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First Trust Preferred Securities and Income ETF
FPE

Overview Fund Activity

75 hedge funds and large institutions have $442M invested in First Trust Preferred Securities and Income ETF in 2016 Q1 according to their latest regulatory filings, with 20 funds opening new positions, 35 increasing their positions, 13 reducing their positions, and 5 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
75
Holders Change
+15
Holders Change %
+25%
% of All Funds
2%
Holding in Top 10
4
Holding in Top 10 Change
+2
Holding in Top 10 Change %
+100%
% of All Funds
0.11%
New
20
Increased
35
Reduced
13
Closed
5
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Morgan Stanley
1
Morgan Stanley
New York
$158M
2
MMA
2
Miracle Mile Advisors
California
$24.7M
3
Bank of America
3
Bank of America
North Carolina
$29.6M
4
LPL Financial
4
LPL Financial
California
$44.1M
5
AIG
5
American International Group
New York
$8.63M

Top Sellers

1
TFA
1
Transamerica Financial Advisors
Florida
$173K
2
BCM
2
Brookstone Capital Management
Illinois
$17.9M
3
First Trust Advisors
3
First Trust Advisors
Illinois
$2.33M
4
Janney Montgomery Scott
4
Janney Montgomery Scott
Pennsylvania
$0
5
CIBC World Market
5
CIBC World Market
Ontario, Canada
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
Susquehanna International Group
51
Susquehanna International Group
Pennsylvania
$324K -$68.8K -3,682 -18%
ICOA
52
Investment Centers of America
North Dakota
$300K +$20.2K +1,084 +7%
LA
53
LVW Advisors
New York
$265K – – –
LWAC
54
Laurel Wealth Advisors (California)
California
$254K -$39.4K -2,114 -13%
NPC
55
National Planning Corporation
California
$252K -$82K -4,338 -25%
BAS
56
Brown Advisory Securities
Maryland
$239K – – –
BRWA
57
B. Riley Wealth Advisors
Florida
$235K +$117K +12,049 +99%
EWM
58
Empirical Wealth Management
Washington
$233K +$233K +12,493 New
UR
59
USCA RIA
Texas
$230K +$298 +16 +0.1%
PNC Financial Services Group
60
PNC Financial Services Group
Pennsylvania
$218K +$95.2K +5,122 +77%
CWM
61
Cornerstone Wealth Management
Missouri
$205K +$205K +7,007 New
TFA
62
Transamerica Financial Advisors
Florida
$173K -$5.38M -287,615 -97%
FAM
63
Formidable Asset Management
Ohio
$166K – – –
AA
64
Apriem Advisors
California
$164K +$164K +8,800 New
WT
65
Whittier Trust
California
$93K – – –
BFEC
66
Benjamin F. Edwards & Company
Missouri
$44K +$280 +15 +0.6%
SAM
67
Shamrock Asset Management
Texas
$30K – – –
WEC
68
Winslow Evans & Crocker
Massachusetts
$28K -$1.87K -100 -6%
GWM
69
Geneos Wealth Management
Colorado
$28K +$28K +1,533 New
Creative Planning
70
Creative Planning
Kansas
$25K +$25K +1,315 New
DADC
71
D.A. Davidson & Co
Montana
$15K – – –
CAL
72
Capital Advisors Ltd
Ohio
$10K +$10K +544 New
WA
73
WFG Advisors
Texas
$9K -$5.49K -305 -38%
IWM
74
Integrated Wealth Management
California
$6K – – –
GI
75
Gradient Investments
Minnesota
$3K +$3K +154 New
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3
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