FCVT · First Trust SSI Strategic Convertible Securities ETF ETF

$49.52 +0.00 (+0.00%) 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: 29

Total Value: $45,003,686

Total Shares: 1,410,532

Institutional Ownership Trend

13 quarters

Holder Concentration

Across 29 13F filers · Δ vs Dec 31, 2022

Top Holder

27.9%

+5.4 pts

Top 5

70.3%

+6.9 pts

Top 10

92.5%

+8.7 pts

HHI

1,371

Broadly held+279

Quarterly Activity

vs Dec 31, 2022

New

Increased

Decreased

Sold Out

Unchanged

Holder count: -18

Institutional value: -45.9%

Shares held: -46.2%

Top Buyers

vs Dec 31, 2022

Institution	Added	Now Holds
Mega UBS Group AG	+2,859	5,531
Mid Cetera Advisor Networks LLC	+846	14,760
Mega WELLS FARGO & COMPANY/MN	+653	1,756

Top Sellers

vs Dec 31, 2022

Institution	Sold	Now Holds
Mega JANE STREET GROUP, LLC	−435,336	152,574
Mega ENVESTNET ASSET MANAGEMENT INC	−114,628	75,106
Mega MORGAN STANLEY	−82,795	207,628
Mega LPL Financial LLC	−43,754	392,873
Mega BANK OF AMERICA CORP /DE/	−35,596	85,379

Top New Positions

vs Dec 31, 2022

Institution	Acquired	Value (USD)
Large Kestra Advisory Services, LLC	78,121	$2,492,841
Mid Prospera Financial Services Inc	7,605	$242,675
— PROEQUITIES, INC.	6,800	$216,988
Mid STEPHENS INC /AR/	6,670	$212,839
Micro VitalStone Financial, LLC	200	$8

Top Sold-Out Positions

vs Dec 31, 2022

Institution	Previously Held	Last Value (USD)
Mega RAYMOND JAMES & ASSOCIATES	116,926	$3,705,384
Large Raymond James Financial Services Advisors, Inc.	104,583	$3,314,235
Large Rockefeller Capital Management L.P.	77,298	$2,449,573
Micro Cornerstone Planning Group LLC	42,686	$1,352,719
Small GeoWealth Management, LLC	40,753	$1,291,462

Filter: New 5 Increased 3 Reduced 17 Sold out 23 Unchanged 4

Showing 29 of 29

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

LPL Financial LLC FCVT

$12,536,577

27.86%

392,873

MORGAN STANLEY FCVT

$6,625,409

14.72%

207,628

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	207,628	$6,625,409	100.0%	Defined

JANE STREET GROUP, LLC FCVT

$4,868,636

10.82%

152,574

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	152,574	$4,868,636	100.0%	Defined

ROYAL BANK OF CANADA FCVT

$4,246,997

9.44%

133,093

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	133,093	$4,246,997	100.0%	Defined

OSAIC HOLDINGS, INC. FCVT

$3,377,350

7.50%

105,840

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

Manager	Shares	Value (USD)	% of position	Discretion
ROYAL ALLIANCE ASSOCIATES, INC.	175	$5,584	0.2%	Defined
SAGEPOINT FINANCIAL, INC.	27,800	$887,098	26.3%	Defined
FSC SECURITES, INC.	9,824	$313,483	9.3%	Defined
WOODBURY FINANCIAL SERVICES, INC.	3,293	$105,079	3.1%	Defined
SECURITIES AMERICA ADVISORS INC	8,430	$269,001	8.0%	Defined
ARBOR POINT ADVISORS, LLC	4,110	$131,150	3.9%	Defined
TRIAD HYBRID SOLUTIONS, LLC	11,189	$357,040	10.6%	Defined
TRIAD ADVISORS, LLC	9,118	$290,955	8.6%	Defined
VISION2020 WEALTH MANAGEMENT CORP.	31,901	$1,017,960	30.1%	Defined

BANK OF AMERICA CORP /DE/ FCVT

$2,724,443

6.05%

85,379

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

Manager	Shares	Value (USD)	% of position	Discretion
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.	36,620	$1,168,544	42.9%	Defined
MANAGED ACCOUNT ADVISORS LLC	48,759	$1,555,899	57.1%	Defined

Kestra Advisory Services, LLC FCVT

$2,492,841

5.54%

78,121

ENVESTNET ASSET MANAGEMENT INC FCVT

$2,396,632

5.33%

75,106

GUGGENHEIM CAPITAL LLC FCVT

$1,387,670

3.08%

43,487

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

Manager	Shares	Value (USD)	% of position	Discretion
GUGGENHEIM FUNDS DISTRIBUTORS, LLC	43,487	$1,387,670	100.0%	Defined

Cambridge Investment Research Advisors, Inc. FCVT

$952,864

2.12%

29,861

Family Capital Management, Inc. FCVT

$736,610

1.64%

23,084

Cetera Advisor Networks LLC FCVT

$470,991

1.05%

14,760

WINTRUST INVESTMENTS LLC FCVT

$262,459

0.58%

8,225

PURSUE WEALTH PARTNERS LLC FCVT

$255,280

0.57%

8,000

COMMONWEALTH EQUITY SERVICES, LLC FCVT

$249,855

0.56%

7,830

Prospera Financial Services Inc FCVT

$242,675

0.54%

7,605

MML INVESTORS SERVICES, LLC FCVT

$229,369

0.51%

7,188

PROEQUITIES, INC. FCVT

$216,988

0.48%

6,800

STEPHENS INC /AR/ FCVT

$212,839

0.47%

6,670

Gladstone Institutional Advisory LLC FCVT

$209,425

0.47%

6,563

UBS Group AG FCVT

$176,493

0.39%

5,531

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

Manager	Shares	Value (USD)	% of position	Discretion
UBS AG	2,525	$80,572	45.7%	Sole
UBS Securities LLC	3,006	$95,921	54.3%	Sole

WELLS FARGO & COMPANY/MN FCVT

$56,033

0.12%

1,756

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

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC	102	$3,254	5.8%	Defined
WELLS FARGO CLEARING SERVICES, LLC	1,654	$52,779	94.2%	Defined

Belpointe Asset Management LLC FCVT

$17,646

0.04%

553

Front Row Advisors LLC FCVT

$15,955

0.04%

500

Steward Partners Investment Advisory, LLC FCVT

$15,955

0.04%

500

Tower Research Capital LLC (TRC) FCVT

$11,998

0.03%

376

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	376	$11,998	100.0%	Other

BLAIR WILLIAM & CO/IL FCVT

$9,413

0.02%

295

HARBOUR INVESTMENTS, INC. FCVT

$4,275

0.01%

134

VitalStone Financial, LLC FCVT

0.00%

200

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

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER FINANCIAL LLC	77,298	$2,449,573	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
PNC Bank, National Association	16,807	$532,613	46.1%	Defined
PNC Investments LLC	19,688	$623,912	53.9%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
Truist Advisory Services, Inc.	15,709	$497,818	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
Strategic Wealth Advisors Group, LLC	12,990	$411,653	100.0%	Sole

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

Manager	Shares	Value (USD)	% of position	Discretion
BENJAMIN EDWARDS INC	7,596	$240,717	100.0%	Defined