FIRST TRUST EXCHANGE-TRADED FUND IV - CAAA
Detailed investor-level table based on 13F positions.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| STAR Financial Bank | History | No change | 626,482 | 12,723 | 5.18% | 5.18% | 1 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| Prospera Financial Services Inc | History | Reduced | 295,417 | 5,878 | 0.08% | 0.09% | 2 | -499 | -0.17% | Q3 2026 | Nov 04, 2026 |
| Platform Technology Partners | History | Reduced | 158,025 | 3,114 | 0.49% | 0.56% | 3 | -11,608 | -6.84% | Q3 2026 | Nov 02, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Added to | 137,847 | 2,716 | 0.0% | 0.0% | 4 | +836 | 0.61% | Q3 2026 | Nov 02, 2026 |
| Farther Finance Advisors, LLC | History | Added to | 88,382 | 1,742 | 0.01% | 0.01% | 5 | +11,342 | 14.72% | Q3 2026 | Oct 08, 2026 |
| FIRST TRUST ADVISORS LP | History | No change | 67,790 | 1,376 | 0.0% | 0.0% | 6 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Kestra Advisory Services, LLC | History | Added to | 58,098 | 1,145 | 0.0% | 0.0% | 7 | +3,497 | 6.4% | Q3 2026 | Nov 02, 2026 |
| Belpointe Asset Management LLC | History | Added to | 26,891 | 530 | 0.01% | 0.02% | 8 | +2,126 | 8.58% | Q3 2026 | Nov 09, 2026 |
| INSPIRION WEALTH ADVISORS, LLC | History | Reduced | 26,509 | 522 | 0.06% | 0.07% | 9 | -3,450 | -11.52% | Q3 2026 | Oct 08, 2026 |
| Fearless Solutions, LLC dba Best Invest | History | Reduced | 24,822 | 489 | 0.25% | 0.31% | 10 | -4,390 | -15.03% | Q3 2026 | Oct 14, 2026 |
| Gaddis Premier Wealth Advisors LLC | History | New | 19,743 | 389 | 0.21% | — | 11 | +19,743 | New | Q3 2026 | Oct 29, 2026 |
| JANE STREET GROUP, LLC | History | No change | 14,884 | 302 | 0.0% | 0.0% | 12 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| United Advisor Group, LLC | History | Added to | 13,847 | 272 | 0.03% | 0.03% | 13 | +1,367 | 10.95% | Q3 2026 | Nov 02, 2026 |
| GOLDMAN SACHS GROUP INC | History | No change | 13,289 | 269 | 0.0% | 0.0% | 14 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Ashton Thomas Private Wealth, LLC | History | Reduced | 8,590 | 169 | 0.0% | 0.0% | 15 | -2,452 | -22.21% | Q3 2026 | Nov 02, 2026 |
| OSAIC HOLDINGS, INC. | History | No change | 6,122 | 124 | 0.0% | 0.0% | 16 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Financial Network Wealth Advisors LLC | History | Reduced | 3,126 | 61 | 0.06% | 0.07% | 17 | -186 | -5.62% | Q3 2026 | Oct 27, 2026 |
| Geneos Wealth Management Inc. | History | No change | 3,000 | 59 | 0.0% | 0.0% | 18 | 0 | 0.0% | Q3 2026 | Nov 09, 2026 |
| HARBOUR INVESTMENTS, INC. | History | No change | 968 | 19 | 0.0% | 0.0% | 19 | 0 | 0.0% | Q3 2026 | Nov 09, 2026 |
| UBS Group AG | History | Reduced | 118 | 2 | 0.0% | 0.0% | 20 | -97 | -45.12% | Q3 2026 | Nov 10, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -3,750 | -100.0% | Q3 2026 | Nov 02, 2026 |
| Rossby Financial, LCC | History | No change | 49 | 0 | — | — | — | 0 | 0.0% | Q3 2026 | Nov 05, 2026 |