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: 74

Total Value: $95,403,036

Total Shares: 3,358,081

Institutional Ownership Trend

18 quarters

Holder Concentration

Across 74 13F filers · Δ vs Mar 31, 2024

Top Holder

18.9%

+3.3 pts

Top 5

43.1%

−2.1 pts

Top 10

58.0%

−1.6 pts

HHI

625

Broadly held+68

Quarterly Activity

vs Mar 31, 2024

New

Increased

Decreased

Sold Out

Unchanged

Holder count: -5

Institutional value: -15.4%

Shares held: -14.3%

Top Buyers

vs Mar 31, 2024

Institution	Added	Now Holds
Micro Authentikos Wealth Advisory, LLC	+41,208	135,335
Mega SUSQUEHANNA INTERNATIONAL GROUP, LLP	+40,981	82,014
Micro Horizon Advisory Services, Inc.	+24,889	635,544
Large AE Wealth Management LLC	+23,241	52,547
Mega FIRST TRUST ADVISORS LP	+15,749	63,674

Top Sellers

vs Mar 31, 2024

Institution	Sold	Now Holds
Mega JANE STREET GROUP, LLC	−264,816	58,534
Mega LPL Financial LLC	−85,411	191,406
Large OSAIC HOLDINGS, INC.	−67,128	141,729
Small FLOW TRADERS U.S. LLC	−38,534	33,103
Mid IFP Advisors, Inc	−38,359	35,799

Top New Positions

vs Mar 31, 2024

Institution	Acquired	Value (USD)
Mega BANK OF MONTREAL /CAN/	26,332	$748,092
Small Coppell Advisory Solutions LLC	23,833	$677,095
Mid OLD MISSION CAPITAL LLC	21,595	$613,513
Mid Atria Investments, Inc	18,816	$534,562
Small SignalPoint Asset Management, LLC	16,419	$466,463

Top Sold-Out Positions

vs Mar 31, 2024

Institution	Previously Held	Last Value (USD)
Small Coppell Advisory Solutions Corp.	41,819	$1,203,969
Mid B. Riley Wealth Advisors, Inc.	22,325	$642,736
Small Jaffetilchin Investment Partners, LLC	10,626	$305,922
Mid Signal Advisors Wealth, LLC	9,663	$278,197
Mid Apollon Wealth Management, LLC	9,151	$263,457

Filter: New 8 Increased 25 Reduced 38 Sold out 13 Unchanged 3

Showing 74 of 74

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

Horizon Advisory Services, Inc. FAAR

$18,055,805

18.93%

635,544

ENVESTNET ASSET MANAGEMENT INC FAAR

$9,714,004

10.18%

341,922

LPL Financial LLC FAAR

$5,437,844

5.70%

191,406

OSAIC HOLDINGS, INC. FAAR

$4,026,519

4.22%

141,729

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

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	112,864	$3,206,466	79.6%	Defined
OSAIC INSTITUTIONS, INC.	102	$2,897	0.1%	Defined
ARBOR POINT ADVISORS, LLC	28,710	$815,651	20.3%	Defined
TRIAD ADVISORS, LLC	33	$937	0.0%	Defined
American Portfolios Advisors	20	$568	0.0%	Sole

Authentikos Wealth Advisory, LLC FAAR

$3,844,867

4.03%

135,335

CAPTRUST FINANCIAL ADVISORS FAAR

$3,827,025

4.01%

134,707

Cetera Investment Advisers FAAR

$3,284,622

3.44%

115,615

Walkner Condon Financial Advisors LLC FAAR

$2,647,698

2.78%

93,196

SUSQUEHANNA INTERNATIONAL GROUP, LLP FAAR

$2,330,016

2.44%

82,014

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

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	11,551	$328,163	14.1%	Defined
G1 EXECUTION SERVICES, LLC	70,463	$2,001,853	85.9%	Defined

AVANTAX ADVISORY SERVICES, INC. FAAR

$2,183,422

2.29%

76,854

Raymond James Financial Services Advisors, Inc. FAAR

$2,179,444

2.28%

76,714

Ausdal Financial Partners, Inc. FAAR

$2,043,531

2.14%

71,930

Bank of New York Mellon Corp FAAR

$1,916,737

2.01%

67,467

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.	67,300	$1,911,993	99.8%	Defined
Held directly	167	$4,744	0.2%	Defined

STIFEL FINANCIAL CORP FAAR

$1,914,606

2.01%

67,392

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\	67,392	$1,914,606	100.0%	Defined

FIRST TRUST ADVISORS LP FAAR

$1,808,978

1.90%

63,674

JANE STREET GROUP, LLC FAAR

$1,662,950

1.74%

58,534

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	58,534	$1,662,950	100.0%	Defined

AE Wealth Management LLC FAAR

$1,492,860

1.56%

52,547

Cambridge Investment Research Advisors, Inc. FAAR

$1,472,916

1.54%

51,845

ASSETMARK, INC FAAR

$1,381,464

1.45%

48,626

Atria Wealth Solutions, Inc. FAAR

$1,178,872

1.24%

41,495

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.	14,671	$416,803	35.4%	Defined
SCF Investment Advisors, Inc.	8,702	$247,223	21.0%	Defined
CUSO Financial Services L.P. /CA	18,122	$514,846	43.7%	Defined

COMMONWEALTH EQUITY SERVICES, LLC FAAR

$1,043,272

1.09%

36,722

VIMA LLC FAAR

$1,025,260

1.07%

36,088

IFP Advisors, Inc FAAR

$1,017,049

1.07%

35,799

Orion Portfolio Solutions, LLC FAAR

$998,185

1.05%

35,135

Envestnet Portfolio Solutions, Inc. FAAR

$988,554

1.04%

34,796

Simplicity Wealth,LLC FAAR

$976,991

1.02%

34,389

GeoWealth Management, LLC FAAR

$959,802

1.01%

33,784

FLOW TRADERS U.S. LLC FAAR

$940,456

0.99%

33,103

MERCER GLOBAL ADVISORS INC /ADV FAAR

$800,849

0.84%

28,189

BANK OF MONTREAL /CAN/ FAAR

$748,092

0.78%

26,332

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

Manager	Shares	Value (USD)	% of position	Discretion
BMO Bank N.A.	732	$20,796	2.8%	Defined
BMO NESBITT BURNS INC.	25,600	$727,296	97.2%	Defined

BlueChip Wealth Advisors LLC FAAR

$740,279

0.78%

26,057

Coppell Advisory Solutions LLC FAAR

$677,095

0.71%

23,833

Pinnacle Family Advisors, LLC FAAR

$662,350

0.69%

23,314

Gateway Wealth Partners, LLC FAAR

$635,957

0.67%

22,385

OLD MISSION CAPITAL LLC FAAR

$613,513

0.64%

21,595

NewEdge Wealth, LLC FAAR

$535,102

0.56%

18,835

Atria Investments, Inc FAAR

$534,562

0.56%

18,816

Patriot Financial Group Insurance Agency, LLC FAAR

$523,596

0.55%

18,430

Kestra Advisory Services, LLC FAAR

$511,777

0.54%

18,014

StoneX Group Inc. FAAR

$474,191

0.50%

16,691

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

Manager	Shares	Value (USD)	% of position	Discretion
StoneX Advisors Inc.	16,691	$474,191	100.0%	Defined

SignalPoint Asset Management, LLC FAAR

$466,463

0.49%

16,419

PARK AVENUE SECURITIES LLC FAAR

$456,633

0.48%

16,073

CreativeOne Wealth, LLC FAAR

$452,911

0.47%

15,942

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

Manager	Shares	Value (USD)	% of position	Discretion
CreativeOne Securities	1,653	$46,961	10.4%	Other
Held directly	14,289	$405,950	89.6%	Sole

SCOTIA CAPITAL INC. FAAR

$447,002

0.47%

15,734

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	15,734	$447,002	100.0%	Defined

IAMS WEALTH MANAGEMENT, LLC FAAR

$422,257

0.44%

14,863

Virtue Capital Management, LLC FAAR

$418,166

0.44%

14,719

ROYAL BANK OF CANADA FAAR

$383,306

0.40%

13,492

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	13,112	$372,511	97.2%	Defined
CITY NATIONAL ROCHDALE, LLC	380	$10,795	2.8%	Defined

FSB PREMIER WEALTH MANAGEMENT, INC. FAAR

$383,108

0.40%

13,485

BENJAMIN F. EDWARDS & COMPANY, INC. FAAR

$376,716

0.39%

13,260

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

Manager	Shares	Value (USD)	% of position	Discretion
BENJAMIN EDWARDS INC	13,260	$376,716	100.0%	Defined

Focus Financial Network, Inc. FAAR

$366,091

0.38%

12,886

1776 Wealth LLC FAAR

$360,863

0.38%

12,702

Snowden Capital Advisors LLC FAAR

$325,947

0.34%

11,473

Stratos Wealth Partners, LTD. FAAR

$316,118

0.33%

11,127

Mutual Advisors, LLC FAAR

$294,213

0.31%

10,356

Allworth Financial LP FAAR

$289,327

0.30%

10,184

PFG Advisors FAAR

$277,253

0.29%

9,759

MARIPAU WEALTH MANAGEMENT LLC FAAR

$273,645

0.29%

9,632

Global Retirement Partners, LLC FAAR

$268,985

0.28%

9,468

RFG Advisory, LLC FAAR

$230,518

0.24%

8,114

HARBOUR INVESTMENTS, INC. FAAR

$218,614

0.23%

7,695

PROEQUITIES, INC. FAAR

$140,970

0.15%

4,962

ICA Group Wealth Management, LLC FAAR

$123,356

0.13%

4,342

TUCKER ASSET MANAGEMENT LLC FAAR

$51,876

0.05%

1,826

Hershey Financial Advisers, LLC FAAR

$50,995

0.05%

1,795

Tower Research Capital LLC (TRC) FAAR

$45,228

0.05%

1,592

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	1,592	$45,228	100.0%	Other

Larson Financial Group LLC FAAR

$41,194

0.04%

1,450

Sunbelt Securities, Inc. FAAR

$34,035

0.04%

1,198

PRINCIPAL SECURITIES, INC. FAAR

$25,540

0.03%

899

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC FAAR

$24,148

0.03%

850

BENJAMIN EDWARDS INC FAAR

$16,250

0.02%

572

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

Manager	Shares	Value (USD)	% of position	Discretion
Benjamin F. Edwards Wealth Management, LLC	572	$16,250	100.0%	Defined

MORGAN STANLEY FAAR

$5,595

0.01%

197

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	197	$5,595	100.0%	Defined

UBS Group AG FAAR

$4,261

0.00%

150

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

Manager	Shares	Value (USD)	% of position	Discretion
UBS Securities LLC	150	$4,261	100.0%	Sole

DHJJ Financial Advisors, Ltd. FAAR

$284

0.00%

WELLS FARGO & COMPANY/MN FAAR

$56

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	2	$56	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
Manager 10626	10,626	$305,922	100.0%	Sole

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

Manager	Shares	Value (USD)	% of position	Discretion
55I, LLC	741	$21,333	100.0%	Sole