FDM · First Trust Dow Jones Select MicroCap Index Fund ETF

$93.70 +0.62 (+0.67%) 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: 38

Total Value: $44,142,125

Total Shares: 822,780

Institutional Ownership Trend

13 quarters

Holder Concentration

Across 38 13F filers · Δ vs Dec 31, 2022

Top Holder

20.7%

+4.3 pts

Top 5

68.9%

+9.3 pts

Top 10

81.3%

+7.0 pts

HHI

1,129

Broadly held+313

Quarterly Activity

vs Dec 31, 2022

New

Increased

Decreased

Sold Out

Unchanged

Holder count: -12

Institutional value: -27.6%

Shares held: -25.2%

Top Buyers

vs Dec 31, 2022

Institution	Added	Now Holds
Mega MORGAN STANLEY	+8,470	137,076
Large STIFEL FINANCIAL CORP	+3,621	20,199
Mega SUSQUEHANNA INTERNATIONAL GROUP, LLP	+3,437	8,661
Mega WELLS FARGO & COMPANY/MN	+2,850	117,703
Mega ROYAL BANK OF CANADA	+2,219	6,982

Top Sellers

vs Dec 31, 2022

Institution	Sold	Now Holds
Mega BANK OF AMERICA CORP /DE/	−19,239	16,080
Large Baird Financial Group, Inc.	−9,645	170,654
Micro Financial Advocates Investment Management	−3,984	4,788
Mega LPL Financial LLC	−3,339	93,044
Mega ENVESTNET ASSET MANAGEMENT INC	−2,433	14,100

Top New Positions

vs Dec 31, 2022

Institution	Acquired	Value (USD)
Small Noble Family Wealth, LLC	31,115	$1,669,319
Large Kestra Advisory Services, LLC	4,263	$228,709
Mega CITIGROUP INC	1,002	$53,757
Mega FMR LLC	42	$2,253
— PROEQUITIES, INC.	0	$0

Top Sold-Out Positions

vs Dec 31, 2022

Institution	Previously Held	Last Value (USD)
Mid Chicago Partners Investment Group LLC	133,783	$7,423,618
Small WESCAP Management Group, Inc.	40,320	$2,237,356
Large KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC	18,009	$999,319
Small ARKANSAS FINANCIAL GROUP, INC.	17,477	$969,798
Large Raymond James Financial Services Advisors, Inc.	15,843	$879,128

Filter: New 5 Increased 12 Reduced 15 Sold out 17 Unchanged 6

Showing 38 of 38

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

Baird Financial Group, Inc. FDM

$9,155,587

20.74%

170,654

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

Manager	Shares	Value (USD)	% of position	Discretion
BAIRD ROBERT W & CO INC /WI/	170,654	$9,155,587	100.0%	Defined

MORGAN STANLEY FDM

$7,354,127

16.66%

137,076

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	137,076	$7,354,127	100.0%	Defined

WELLS FARGO & COMPANY/MN FDM

$6,314,765

14.31%

117,703

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	19,602	$1,051,647	16.7%	Defined
WELLS FARGO CLEARING SERVICES, LLC	98,101	$5,263,118	83.3%	Defined

LPL Financial LLC FDM

$4,991,810

11.31%

93,044

Empirical Financial Services, LLC d.b.a. Empirical Wealth Management FDM

$2,577,238

5.84%

48,038

Noble Family Wealth, LLC FDM

$1,669,319

3.78%

31,115

STIFEL FINANCIAL CORP FDM

$1,083,676

2.45%

20,199

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\	20,199	$1,083,676	100.0%	Defined

COMMONWEALTH EQUITY SERVICES, LLC FDM

$973,908

2.21%

18,153

UBS Group AG FDM

$905,987

2.05%

16,887

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

Manager	Shares	Value (USD)	% of position	Discretion
UBS Financial Services Inc	14,445	$774,974	85.5%	Defined
UBS Securities LLC	2,442	$131,013	14.5%	Defined

BANK OF AMERICA CORP /DE/ FDM

$862,691

1.95%

16,080

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.	14,118	$757,430	87.8%	Defined
MANAGED ACCOUNT ADVISORS LLC	1,962	$105,261	12.2%	Defined

OSAIC HOLDINGS, INC. FDM

$827,065

1.87%

15,416

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.	1,855	$99,520	12.0%	Defined
SAGEPOINT FINANCIAL, INC.	723	$38,788	4.7%	Defined
WOODBURY FINANCIAL SERVICES, INC.	6,521	$349,851	42.3%	Defined
SECURITIES AMERICA ADVISORS INC	4,960	$266,104	32.2%	Defined
ARBOR POINT ADVISORS, LLC	885	$47,480	5.7%	Defined
American Portfolios Advisors	50	$2,682	0.3%	Sole
VISION2020 WEALTH MANAGEMENT CORP.	422	$22,640	2.7%	Defined

ENVESTNET ASSET MANAGEMENT INC FDM

$756,465

1.71%

14,100

CITADEL ADVISORS LLC FDM

$746,593

1.69%

13,916

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

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	13,916	$746,593	100.0%	Defined

Atria Wealth Solutions, Inc. FDM

$677,545

1.53%

12,629

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

Manager	Shares	Value (USD)	% of position	Discretion
CUSO Financial Services L.P. /CA	12,629	$677,545	100.0%	Defined

Cetera Advisors LLC FDM

$523,624

1.19%

9,760

TD AMERITRADE INVESTMENT MANAGEMENT, LLC FDM

$495,564

1.12%

9,237

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

Manager	Shares	Value (USD)	% of position	Discretion
Simplicity Solutions, LLC	1,022	$54,830	11.1%	Other
Held directly	8,215	$440,734	88.9%	Sole

SUSQUEHANNA INTERNATIONAL GROUP, LLP FDM

$464,662

1.05%

8,661

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

Manager	Shares	Value (USD)	% of position	Discretion
G1 EXECUTION SERVICES, LLC	8,661	$464,662	100.0%	Defined

SMITH, MOORE & CO. FDM

$443,149

1.00%

8,260

HighTower Advisors, LLC FDM

$390,947

0.89%

7,287

Wagner Wealth Management, LLC FDM

$387,943

0.88%

7,231

ROYAL BANK OF CANADA FDM

$374,583

0.85%

6,982

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

Manager	Shares	Value (USD)	% of position	Discretion
RBC CMA LLC	2,038	$109,338	29.2%	Defined
RBC Capital Markets, LLC	4,944	$265,245	70.8%	Defined

CAPTRUST FINANCIAL ADVISORS FDM

$346,257

0.78%

6,454

Mariner, LLC FDM

$319,485

0.72%

5,955

American Trust FDM

$290,192

0.66%

5,409

MERCER GLOBAL ADVISORS INC /ADV FDM

$271,469

0.61%

5,060

Financial Advocates Investment Management FDM

$256,876

0.58%

4,788

Kestra Advisory Services, LLC FDM

$228,709

0.52%

4,263

Cambridge Investment Research Advisors, Inc. FDM

$201,455

0.46%

3,755

HARBOUR INVESTMENTS, INC. FDM

$92,438

0.21%

1,723

CITIGROUP INC FDM

$53,757

0.12%

1,002

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

Manager	Shares	Value (USD)	% of position	Discretion
Citigroup Global Markets Holdings Bahamas Ltd joint	1,002	$53,757	100.0%	Defined

PNC FINANCIAL SERVICES GROUP, INC. FDM

$35,623

0.08%

664

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

Manager	Shares	Value (USD)	% of position	Discretion
PNC Investments LLC	664	$35,623	100.0%	Defined

NewEdge Advisors, LLC FDM

$31,063

0.07%

579

Steward Partners Investment Advisory, LLC FDM

$16,148

0.04%

301

Belpointe Asset Management LLC FDM

$12,071

0.03%

225

Ancora Advisors LLC FDM

$5,794

0.01%

108

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

Manager	Shares	Value (USD)	% of position	Discretion
ANCORA FAMILY WEALTH ADVISORS, LLC	108	$5,794	100.0%	Sole

FMR LLC FDM

$2,253

0.01%

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

Manager	Shares	Value (USD)	% of position	Discretion
STRATEGIC ADVISERS LLC	42	$2,253	100.0%	Defined

JPMORGAN CHASE & CO FDM

$1,287

0.00%

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

Manager	Shares	Value (USD)	% of position	Discretion
55I, LLC	24	$1,287	100.0%	Sole

PROEQUITIES, INC. FDM

0.00%

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.	7,079	$392,813	100.0%	Defined