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CAAA · First Trust AAA CMBS ETF · Holdings ETF

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$19.73 +0.02 (+0.10%) At close · Oct 1
Volume · Oct 1 6981 Avg daily vol (3M) 5028

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 →
Some SEC filings for this period have not finished importing. Holder totals and changes may be incomplete; these filings remain queued for recovery.
Holders: 21
Total Value: $32,120,662
Total Shares: 1,581,520

Institutional Ownership Trend

10 quarters

Holder Concentration

Across 21 13F filers · Δ vs Mar 31, 2026
Top Holder
39.6%
Mar 2024 → Jun 2026 · range 20.2% – 40.3%
−0.7 pts
Top 5
82.6%
Mar 2024 → Jun 2026 · range 64.6% – 100.0%
+3.1 pts
Top 10
95.6%
Mar 2024 → Jun 2026 · range 91.4% – 100.0%
+1.5 pts
HHI
2,176
Mar 2024 → Jun 2026 · range 1,185 – 2,505
Moderately concentrated−57

Quarterly Activity

vs Mar 31, 2026
New
1
Increased
11
Decreased
5
Sold Out
1
Unchanged
4
Holder count: 0
Institutional value: +15.7%
Shares held: +15.6%

Top Buyers

vs Mar 31, 2026
Institution Added Now Holds Open
COMMONWEALTH EQUITY SERVICES, LLC +123,877 137,011
STAR Financial Bank +75,370 626,482
Platform Technology Partners +75,326 169,633
Farther Finance Advisors, LLC +13,812 77,040
Prospera Financial Services Inc +8,172 295,916

Top Sellers

vs Mar 31, 2026
Institution Sold Now Holds Open
GOLDMAN SACHS GROUP INC −42,455 13,289
Kestra Advisory Services, LLC −31,309 54,601
Belpointe Asset Management LLC −3,242 24,765
INSPIRION WEALTH ADVISORS, LLC −400 29,959
Financial Network Wealth Advisors LLC −114 3,312

Top New Positions

vs Mar 31, 2026
Institution Acquired Value (USD) Open
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 3,750 $76,162

Top Sold-Out Positions

vs Mar 31, 2026
Institution Previously Held Last Value (USD) Open
FLOW TRADERS U.S. LLC 23,056 $468,036
Filter: New 1 Increased 11 Reduced 5 Sold out 1 Unchanged 4
Showing 21 of 21
All Common Calls Puts
Export CSV
Holder Value (USD) % of 13F Shares Open
STAR Financial Bank $12,723,849 39.61% 626,482
Prospera Financial Services Inc $6,010,053 18.71% 295,916
Platform Technology Partners $3,445,246 10.73% 169,633
COMMONWEALTH EQUITY SERVICES, LLC $2,782,693 8.66% 137,011
Farther Finance Advisors, LLC $1,564,682 4.87% 77,040
FIRST TRUST ADVISORS LP $1,376,814 4.29% 67,790
Kestra Advisory Services, LLC $1,108,946 3.45% 54,601
INSPIRION WEALTH ADVISORS, LLC $608,467 1.89% 29,959
Fearless Solutions, LLC dba Best Invest $593,295 1.85% 29,212
Belpointe Asset Management LLC $502,977 1.57% 24,765
JANE STREET GROUP, LLC $302,294 0.94% 14,884
GOLDMAN SACHS GROUP INC $269,899 0.84% 13,289
United Advisor Group, LLC $253,468 0.79% 12,480
Ashton Thomas Private Wealth, LLC $224,263 0.70% 11,042
OSAIC HOLDINGS, INC. $124,337 0.39% 6,122
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC $76,162 0.24% 3,750
Financial Network Wealth Advisors LLC $67,266 0.21% 3,312
Geneos Wealth Management Inc. $60,930 0.19% 3,000
HARBOUR INVESTMENTS, INC. $19,660 0.06% 968
UBS Group AG $4,366 0.01% 215
Rossby Financial, LCC $995 0.00% 49