FUMB · First Trust Ultra Short Duration Municipal ETF ETF

$20.06 0.00 (-0.02%) 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: 88

Total Value: $153,878,859

Total Shares: 7,890,234

Institutional Ownership Trend

25 quarters

Holder Concentration

Across 88 13F filers · Δ vs Dec 31, 2025

Top Holder

11.5%

+1.8 pts

Top 5

39.9%

−2.2 pts

Top 10

57.0%

−1.7 pts

HHI

451

Broadly held−15

Quarterly Activity

vs Dec 31, 2025

New

Increased

Decreased

Sold Out

Unchanged

Holder count: 0

Institutional value: -2.1%

Shares held: +0.7%

Top Buyers

vs Dec 31, 2025

Institution	Added	Now Holds
Small Gateway Wealth Partners, LLC	+134,492	260,066
Mega LPL Financial LLC	+123,908	879,542
Large COMMONWEALTH EQUITY SERVICES, LLC	+68,054	291,453
Small XML Financial, LLC	+49,726	526,024
Mega JPMORGAN CHASE & CO	+36,416	275,352

Top Sellers

vs Dec 31, 2025

Institution	Sold	Now Holds
Large NewEdge Advisors, LLC	−410,113	250,744
Small JAMES INVESTMENT RESEARCH, INC.	−84,364	45,571
Mega MORGAN STANLEY	−58,902	661,210
Large STIFEL FINANCIAL CORP	−49,228	18,873
Large OSAIC HOLDINGS, INC.	−45,380	181,838

Top New Positions

vs Dec 31, 2025

Institution	Acquired	Value (USD)
Small Thomas J. Herzfeld Advisors, Inc.	109,973	$2,204,958
Micro STEWARDSHIP CONCEPTS FINANCIAL SERVICES LLC	99,453	$1,994,032
Mid Independent Advisor Alliance	66,445	$1,332,222
Mid OLD MISSION CAPITAL LLC	54,794	$1,098,619
Mega SUSQUEHANNA INTERNATIONAL GROUP, LLP	35,797	$717,729

Top Sold-Out Positions

vs Dec 31, 2025

Institution	Previously Held	Last Value (USD)
Mid STEPHENS INC /AR/	41,611	$834,716
Small Westside Investment Management, Inc.	30,000	$601,800
Micro ONE PLUS ONE WEALTH MANAGEMENT, LLC	18,147	$364,028
Large COMERICA BANK	12,955	$259,876
Small Csenge Advisory Group	11,500	$230,690

Filter: New 10 Increased 40 Reduced 29 Sold out 10 Unchanged 9

Showing 88 of 88

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

LPL Financial LLC FUMB

$17,634,817

11.46%

879,542

MORGAN STANLEY FUMB

$13,257,260

8.62%

661,210

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	661,210	$13,257,260	100.0%	Defined

WELLS FARGO & COMPANY/MN FUMB

$13,020,890

8.46%

649,421

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	122,637	$2,458,871	18.9%	Defined
WELLS FARGO CLEARING SERVICES, LLC	526,784	$10,562,019	81.1%	Defined

XML Financial, LLC FUMB

$10,546,781

6.85%

526,024

ROYAL BANK OF CANADA FUMB

$6,937,279

4.51%

345,999

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	345,999	$6,937,279	100.0%	Defined

COMMONWEALTH EQUITY SERVICES, LLC FUMB

$5,843,632

3.80%

291,453

RAYMOND JAMES FINANCIAL INC FUMB

$5,552,345

3.61%

276,925

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

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	139,972	$2,806,438	50.5%	Defined
Raymond James Financial Services Advisors, Inc.	136,953	$2,745,907	49.5%	Defined

JPMORGAN CHASE & CO FUMB

$5,520,807

3.59%

275,352

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

Manager	Shares	Value (USD)	% of position	Discretion
J.P. Morgan Securities LLC	275,352	$5,520,807	100.0%	Defined

Gateway Wealth Partners, LLC FUMB

$5,214,323

3.39%

260,066

UBS Group AG FUMB

$4,254,469

2.76%

212,193

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	212,193	$4,254,469	100.0%	Defined

OSAIC HOLDINGS, INC. FUMB

$3,645,851

2.37%

181,838

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

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	178,778	$3,584,498	98.3%	Defined
Osaic Advisory Services, LLC	3,060	$61,353	1.7%	Defined

J.W. COLE ADVISORS, INC. FUMB

$3,080,361

2.00%

153,634

KESTRA PRIVATE WEALTH SERVICES, LLC FUMB

$2,982,277

1.94%

148,742

Rockefeller Capital Management L.P. FUMB

$2,614,399

1.70%

130,394

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

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER FINANCIAL LLC	130,394	$2,614,399	100.0%	Defined

Kestra Advisory Services, LLC FUMB

$2,497,829

1.62%

124,580

Baird Financial Group, Inc. FUMB

$2,493,618

1.62%

124,370

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

Manager	Shares	Value (USD)	% of position	Discretion
Robert W. Baird & Co. Inc	124,370	$2,493,618	100.0%	Defined

TRUIST FINANCIAL CORP FUMB

$2,208,828

1.44%

110,166

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.	110,166	$2,208,828	100.0%	Defined

Thomas J. Herzfeld Advisors, Inc. FUMB

$2,204,958

1.43%

109,973

Insight Inv LLC FUMB

$2,184,347

1.42%

108,945

STEWARDSHIP CONCEPTS FINANCIAL SERVICES LLC FUMB

$1,994,032

1.30%

99,453

Mainsail Financial Group, LLC FUMB

$1,910,644

1.24%

95,294

ENVESTNET ASSET MANAGEMENT INC FUMB

$1,884,539

1.22%

93,992

Thrivent Financial for Lutherans FUMB

$1,847,607

1.20%

92,150

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

Manager	Shares	Value (USD)	% of position	Discretion
Thrivent Advisor Network, LLC	92,150	$1,847,607	100.0%	Sole

Cambridge Investment Research Advisors, Inc. FUMB

$1,847,567

1.20%

92,148

Cetera Investment Advisers FUMB

$1,843,216

1.20%

91,931

CAPITAL FINANCIAL GROUP INC\CO\ /ADV FUMB

$1,622,867

1.05%

80,941

Independent Advisor Alliance FUMB

$1,332,222

0.87%

66,445

Sanctuary Advisors, LLC FUMB

$1,304,212

0.85%

65,048

Rothschild Wealth LLC FUMB

$1,253,606

0.81%

62,524

JANE STREET GROUP, LLC FUMB

$1,164,764

0.76%

58,093

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	58,093	$1,164,764	100.0%	Defined

Ashton Thomas Private Wealth, LLC FUMB

$1,103,391

0.72%

55,032

OLD MISSION CAPITAL LLC FUMB

$1,098,619

0.71%

54,794

WealthBridge Capital Management, LLC FUMB

$1,098,038

0.71%

54,765

INSPIRION WEALTH ADVISORS, LLC FUMB

$1,080,334

0.70%

53,882

Summit Financial, LLC FUMB

$1,033,798

0.67%

51,561

JAMES INVESTMENT RESEARCH, INC. FUMB

$913,698

0.59%

45,571

Prospera Financial Services Inc FUMB

$893,628

0.58%

44,570

Private Advisor Group, LLC FUMB

$868,646

0.56%

43,324

MCDONALD PARTNERS LLC FUMB

$852,125

0.55%

42,500

CITADEL ADVISORS LLC FUMB

$832,816

0.54%

41,537

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	41,537	$832,816	100.0%	Defined

SUSQUEHANNA INTERNATIONAL GROUP, LLP FUMB

$717,729

0.47%

35,797

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

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	35,797	$717,729	100.0%	Other

NewEdge Advisors, LLC FUMB

$707,126

0.46%

250,744

TRANSCEND CAPITAL ADVISORS, LLC FUMB

$649,339

0.42%

32,386

Meridian Wealth Management, LLC FUMB

$619,585

0.40%

30,902

Dynamic Advisor Solutions LLC FUMB

$592,216

0.38%

29,537

Capital Investment Advisory Services, LLC FUMB

$555,886

0.36%

27,725

Security Financial Services, INC. FUMB

$549,630

0.36%

27,413

Norris Financial Group, LLC FUMB

$544,658

0.35%

27,165

Concurrent Investment Advisors, LLC FUMB

$522,643

0.34%

26,067

Occidental Asset Management, LLC FUMB

$504,157

0.33%

25,145

HARBOUR INVESTMENTS, INC. FUMB

$498,924

0.32%

24,884

GOLDMAN SACHS GROUP INC FUMB

$491,766

0.32%

24,527

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

Manager	Shares	Value (USD)	% of position	Discretion
GOLDMAN SACHS & CO. LLC	24,527	$491,766	100.0%	Defined

Envestnet Portfolio Solutions, Inc. FUMB

$456,237

0.30%

22,755

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC FUMB

$451,125

0.29%

22,500

BENJAMIN EDWARDS INC FUMB

$431,776

0.28%

21,535

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

Manager	Shares	Value (USD)	% of position	Discretion
BENJAMIN F. EDWARDS & COMPANY, INC.	21,535	$431,776	100.0%	Defined

MGO ONE SEVEN LLC FUMB

$388,468

0.25%

19,375

Capital Analysts, LLC FUMB

$381,190

0.25%

19,012

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

Manager	Shares	Value (USD)	% of position	Discretion
LINCOLN INVESTMENT PLANNING, LLC	9,901	$198,515	52.1%	Defined
Held directly	9,111	$182,675	47.9%	Defined

STIFEL FINANCIAL CORP FUMB

$378,403

0.25%

18,873

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\	18,873	$378,403	100.0%	Defined

Keating Financial Advisory Services, Inc. FUMB

$343,436

0.22%

17,129

Advisory Services Network, LLC FUMB

$340,288

0.22%

16,972

NewEdge Wealth, LLC FUMB

$333,611

0.22%

16,639

GSG Advisors LLC FUMB

$330,524

0.21%

16,485

AE Wealth Management LLC FUMB

$314,664

0.20%

15,694

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

Manager	Shares	Value (USD)	% of position	Discretion
VCI Wealth Management LLC	15,694	$314,664	100.0%	Other

Advyzon Investment Management, LLC FUMB

$295,176

0.19%

14,722

World Investment Advisors FUMB

$286,594

0.19%

14,294

Schwallier Wealth Management LLC FUMB

$282,825

0.18%

14,106

Equitable Holdings, Inc. FUMB

$282,283

0.18%

14,079

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

Manager	Shares	Value (USD)	% of position	Discretion
EQUITABLE ADVISORS, LLC	14,079	$282,283	100.0%	Defined

RFG Advisory, LLC FUMB

$242,625

0.16%

12,101

Parallel Advisors, LLC FUMB

$215,818

0.14%

10,764

MML INVESTORS SERVICES, LLC FUMB

$205,251

0.13%

10,237

Ascentis Independent Advisors FUMB

$204,229

0.13%

10,186

Total Clarity Wealth Management, Inc. FUMB

$203,286

0.13%

10,139

Farther Finance Advisors, LLC FUMB

$202,505

0.13%

10,100

FIFTH THIRD BANCORP FUMB

$190,354

0.12%

9,494

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

Manager	Shares	Value (USD)	% of position	Discretion
Fifth Third Bank, National Association	9,494	$190,354	100.0%	Defined

TD Capital Management LLC FUMB

$123,447

0.08%

6,157

CoreCap Advisors, LLC FUMB

$121,202

0.08%

6,045

Steward Partners Investment Advisory, LLC FUMB

$120,781

0.08%

6,024

Tidemark, LLC FUMB

$80,200

0.05%

4,000

IFP Advisors, Inc FUMB

$56,561

0.04%

2,821

IMG Wealth Management, Inc. FUMB

$54,375

0.04%

2,712

CX Institutional FUMB

$46,736

0.03%

2,331

Golden State Wealth Management, LLC FUMB

$32,781

0.02%

1,635

PRIVATE TRUST CO NA FUMB

$20,270

0.01%

1,011

DHJJ Financial Advisors, Ltd. FUMB

$10,125

0.01%

505

AMERIFLEX GROUP, INC. FUMB

$7,719

0.01%

385

CWM, LLC FUMB

$6,676

0.00%

333

EVOLUTION WEALTH MANAGEMENT INC. FUMB

$4,631

0.00%

231

REAP Financial Group, LLC FUMB

$3,588

0.00%

179

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

Manager	Shares	Value (USD)	% of position	Discretion
TOWER PRINCIPAL MARKETS LLC	4,712	$94,522	100.0%	Defined