FPEI · First Trust Institutional Preferred Securities and Income ETF · Holdings ETF

$18.36 -0.03 (-0.16%)

Volume · Oct 22 12.04K Avg daily vol (3M) 508.48K

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 →

Institutional holdings are being reconciled with SEC filings. Holder totals and changes may be incomplete until reconciliation finishes.

Quarter:

Holders: 43

Total Value: $84,544,211

Total Shares: 4,584,828

Institutional Ownership Trend

27 quarters

Holder Concentration

Across 43 13F filers · Δ vs Jun 30, 2026

Top Holder

26.5%

+1.9 pts

Top 5

68.9%

+12.1 pts

Top 10

80.8%

+11.2 pts

HHI

1,233

Broadly held+285

Who Holds FPEI

Last 8 quarters through Sep 30, 2026 (filing window open)

Each kind of 13F filer's share of the common shares 13F filers report. Holder type comes from regulatory records, never the filer's name; style, turnover and horizon are measured from each filer's own 13F book. The quarter selector does not change this card.

Jun 30, 2026, the newest closed quarter: 216 filers, like-for-like change +0.4%; actively managed books +0.8%; index-like books -0.7%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	25.2%	149	+1.3%	10	8
Adviser	0.2%	1	-0.2%	0	1
Bank	31.1%	9	+2.7%	0	0
Insurer	0.0%	1	-52.7%	0	0
Broker-dealer	5.6%	1	+5.1%	0	0
Non-US	0.0%	1	+40.0%	0	0
Holding company	25.6%	3	-0.4%	0	0
Exempt adviser	0.0%	0	—	0	0
Unknown	12.2%	51	-7.0%	6	4

Style	Share	Filers	Change	New	Exited
Index-like	24.7%	2	-0.7%	0	0
Concentrated	9.3%	51	+16.1%	8	0
Diversified active	66.1%	163	-1.0%	8	13
Systematic-like	0.0%	0	—	0	0
Not measured	0.0%	0	—	0	0
Unknown	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	81.3%	162	+2.0%	13	9
Medium turnover	16.8%	36	+1.3%	0	2
High turnover	0.1%	3	-96.3%	1	2
Unknown	1.9%	15	+93.4%	2	0
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	1.7%	15	+117.3%	4	0
Medium horizon	8.1%	51	+3.4%	6	2
Long horizon	88.6%	143	-0.5%	6	10
Unknown	1.6%	7	-14.0%	0	1
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	12.1%	100	+8.8%	10	3
$1B to $10B	14.0%	66	+6.4%	5	7
$10B to $100B	10.9%	35	-1.5%	0	1
$100B or more	63.1%	15	-1.9%	1	2
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	24.7%	138	+1.3%	9	8
Pooled investment vehicles	0.0%	2	new	1	0
Registered funds and BDCs	0.3%	1	-1.4%	0	0
Pension and profit sharing plans	0.1%	2	+57.4%	0	0
Charitable organizations	0.0%	1	-2.3%	0	0
Other investment advisers	0.1%	3	-0.3%	0	0
Diversified	0.0%	2	-3.4%	0	0
Corporations	0.0%	0	—	0	0
Unknown	74.8%	67	+0.1%	6	5

Private funds	Share	Filers	Change	New	Exited
Hedge funds	0.5%	5	+0.8%	1	0
Private equity funds	0.3%	3	-10.3%	0	0
Real estate funds	0.0%	2	0.0%	0	0
Securitized asset funds	0.0%	1	-5.9%	0	0
Other private funds	1.5%	10	+3.5%	0	0
Mixed private funds	0.0%	0	—	0	0
No private funds	22.9%	128	+1.4%	9	8
Private funds, type not stated	0.0%	0	—	0	0
Unknown	74.8%	67	+0.1%	6	5

Location	Share	Filers	Change	New	Exited
United States	79.3%	210	+0.3%	16	13
Outside the US	20.7%	6	+0.8%	0	0

The Sep 30, 2026 filing window is still open, so its bar shows only the filers that have filed so far.

How the mix is measured

Shares are 13F common shares restated to today's split basis; options and principal amounts are left out. The change compares only filers with a 13F in both quarters and keeps each filer in its bucket of the later quarter on both sides; a filer that continues under a new CIK is compared through its successor. Holder type comes from each filer's current regulatory profile; client base and private funds come from the Form ADV roster current at each quarter end (rosters from December 2019, so an earlier quarter reads Unknown). Style, turnover, horizon and book size are measured from each filer's 13F book in the newest measured quarter, and Not measured means none was. Actively managed books are those measured systematic-like, concentrated or diversified active.

Excluded 4 holders with no observed 2026-03-31 13F and 1 holder with no observed 2026-06-30 13F. Compared across CIK changes: Trask Adam Roland continues as Burnham & Co LLC.

Conviction and Crowding

216 13F filers, quarter ended Jun 30, 2026

Measured across every 13F filer's common-share book once the quarter's filing window closed. Crowding counts filers with high turnover or that advise private funds on Form ADV.

Conviction holders

5.09% of filers hold it in their top 10

Mar 31, 2026: 13

Holders above 5%

median weight 0.034%

Mar 31, 2026: 1

Crowding

—

shares outstanding is an issuer-wide count, not one listing's

Private-fund advisers

—

of shares outstanding

Institutional ownership

—

shares outstanding is an issuer-wide count, not one listing's

Top 10 holders

69.6%

of 13F shares, Herfindahl 0.095

Active holders

+0.8%

like-for-like share change of active filers

5% stakes on record

0 13D, 0 13G

How long holders have held it value-weighted 20.5 quarters

Under 1 year 3.87% 1 to 3 years 18.1% 3 years or more 78.1% Since coverage start 0.000%

Managers in the top fifth by current three-year FundScore alpha were net buyers of $0 (0 buying, 0 selling).

Estimated Holder Cost Basis

Quarter ended Jun 30, 2026, on that quarter's share basis

Estimated, never filed: each 13F buy is costed at its quarter's average traded price and each sale keeps the average cost, so this is what holders paid on average if they traded evenly through each quarter.

Estimated avg cost

$18.64

estimated per share

Mar 31, 2026: $18.63

Quarter-end price

$19.29

implied by 13F values

Estimated gain or loss

+3.5%

price against the estimated cost

Estimated at a loss

6.35%

of costed 13F value

Estimated cost covers 29.8% of the 13F shares; positions already held when a filer's 13F history starts, or bought in a quarter without a trusted average price, have no estimate.

Fund Ownership of FPEI by Fund Type

Registered funds' Form N-PORT reports for the quarter ended Jun 30, 2026

Index funds and index ETFs hold 0 shares.

Fund type	Shares	Funds
Index funds	0	0
Index ETFs	0	0
Active ETFs	211,847	1
Active funds	0	0
Unclassified	0	0
All registered funds	211,847	1

How fund types are measured

Each fund series counts once, with its latest Form N-PORT report dated inside the quarter; only long share positions count, restated to today's split basis. The fund type is the series' latest Form N-CEN answer on or before the quarter end (the index-fund box and the exchange-traded flag), never its name. Unclassified funds have no usable N-CEN; unit investment trusts are among them, so index ownership is a floor. Funds sit inside their advisers' 13F reports, so these shares overlap the 13F figures and are never added to them.

Quarterly Activity

vs Jun 30, 2026

New

Increased

Decreased

Sold Out

Unchanged

New and Sold Out count only filers that reported a 13F for both quarters: a first-time filer's book is not a buy, and a fund that has not filed, or withheld its positions under confidential treatment, has not sold.

Holder count: -173

Institutional value: -94.5%

Shares held: -94.3%

Top Buyers

vs Jun 30, 2026

Institution	Added	Now Holds
Mid PARK NATIONAL CORP /OH/	+77,591	531,455
Mid Annex Advisory Services, LLC	+70,956	1,217,165
Small True Blue Financial, LLC	+22,657	147,412
Small Investment Partners Asset Management, Inc.	+18,775	101,534
Mid Fifth Third Securities, Inc.	+9,268	65,698

Top Sellers

vs Jun 30, 2026

Institution	Sold	Now Holds
Mid McAdam, LLC	−44,613	494,468
Small Princeton Global Asset Management LLC	−24,814	21,896
Small WINNOW WEALTH LLC	−8,874	25,093
Small Essex LLC	−6,521	641,282
Small ADAMSBROWN WEALTH CONSULTANTS LLC	−5,315	273,082

Top New Positions

vs Jun 30, 2026

Institution	Acquired	Value (USD)
Large WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	35,173	$648,590
Small Encompass More Asset Management	13,475	$248,479
Large Concurrent Investment Advisors, LLC	12,247	$225,834
Mid INDEPENDENT FINANCIAL GROUP, LLC	10,438	$192,476
Small GK Wealth Management LLC	76	$1,401

Top Sold-Out Positions

vs Jun 30, 2026

Institution	Previously Held	Last Value (USD)	Open
Small Flavin Financial Services, Inc.	39,264	$757,402

Filter: New 6 Increased 22 Reduced 12 Sold out 1 Unchanged 3

Holder type: Registered adviser 32 Bank 1 Unknown 10

Showing 43 of 43

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

Annex Advisory Services, LLC FPEI

$22,444,522

26.55%

1,217,165

Essex LLC FPEI

$11,825,240

13.99%

641,282

PARK NATIONAL CORP /OH/ FPEI

$9,800,030

11.59%

531,455

McAdam, LLC FPEI

$9,117,989

10.78%

494,468

ADAMSBROWN WEALTH CONSULTANTS LLC FPEI

$5,035,632

5.96%

273,082

True Blue Financial, LLC FPEI

$2,718,277

3.22%

147,412

WINEBRENNER CAPITAL MANAGEMENT LLC FPEI

$2,309,314

2.73%

125,234

Investment Partners Asset Management, Inc. FPEI

$1,872,286

2.21%

101,534

BEACON FINANCIAL GROUP FPEI

$1,816,893

2.15%

98,530

Walker Asset Management, LLC FPEI

$1,396,203

1.65%

75,716

SUTTON PLACE INVESTORS LLC FPEI

$1,375,421

1.63%

74,589

Fifth Third Securities, Inc. FPEI

$1,211,471

1.43%

65,698

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	65,698	$1,211,471	100.0%	Defined

QP WEALTH MANAGEMENT, LLC FPEI

$951,651

1.13%

51,608

Beacon Financial Advisory LLC FPEI

$927,993

1.10%

50,325

IFP Advisors, Inc FPEI

$922,313

1.09%

50,017

Magnus Financial Group LLC FPEI

$908,760

1.07%

49,282

ASSETMARK, INC FPEI

$795,464

0.94%

43,138

SHELTON WEALTH MANAGEMENT, LLC FPEI

$789,213

0.93%

42,799

Wealthcare Advisory Partners LLC FPEI

$778,057

0.92%

42,194

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC FPEI

$648,590

0.77%

35,173

ELEVATION WEALTH PARTNERS, LLC FPEI

$586,926

0.69%

31,829

Capital Advisors Wealth Management, LLC FPEI

$570,312

0.67%

30,928

FLAGSTAR ADVISORS INC FPEI

$545,787

0.65%

29,598

Atria Investments, Inc FPEI

$497,013

0.59%

26,953

Financial Partners Group, Inc FPEI

$493,435

0.58%

26,759

WINNOW WEALTH LLC FPEI

$462,714

0.55%

25,093

Princeton Global Asset Management LLC FPEI

$403,762

0.48%

21,896

Wagner Wealth Management, LLC FPEI

$379,587

0.45%

20,585

Independent Wealth Network Inc. FPEI

$360,852

0.43%

19,569

Maia Wealth LLC FPEI

$357,238

0.42%

19,373

Main Line Retirement Advisors, LLC FPEI

$336,364

0.40%

18,241

PRIVATE TRUST CO NA FPEI

$252,296

0.30%

13,682

Encompass More Asset Management FPEI

$248,479

0.29%

13,475

Integrated Advisors Network LLC FPEI

$233,007

0.28%

12,636

Concurrent Investment Advisors, LLC FPEI

$225,834

0.27%

12,247

J. L. Bainbridge & Co., Inc. FPEI

$221,224

0.26%

11,997

Accel Wealth Management FPEI

$209,109

0.25%

11,340

INDEPENDENT FINANCIAL GROUP, LLC FPEI

$192,476

0.23%

10,438

WESTCO ADVISORY SERVICES INC /ADV FPEI

$184,602

0.22%

10,011

Farther Finance Advisors, LLC FPEI

$125,853

0.15%

6,825

Triumph Capital Management FPEI

$9,220

0.01%

500

TOTH FINANCIAL ADVISORY CORP FPEI

$1,401

0.00%

GK Wealth Management LLC FPEI

$1,401

0.00%