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: 49

Total Value: $61,222,724

Total Shares: 1,141,151

Institutional Ownership Trend

13 quarters

Holder Concentration

Across 49 13F filers · Δ vs Dec 31, 2022

Top Holder

15.0%

+0.5 pts

Top 5

58.1%

+5.6 pts

Top 10

78.1%

+6.6 pts

HHI

820

Broadly held+128

Quarterly Activity

vs Dec 31, 2022

New

Increased

Decreased

Sold Out

Unchanged

Holder count: -12

Institutional value: -11.4%

Shares held: -8.6%

Top Buyers

vs Dec 31, 2022

Institution	Added	Now Holds
Mid Chicago Partners Investment Group LLC	+10,222	144,005
Small ARKANSAS FINANCIAL GROUP, INC.	+9,785	27,262
Mega MORGAN STANLEY	+8,470	137,076
Large STIFEL FINANCIAL CORP	+3,621	20,199
Mega SUSQUEHANNA INTERNATIONAL GROUP, LLP	+3,437	8,661

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
Small WESCAP Management Group, Inc.	−3,690	36,630
Mega LPL Financial LLC	−3,339	93,044

Top New Positions

vs Dec 31, 2022

Institution	Acquired	Value (USD)
Small Noble Family Wealth, LLC	31,115	$1,669,319
Mega CITIGROUP INC	1,002	$53,757
Mega FMR LLC	42	$2,253
Mid Ameritas Advisory Services, LLC	5	$268

Top Sold-Out Positions

vs Dec 31, 2022

Institution	Previously Held	Last Value (USD)
Small Camelot Portfolios, LLC	25,143	$1,395,185
Mid HB Wealth Management, LLC	25,000	$1,387,250
Large KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC	18,009	$999,319
Large Raymond James Financial Services Advisors, Inc.	15,843	$879,128
Small AIRE ADVISORS, LLC	9,516	$528,042

Filter: New 4 Increased 16 Reduced 21 Sold out 16 Unchanged 8

Showing 49 of 49

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

Baird Financial Group, Inc. FDM

$9,155,587

14.95%

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

Chicago Partners Investment Group LLC FDM

$7,725,868

12.62%

144,005

MORGAN STANLEY FDM

$7,354,127

12.01%

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

10.31%

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

8.15%

93,044

Marquette Asset Management, LLC FDM

$4,609,983

7.53%

85,927

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

$2,577,238

4.21%

48,038

WESCAP Management Group, Inc. FDM

$1,965,199

3.21%

36,630

Noble Family Wealth, LLC FDM

$1,669,319

2.73%

31,115

ARKANSAS FINANCIAL GROUP, INC. FDM

$1,462,606

2.39%

27,262

STIFEL FINANCIAL CORP FDM

$1,083,676

1.77%

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

1.59%

18,153

UBS Group AG FDM

$905,987

1.48%

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

1.41%

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

1.35%

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

1.24%

14,100

CITADEL ADVISORS LLC FDM

$746,593

1.22%

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

1.11%

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

Ausdal Financial Partners, Inc. FDM

$526,521

0.86%

9,814

Cetera Advisors LLC FDM

$523,624

0.86%

9,760

TD AMERITRADE INVESTMENT MANAGEMENT, LLC FDM

$495,564

0.81%

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

Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors FDM

$478,021

0.78%

8,910

SUSQUEHANNA INTERNATIONAL GROUP, LLP FDM

$464,662

0.76%

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

0.72%

8,260

HighTower Advisors, LLC FDM

$390,947

0.64%

7,287

Wagner Wealth Management, LLC FDM

$387,943

0.63%

7,231

ROYAL BANK OF CANADA FDM

$374,583

0.61%

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

0.57%

6,454

Mariner, LLC FDM

$319,485

0.52%

5,955

American Trust FDM

$290,192

0.47%

5,409

MERCER GLOBAL ADVISORS INC /ADV FDM

$271,469

0.44%

5,060

Financial Advocates Investment Management FDM

$256,876

0.42%

4,788

Kestra Advisory Services, LLC FDM

$228,709

0.37%

4,263

TRUIST FINANCIAL CORP FDM

$213,419

0.35%

3,978

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.	3,978	$213,419	100.0%	Defined

Cambridge Investment Research Advisors, Inc. FDM

$201,455

0.33%

3,755

HARBOUR INVESTMENTS, INC. FDM

$92,438

0.15%

1,723

Larson Financial Group LLC FDM

$83,211

0.14%

1,551

CITIGROUP INC FDM

$53,757

0.09%

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

0.06%

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

0.05%

579

Steward Partners Investment Advisory, LLC FDM

$16,148

0.03%

301

Global Retirement Partners, LLC FDM

$12,124

0.02%

226

Belpointe Asset Management LLC FDM

$12,071

0.02%

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

Key Financial Inc FDM

$3,379

0.01%

FMR LLC FDM

$2,253

0.00%

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

Ameritas Advisory Services, LLC FDM

$268

0.00%

PROEQUITIES, INC. FDM

0.00%