SecurityQTEC / First Trust NASDAQ-100 Technology Sector Index Fund (337345102)
Institutional Owners131
Form N-Q Owners1
Institutional Shares27,578,154 (ex. N-Q)
Institutional Value$ 4,721,273,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

First Trust NASDAQ-100 Technology Sector Index Fund (NASDAQ:QTEC) has 131 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 27,578,154 shares. Largest shareholders include First Trust Portfolios Lp, First Trust Advisors Lp, Morgan Stanley, Wells Fargo & Company/mn, UBS Group AG, Bank Of America Corp /de/, Raymond James & Associates, LPL Financial LLC, Mml Investors Services, Llc, and Raymond James Financial Services Advisors, Inc..

First Trust NASDAQ-100 Technology Sector Index Fund (NASDAQ:QTEC) ownership summary shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.

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File DateFormInvestor Opt Prev Shares Current Shares Change
(Percent)
Prev Value (x$1000) Current Value (x$1000) Change
(Percent)
2018-01-12 13F-HR First Command Financial Services, Inc. 247 247 0.00 17 18 5.88
2018-02-15 13F-HR Financial Advocates Investment Management 13,232 952
2018-02-22 13F-HR Cambridge Investment Research Advisors, Inc. 76,646 39,244 -48.80 5,223 2,823 -45.95
2018-02-08 13F-HR Cetera Advisors LLC 11,278 9,511 -15.67 767 687 -10.43
2018-02-12 13F-HR Navellier & Associates Inc 333,620 115,105 -65.50 22,736 8,281 -63.58
2018-02-13 13F-HR MML INVESTORS SERVICES, LLC 482,595 478,290 -0.89 32,889 34,408 4.62
2018-02-12 13F-HR Commonwealth Equity Services, Llc. 47,076 3,387
2018-02-07 13F-HR Texas Yale Capital Corp. 17,274 12,074 -30.10 1,177 869 -26.17
2018-02-08 13F-HR Advisory Services Network, LLC 0 43,983 0 3,164
2018-02-12 13F-HR Financial Architects, Inc 895 895 0.00 61 64 4.92
2018-02-08 13F-HR D.A. DAVIDSON & CO. 36,057 36,427 1.03 2,457 2,621 6.67
2018-01-16 13F-HR Liberty Capital Management, Inc. 33 33 0.00 2 3 50.00
2018-01-31 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 825 453 -45.09 56 33 -41.07
2018-02-08 13F-HR Global Financial Private Capital, LLC 16,251 19,076 17.38 1,108 1,372 23.83
2018-02-05 13F-HR BANK HAPOALIM BM 37,140 36,651 -1.32 2,531 2,637 4.19
2018-01-16 13F-HR CWM, LLC 88,902 86,893 -2.26 6,059 6,251 3.17
2018-02-09 13F-HR CITADEL ADVISORS LLC 43,962 0 -100.00 2,996 0 -100.00
2018-01-23 13F-HR CENTRAL TRUST Co 182 182 0.00 12 13 8.33
2018-02-16 13F-HR WEALTHSOURCE PARTNERS, LLC 5,874 0 -100.00 400 0 -100.00
2018-02-01 13F-HR NORTHWEST INVESTMENT COUNSELORS, LLC 477 0 -100.00 33 0 -100.00
2018-02-14 13F-HR Dorsey Wright & Associates 26,740 25,297 -5.40 1,822 1,820 -0.11
2018-02-15 13F-HR JANE STREET GROUP, LLC 44,421 28,154 -36.62 3,027 2,025 -33.10
2018-02-14 13F-HR STIFEL FINANCIAL CORP 168,727 107,353 -36.37 11,488 7,732 -32.69
2018-02-13 13F-HR UNITED CAPITAL FINANCIAL ADVISERS, LLC 18,991 17,712 -6.73 1,294 1,274 -1.55
2018-02-09 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 11,034 10,163 -7.89 752 731 -2.79
2018-02-14 13F-HR MORGAN STANLEY 2,617,940 2,490,931 -4.85 178,412 179,197 0.44
2018-02-08 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 29 322 1,010.34 2 23 1,050.00
2018-01-17 13F-HR HWG Holdings LP 41,958 10,788 -74.29 2,859 776 -72.86
2018-01-26 13F-HR Whitnell & Co. 163 12
2018-01-16 13F-HR OPTIMUM INVESTMENT ADVISORS 21,987 22,137 0.68 1,498 1,593 6.34
2018-01-16 13F-HR BANK OF MONTREAL /CAN/ 0 153 0 11
2018-01-17 13F-HR BENJAMIN F. EDWARDS & COMPANY, INC. 94,749 150,076 58.39 6,457 10,796 67.20
2018-01-19 13F-HR Steward Partners Investment Advisory, Llc 100 176 76.00 6 12 100.00
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 7,600 9,700 27.63 518 698 34.75
2018-02-16 13F-HR/A-1 CAPTRUST FINANCIAL ADVISORS 250 18
2018-01-25 13F-HR FOUNDERS FINANCIAL SECURITIES LLC 9,906 9,245 -6.67 675 665 -1.48
2018-01-12 13F-HR First Command Bank 247 247 0.00 17 18 5.88
2018-02-08 13F-HR Cetera Investment Advisers 4,126 5,666 37.32 280 411 46.79
2017-09-26 N-Q Capitol Series Trust (see advisory)
2018-02-15 13F-HR BB&T SECURITIES, LLC 166,957 53,223 -68.12 11,378 3,828 -66.36
2018-02-15 13F-HR MEITAV DASH INVESTMENTS LTD 40,461 2,900
2018-02-08 13F-HR Cetera Advisor Networks LLC 6,833 8,521 24.70 467 614 31.48
2018-02-09 13F-HR USCA RIA LLC 23,442 0 -100.00 1,463 0 -100.00
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ 850,194 745,717 -12.29 57,941 53,647 -7.41
2017-11-13 13F-HR ENVESTNET ASSET MANAGEMENT INC 298,495 0 -100.00 18,622 0 -100.00
2018-02-09 13F-HR Raymond James Financial Services Advisors, Inc. 501,502 438,667 -12.53 34,179 31,557 -7.67
2018-02-14 13F-HR RAYMOND JAMES & ASSOCIATES 581,778 660,717 13.57 39,649 47,533 19.88
2018-02-09 13F-HR Stratos Wealth Partners, LTD. 4,238 6,494 53.23 289 467 61.59
2018-02-06 13F-HR MCF Advisors LLC 72 72 0.00 5 5 0.00
2018-02-05 13F-HR QCI ASSET MANAGEMENT INC/NY 1,070 77
2018-02-08 13F-HR AVIANCE CAPITAL MANAGEMENT, LLC 0 90,117 0 6,483
2018-02-12 13F-HR Santori & Peters, Inc. 4,725 336
2018-02-14 13F-HR Patriot Financial Group Insurance Agency, LLC 1,081 1,081 0.00 75 81 8.00
2018-02-09 13F-HR INTL FCSTONE INC. 5,958 6,551 9.95 406 471 16.01
2017-11-07 13F-HR Timber Hill LLC 6,682 0 -100.00 417 0 -100.00
2018-02-08 13F-HR Psagot Investment House Ltd. 207,059 14,896
2018-02-12 13F-HR Blackhawk Capital Partners Llc. 1,271 91
2018-02-07 13F-HR Sigma Planning Corp 27,764 27,411 -1.27 1,892 1,972 4.23
2018-02-09 13F-HR Baird Financial Group, Inc. 69,960 61,391 -12.25 4,768 4,416 -7.38
2018-02-13 13F-HR Intellectus Partners, LLC 200 0 -100.00 14 0 -100.00
2018-02-14 13F-HR IHT Wealth Management, LLC 6,850 7,531 9.94 475 570 20.00
2018-02-08 13F-HR SEI INVESTMENTS CO 62 292 370.97 4 21 425.00
2018-01-16 13F-HR SPC Financial, Inc. 19,775 20,332 2.82 1,348 1,463 8.53
2018-01-17 13F-HR Cutler Group LP Put 2,200 1,600 -27.27 1 0 -100.00
2018-02-06 13F-HR Migdal Insurance & Financial Holdings Ltd. 68,889 67,044 -2.68 4,695 4,823 2.73
2018-02-09 13F-HR COMERICA SECURITIES INC 8,043 7,697 -4.30 548 554 1.09
2018-01-24 13F-HR IFP Advisors, Inc 8,960 17,547 95.84 611 1,262 106.55
2018-01-17 13F-HR Hirtle Callaghan & Co LLC 21 2
2018-01-17 13F-HR DAVENPORT & Co LLC 20,335 43,541 114.12 1,385,830 3,132,340 126.03
2018-02-14 13F-HR HighTower Advisors, LLC 0 3,013 0 218
2018-02-05 13F-HR Jacobi Capital Management LLC 6,966 7,537 8.20 484 571 17.98
2018-01-26 13F-HR Legacy Advisors, Llc 255 18
2018-02-13 13F-HR Harwood Advisory Group, LLC 5,429 391
2018-01-30 13F-HR Private Advisory Group LLC 12,092 11,261 -6.87 824 810 -1.70
2018-02-14 13F-HR ROYAL BANK OF CANADA 235,892 236,136 0.10 16,076 16,987 5.67
2018-02-14 13F-HR WOLVERINE TRADING, LLC Call 6,900 2,800 -59.42 470 201 -57.23
2018-02-22 13F-HR LifePlan Financial Group, Inc 8,907 8,907 0.00 607 607 0.00
2018-02-14 13F-HR Wealthcare Advisory Partners LLC 670 48
2018-02-09 13F-HR PALISADE CAPITAL MANAGEMENT LLC/NJ 9,500 5,500 -42.11 647 396 -38.79
2018-02-15 13F-HR EP Wealth Advisors, Inc. 43,755 36,685 -16.16 2,982 2,639 -11.50
2018-02-14 13F-HR/A-1 Horizon Investments, LLC 9,866 9,205 -6.70 620 579 -6.61
2018-02-09 13F-HR Transamerica Financial Advisors, Inc. 74,424 47,803 -35.77 5,072 3,439 -32.20
2018-02-08 13F-HR Goss Wealth Management LLC 81,386 89,246 9.66 5,649 6,758 19.63
2018-02-14 13F-HR LPL Financial LLC 437,851 509,559 16.38 29,840 36,658 22.85
2018-02-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 80,627 80,231 -0.49 5,495 5,774 5.08
2018-02-14 13F-HR Janney Montgomery Scott LLC 193,178 200,435 3.76 13,165 14,419 9.53
2018-02-15 13F-HR Capital Directions Investment Advisors, LLC 186 186 0.00 13 13 0.00
2018-02-14 13F-HR Clearbridge Investments, LLC 60 0 -100.00 4 0 -100.00
2017-11-07 13F-HR Strategic Wealth Advisors Group,Inc. 10,442 712
2018-02-06 13F-HR Regal Investment Advisors LLC 12,212 13,927 14.04 832 1,002 20.43
2018-02-07 13F-HR OPPENHEIMER & CO INC 18,179 23,345 28.42 1,239 1,679 35.51
2018-02-02 13F-HR/A-1 Bellwether Investment Group, LLC 8,505 8,618 1.33 580 619 6.72
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 23,678 23,118 -2.37 1,614 1,663 3.04
2018-02-09 13F-HR WealthTrust Fairport, LLC 9,820 11,398 16.07 669 820 22.57
2018-02-16 13F-HR/A-1 Commonwealth Equity Services, Inc 43,332 46,628 7.61 2,704 3,178 17.53
2018-01-17 13F-HR Cutler Group LP 6,555 0 -100.00 446 0 -100.00
2018-02-09 13F-HR Gateway Advisory, LLC 45,152 54,244 20.14 3,077 3,902 26.81
2018-02-08 13F-HR First Allied Advisory Services, Inc. 3,529 8,324 135.87 240 598 149.17
2018-01-17 13F-HR Creative Planning 0 3,146 0 226
2018-02-13 13F-HR JP Morgan Chase & Co 19,263 21,630 12.29 1,300 1,556 19.69
2018-02-14 13F-HR Virtue Capital Management, Llc 14,144 1,018
2017-11-08 13F-HR NEXT Financial Group, Inc 92 0 -100.00 6,000 0 -100.00
2018-01-29 13F-HR NewSquare Capital LLC 252,521 233,127 -7.68 16,066 16,771 4.39
2018-01-31 13F-HR IFC Holdings Incorporated/FL 11,388 11,457 0.61 774 825 6.59
2017-11-15 13F-HR First Heartland Consultants, Inc. 66,106 67,164 1.60 4,124 4,577 10.98
2018-02-09 13F-HR WEDBUSH SECURITIES INC 6,467 13,598 110.27 441 978 121.77
2017-11-22 13F-HR/A-1 National Planning Corp 4,210 5,846 38.86 260 398 53.08
2018-02-08 13F-HR FIRST TRUST ADVISORS LP 8,387,080 7,543,332 -10.06 571,580 542,667 -5.06
2018-02-09 13F-HR HONKAMP KRUEGER FINANCIAL SERVICES INC /ADV 3,008 0 -100.00 205 0 -100.00
2018-02-12 13F-HR CITIGROUP INC 8,830 14,157 60.33 602 1,018 69.10
2018-02-07 13F-HR Private Advisor Group, LLC 16,517 7,503 -54.57 1,146 566 -50.61
2018-02-14 13F-HR Financial Partners Group, Inc 32,793 2,359
2018-01-17 13F-HR Cutler Group LP Call 200 1,100 450.00 1 2 100.00
2018-02-14 13F-HR UBS Group AG 871,994 870,420 -0.18 59,426 62,618 5.37
2018-02-01 13F-HR HL FINANCIAL SERVICES LLC 134,794 133,518 -0.95 9,186 9,606 4.57
2018-02-14 13F-HR G&s Capital Llc 58,213 4,188
2018-02-14 13F-HR Advisor Group, Inc. 76,578 80,581 5.23 5,219 5,797 11.07
2018-02-14 13F-HR Alpine Partners VI, LLC 17,581 0 -100.00 1,198 0 -100.00
2018-02-14 13F-HR Belpointe Asset Management Llc 3,466 4,690 35.31 236 337 42.80
2018-02-14 13F-HR Parallax Volatility Advisers, L.P. 1 1 0.00 0 0
2018-02-14 13F-HR Voya Financial Advisors, Inc. 5,225 6,273 20.06 353 455 28.90
2018-01-12 13F-HR ATRIA INVESTMENTS LLC 5,273 0 -100.00 359 0 -100.00
2018-01-19 13F-HR Financial Management Professionals, Inc. 33,463 33,121 -1.02 2,279 2,382 4.52
2018-02-12 13F-HR AMERIPRISE FINANCIAL INC 168,656 174,478 3.45 11,498 12,570 9.32
2018-02-14 13F-HR GOLDMAN SACHS GROUP INC 44,958 0 -100.00 3,064 0 -100.00
2018-01-29 13F-HR Chessman Wealth Strategies Ria 69,744 5,017
2018-02-02 13F-HR Kuntz Lesher Capital LLC 6,480 6,480 0.00 442 466 5.43
2018-01-19 13F-HR Winslow, Evans & Crocker, Inc. 2,310 2,100 -9.09 157,428 151,004 -4.08
2018-02-12 13F-HR Argent Trust Co 3,499 3,499 0.00 238 252 5.88
2018-02-14 13F-HR TWO SIGMA SECURITIES, LLC 3,593 0 -100.00 245 0 -100.00
2018-01-11 SC 13G/A FIRST TRUST PORTFOLIOS LP 7,543,332
2018-02-05 13F-HR STEPHENS INC /AR/ 39,437 38,274 -2.95 2,688 2,753 2.42
2018-02-09 13F-HR Virtu Financial LLC 18,607 35,993 93.44 1,268 2,589 104.18
2018-01-18 13F-HR REGIONS FINANCIAL CORP 119 9
2018-02-08 13F-HR WELLS FARGO & COMPANY/MN 2,402,547 2,349,276 -2.22 163,734 169,007 3.22
2018-02-08 13F-HR Squar Milner Financial Services Llc 6,738 526
2018-01-23 13F-HR Prospera Financial Services 13,251 13,876 4.72 907 1,029 13.45
2018-02-01 13F-HR Harel Insurance Investments & Financial Services Ltd. 2,851 4,000 40.30 194 288 48.45
2017-10-26 13F-HR Segment Wealth Management, LLC 7,859 0 -100.00 490 0 -100.00
2018-01-31 13F-HR NORTHWEST WEALTH MANAGEMENT, LLC 0 4,484 0 323
2018-02-14 13F-HR MILLENNIUM MANAGEMENT LLC 27,210 1,957
2018-02-07 13F-HR Brookstone Capital Management 159,321 134,026 -15.88 10,858 9,642 -11.20
2018-02-09 13F-HR Tower Research Capital LLC (TRC) 12,489 24,703 97.80 851 1,777 108.81
2018-01-24 13F-HR SG Americas Securities, LLC 3,067 4,903 59.86 209 353 68.90
2018-02-09 13F-HR SUNTRUST BANKS INC 144,963 138,786 -4.26 9,878 9,984 1.07
2018-02-14 13F-HR Covington Capital Management 650 650 0.00 44 47 6.82
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 25,900 0 -100.00 1,765 0 -100.00
2018-02-16 13F-HR We Are One Seven, Llc 13,583 977
2018-02-08 13F-HR ATWOOD & PALMER INC 33,320 27,290 -18.10 2,271 1,963 -13.56
2018-02-02 13F-HR Claraphi Advisory Network, Llc 11,036 794

Form N-Q Advisory - Experimental Feature Here!

We have recently started to include coverage of N-Q filers in our ownership database. N-Q forms are unstructured and difficult for machines to parse into accurate financial data.

However, Because of the large number of these institutions and this difficulty in tracking their positions, they represent a significant, yet hidden, market force. In an effort to widen our ownership coverage and provide greater transparency, we are testing various ways to expose these owners in an accurate manner. This early version of the crawler simply identifies mentions of companies in the N-Q forms.

Limitations:

  • We only list underlying securities (the ordinary shares), even though the actual security held might be a derivative or a related bond issue. For example, although the institution is shown on this security page ( QTEC / First Trust NASDAQ-100 Technology Sector Index Fund ), the institution may actually own a related security such as a preferred share or a bond. To find out the exact security, click on the institution link and then follow the link to the actual "N-Q".
  • We only list fund sponsors as institutions, even though the security might be held within a fund operated by the listed institution.. For example, the institution listed in the table as the owner is probably a sponsor of a family of ETFs or mutual funds. If so, then this security is owned by a fund or several funds within the family, and not directly owned by the listed institution. The crawler is not yet able to place these holdings within the individual funds. Atain, you must review the actual filing to see the detail.

These limitations are significant but we believe that the increased transparency outweights the limitations. Future revisions of the crawler will resolve these limitations. Use this information at your own risk!


CUSIP: 337345102