	1,930	$55,391	100.0%	Other

TUCKER ASSET MANAGEMENT LLC FAAR

$45,116

0.03%

1,572

COMERICA BANK FAAR

$42,619

0.03%

1,485

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Comerica Bank	1,485	$42,619	100.0%	Sole

Sunbelt Securities, Inc. FAAR

$33,837

0.03%

1,179

BENJAMIN EDWARDS INC FAAR

$30,938

0.02%

1,078

JPMORGAN CHASE & CO FAAR

$11,193

0.01%

390

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
55I, LLC	390	$11,193	100.0%	Sole

SOA Wealth Advisors, LLC. FAAR

$8,610

0.01%

300

CWM, LLC FAAR

$4,534

0.00%

158

Cape Investment Advisory, Inc. FAAR

$4,218

0.00%

147

MORGAN STANLEY FAAR

$4,104

0.00%

143

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY SMITH BARNEY LLC	143	$4,104	100.0%	Defined

NBC SECURITIES, INC. FAAR

$3,243

0.00%

113

Larson Financial Group LLC FAAR

$2,296

0.00%

UBS Group AG FAAR

$2,181

0.00%

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Securities LLC	76	$2,181	100.0%	Sole

DHJJ Financial Advisors, Ltd. FAAR

$287

0.00%

CREATIVE FINANCIAL DESIGNS INC /ADV FAAR

0.00%

WELLS FARGO & COMPANY/MN FAAR

0.00%

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO CLEARING SERVICES, LLC	0	$0	—	Defined

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Mariner Independent Advisor Network, LLC	10,125	$285,120	100.0%	Sole