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Livermore
Livermore
ZHEN

First Trust Advisors LP

SEC CIK
0001125816
Latest filing
Aug 11, 2026

Holdings in Q1 2023

Holdings as of Mar 31, 2023, filed May 15, 2023. Long positions only; changes compare share counts with Q4 2022.

Institution overview
Positions
2,348
−65 vs. Q4 2022
Portfolio value
$86.6B
+$2.51B (+3.0%) vs. Q4 2022
Filed
May 15, 2023
SEC
Holdings of First Trust Advisors LP in Q1 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
IBRXImmunityBio, Inc.COM155,497$283.0K<0.1%+97,090+166.2%AddedHistory
CTKBCytek Biosciences, Inc.COM31,226$287.0K<0.1%−175,841−84.9%ReducedHistory
NMMNavios Maritime Partners L.P.COM UNIT LPI11,952$288.3K<0.1%+11,952NewHistory
RCUSArcus Biosciences, Inc.COM15,845$289.0K<0.1%−83,839−84.1%ReducedHistory
KRNYKearny Financial Corp.COM35,918$291.7K<0.1%−21,474−37.4%ReducedHistory
DEAEasterly Government Properties, Inc.COM21,228$291.7K<0.1%−12,164−36.4%ReducedHistory
TIGTrean Insurance Group, Inc.COM47,731$292.1K<0.1%+3,643+8.3%AddedHistory
WASHWashington Trust Bancorp IncCOM8,581$297.4K<0.1%−5,437−38.8%ReducedHistory
NAPADuckhorn Portfolio, Inc.COM18,837$299.5K<0.1%−1,973−9.5%ReducedHistory
HONEHarborOne Bancorp, Inc.COM NEW24,574$299.8K<0.1%−15,564−38.8%ReducedHistory
TWKSThoughtworks Holding, Inc.COM40,809$300.4K<0.1%+40,809NewHistory
GESGuess IncCOM15,463$300.9K<0.1%+15,463NewHistory
NTESNetEase, Inc.SPONSORED ADS3,440$304.2K<0.1%−58,729−94.5%ReducedHistory
ABSTAbsolute Software CorpCOM39,025$305.6K<0.1%+39,025NewHistory
GSBCGreat Southern Bancorp, Inc.COM6,102$309.2K<0.1%−3,864−38.8%ReducedHistory
BRSLBrightstar Lottery PLCSHS USD11,542$309.3K<0.1%+11,542NewHistory
LILi Auto Inc.SPONSORED ADS12,588$314.1K<0.1%−74,125−85.5%ReducedHistory
AUAngloGold Ashanti PLCSPONSORED ADR13,089$316.6K<0.1%+942+7.8%AddedHistory
GFIGold Fields LtdSPONSORED ADR23,805$317.1K<0.1%+2,060+9.5%AddedHistory
NXPNuveen Select Tax Free Income PortfolioSH BEN INT22,391$320.4K<0.1%+5,562+33.1%AddedHistory
MAXRMaxar Technologies Inc.COM6,298$321.6K<0.1%−147,839−95.9%ReducedHistory
ProShares Tr74347B425SHORT S&P 500 NE21,471$322.1K<0.1%+7,472+53.4%Added–
SAGESage Therapeutics, Inc.COM7,778$326.4K<0.1%−37,993−83.0%ReducedHistory
JAKKJakks Pacific IncCOM NEW18,899$327.0K<0.1%+1,441+8.3%AddedHistory
WLDNWilldan Group, Inc.COM21,031$328.5K<0.1%−283−1.3%ReducedHistory
BROSDutch Bros Inc.CL A10,514$332.6K<0.1%−23,276−68.9%ReducedHistory
XPEVXpeng Inc.ADS30,111$334.5K<0.1%−53,334−63.9%ReducedHistory
RMTRoyce Micro-Cap Trust, Inc.COM38,399$336.8K<0.1%−10,445−21.4%ReducedHistory
PBR.APetrobras - Petroleo Brasileiro SASP ADR NON VTG36,470$338.4K<0.1%+113+0.3%AddedHistory
JAMFJamf Holding Corp.COM17,489$339.6K<0.1%+4,390+33.5%AddedHistory
GKOSGLAUKOS CorpCOM6,792$340.3K<0.1%−35,528−84.0%ReducedHistory
CTBICommunity Trust Bancorp IncCOM8,982$340.9K<0.1%−5,640−38.6%ReducedHistory
LELands' End, Inc.COM35,142$341.6K<0.1%+2,566+7.9%AddedHistory
CNOBConnectOne Bancorp, Inc.COM19,559$345.8K<0.1%−12,465−38.9%ReducedHistory
UVSPUnivest Financial CorpCOM14,634$347.4K<0.1%−9,229−38.7%ReducedHistory
ALXAlexanders IncCOM1,809$350.5K<0.1%−3,711−67.2%ReducedHistory
ETRNMidstream Co LLCCOM61,006$352.6K<0.1%−649,763−91.4%ReducedHistory
BCXBlackRock Resources & Commodities Strategy TrustSHS37,109$354.0K<0.1%+2,634+7.6%AddedHistory
VKQInvesco Municipal TrustCOM35,749$354.6K<0.1%−6,217−14.8%ReducedHistory
AIOVirtus Artificial Intelligence & Technology Opportunities FundCOM20,398$354.9K<0.1%−10,377−33.7%ReducedHistory
UPSTUpstart Holdings, Inc.COM22,420$356.3K<0.1%−154,518−87.3%ReducedHistory
KWKennedy-Wilson Holdings, Inc.COM21,485$356.4K<0.1%+188+0.9%AddedHistory
BLEBlackRock Municipal Income Trust IICOM33,272$357.0K<0.1%−2,288−6.4%ReducedHistory
NMZNuveen Municipal High Income Opportunity FundCOM33,253$359.1K<0.1%−1,590−4.6%ReducedHistory
LZLegalzoom.com, Inc.COM38,292$359.2K<0.1%+38,292NewHistory
CODICompass Diversified HoldingsSH BEN INT19,011$362.7K<0.1%−41,843−68.8%ReducedHistory
AJRDAerojet Rocketdyne Holdings, Inc.COM6,474$363.6K<0.1%+647+11.1%AddedHistory
AMTBAmerant Bancorp Inc.CL A16,874$367.2K<0.1%−10,686−38.8%ReducedHistory
SACHSachem Capital Corp.COM98,839$367.7K<0.1%+7,538+8.3%AddedHistory
PFCPremier Financial CorpCOM17,769$368.4K<0.1%−11,255−38.8%ReducedHistory
TXG10x Genomics, Inc.CL A COM6,622$369.4K<0.1%+362+5.8%AddedHistory
EVNEaton Vance Municipal Income TrustSH BEN INT36,524$370.0K<0.1%−1,305−3.4%ReducedHistory
BXMTBlackstone Mortgage Trust, Inc.COM CL A20,764$370.6K<0.1%−328,772−94.1%ReducedHistory
RBCAARepublic Bancorp IncCL A8,786$372.8K<0.1%−5,565−38.8%ReducedHistory
PDIPIMCO Dynamic Income FundSHS20,743$373.8K<0.1%−87,751−80.9%ReducedHistory
DSGXDescartes Systems Group IncCOM4,637$374.1K<0.1%+1,191+34.6%AddedHistory
RPRXRoyalty Pharma plcSHS CLASS A10,462$376.9K<0.1%−118,157−91.9%ReducedHistory
HEI.AHeico CorpCL A2,805$381.2K<0.1%+709+33.8%AddedHistory
XRAYDentsply Sirona Inc.Stock9,748$382.9K<0.1%−907,797−98.9%ReducedHistory
BFCBank First CorpCOM5,236$385.3K<0.1%−2,133−28.9%ReducedHistory
RADIRadius Global Infrastructure, Inc.COM CL A26,275$385.5K<0.1%+26,275NewHistory
BFSSaul Centers, Inc.COM9,953$388.2K<0.1%−605−5.7%ReducedHistory
BSETBassett Furniture Industries IncCOM21,923$390.2K<0.1%+1,207+5.8%AddedHistory
iShares U S ETF Tr46431W507SHOR DURA BD ETF7,873$390.5K<0.1%−974−11.0%Reduced–
PLMRPalomar Holdings, Inc.Stock7,090$391.4K<0.1%−38,301−84.4%ReducedHistory
iShares S&P Small-Cap 600 Growth ETF464287887ETF3,574$392.9K<0.1%−155−4.2%Reduced–
RPTRithm Property Trust Inc.COM60,946$401.0K<0.1%+4,645+8.3%AddedHistory
SKINSkinHealth Systems Inc.COM CL A32,572$411.4K<0.1%−56,699−63.5%ReducedHistory
MQTBlackRock Muniyield Quality Fund II, Inc.COM39,726$412.0K<0.1%−1,565−3.8%ReducedHistory
FVCBFVCBankcorp, Inc.COM39,085$416.3K<0.1%+10,180+35.2%AddedHistory
JLSNuveen Mortgage & Income FundCOM26,346$420.5K<0.1%+26,346NewHistory
SHWSherwin Williams CoCOM1,873$421.0K<0.1%+242+14.8%AddedHistory
VGMInvesco Trust for Investment Grade MunicipalsCOM42,384$421.3K<0.1%−1,868−4.2%ReducedHistory
PTONPeloton Interactive, Inc.CL A COM37,328$423.3K<0.1%+37,328NewHistory
SAMGSilvercrest Asset Management Group Inc.CL A23,325$424.0K<0.1%+1,780+8.3%AddedHistory
RNACCartesian Therapeutics, Inc.COM305,567$424.7K<0.1%+23,302+8.3%AddedHistory
iShares S&P Small-Cap 600 Value ETF464287879ETF4,552$426.0K<0.1%−261−5.4%Reduced–
AXTIAxt IncCOM107,835$429.2K<0.1%+8,222+8.3%AddedHistory
NIEVirtus Equity & Convertible Income FundCOM21,884$430.0K<0.1%−20,885−48.8%ReducedHistory
NMCONuveen Municipal Credit Opportunities FundCOM37,799$431.3K<0.1%−1,694−4.3%ReducedHistory
HFWAHeritage Financial CorpCOM20,300$434.4K<0.1%−10,178−33.4%ReducedHistory
CNSCohen & Steers, Inc.COM6,803$435.1K<0.1%−10,314−60.3%ReducedHistory
PDXPIMCO Dynamic Income Strategy FundCOM SHS BEN INT29,942$437.2K<0.1%−4,690−13.5%ReducedHistory
LBTYKLiberty Global Ltd.SHS CL C21,753$443.3K<0.1%+21,753NewHistory
EWEdwards Lifesciences CorpStock5,368$444.1K<0.1%−15,584−74.4%ReducedHistory
BTTBlackRock Municipal 2030 Target Term TrustCOM SHS BEN IN20,519$445.7K<0.1%−1,011−4.7%ReducedHistory
ACTGAcacia Research CorpACACIA TCH COM115,917$447.4K<0.1%+21,135+22.3%AddedHistory
CIACitizens, Inc.CL A121,152$449.5K<0.1%+9,241+8.3%AddedHistory
FERGFerguson Enterprises Inc.SHS3,383$452.5K<0.1%−35,216−91.2%ReducedHistory
WEYSWeyco Group IncCOM17,934$453.7K<0.1%+1,369+8.3%AddedHistory
VanEck ETF Trust92189H201INTRMDT MUNI ETF9,778$454.4K<0.1%+209+2.2%Added–
MQYBlackRock Muniyield Quality Fund, Inc.COM38,890$460.5K<0.1%−2,077−5.1%ReducedHistory
IIIInformation Services Group Inc.COM90,731$461.8K<0.1%+6,917+8.3%AddedHistory
POWWOutdoor Holding CoCOM234,517$462.0K<0.1%+18,783+8.7%AddedHistory
ARHSArhaus, Inc.COM CL A56,386$467.4K<0.1%+4,299+8.3%AddedHistory
CXMSprinklr, Inc.CL A36,277$470.1K<0.1%−77,878−68.2%ReducedHistory
RVTRoyce Small-Cap Trust, Inc.COM34,697$470.8K<0.1%+48+0.1%AddedHistory
RKLBRocket Lab CorpCOM116,603$471.1K<0.1%+116,603NewHistory
ONITOnity Group Inc.COM NEW17,380$471.3K<0.1%+1,327+8.3%AddedHistory
THRMGentherm IncCOM7,866$475.3K<0.1%−1,487−15.9%ReducedHistory

Sold out since Q4 2022 (177)

Positions held at the end of Q4 2022 that are gone from this filing.

The largest 100 of 177 by value last quarter.

Positions of First Trust Advisors LP sold out since Q4 2022
SecurityClassShares in Q4 2022Value in Q4 2022% of portfolio in Q4 2022History
First Tr Exchange-Traded FD33734X127ENERGY ALPHADX41,561,578$710.3M0.8%–
First Tr Exchange Traded FD33738R845NASDQ OIL GAS24,612,706$688.2M0.8%–
CINFCincinnati Financial CorpCOM1,573,553$161.1M0.2%History
COUPCoupa Software IncCOM1,052,693$83.3M0.1%History
KNBEKnowBe4, Inc.CL A3,236,769$80.2M0.1%History
First Tr Exch TRD Alphdx FD33737J133BRAZIL ALPHADEX5,230,511$54.8M0.1%–
AQUAEvoqua Water Technologies Corp.COM1,249,670$49.5M0.1%History
DCPDCP Midstream, LPCOM UT LTD PTN1,169,678$45.4M0.1%History
SGFYSignify Health, Inc.CL A COM1,008,250$28.9M<0.1%History
RBBNRibbon Communications Inc.COM6,040,443$16.8M<0.1%History
TLSTelos CorpCOM3,163,002$16.1M<0.1%History
iShares Tr4642874571 3 YR TREAS BD190,027$15.4M<0.1%–
TYLTyler Technologies IncCOM47,720$15.4M<0.1%History
RMDResmed IncCOM73,184$15.2M<0.1%History
HUCKHuckleberry.ai, Inc.Stock1,036,335$14.8M<0.1%History
Signature BK New York N Y82669G104COM92,774$10.7M<0.1%–
GNKGenco Shipping & Trading LtdSHS663,456$10.2M<0.1%History
SWBISmith & Wesson Brands, Inc.COM1,132,867$9.83M<0.1%History
SMPStandard Motor Products, Inc.Stock278,702$9.70M<0.1%History
STESTERIS plcSHS USD52,182$9.64M<0.1%History
SIVBSVB Financial GroupCOM33,276$7.66M<0.1%History
UMPQUmpqua Holdings CorpCOM420,813$7.51M<0.1%History
DNAGinkgo Bioworks Holdings, Inc.CL A SHS4,120,856$6.96M<0.1%History
LNCLincoln National CorpCOM215,436$6.62M<0.1%History
ARQQArqit Quantum Inc.ORDINARY SHARES1,699,646$6.13M<0.1%History
SAMBoston Beer Co IncCL A17,974$5.92M<0.1%History
BYNDBeyond Meat, Inc.COM473,543$5.83M<0.1%History
NVCRNovoCure LtdORD SHS78,639$5.77M<0.1%History
NCNOnCino, Inc.COM213,240$5.64M<0.1%History
FRPTFreshpet, Inc.Stock103,088$5.44M<0.1%History
SJISouth Jersey Industries IncCOM150,725$5.36M<0.1%History
Allego N V Ord ShsN0796A100Stock1,676,252$5.26M<0.1%–
ARGXArgenx SESPONSORED ADR13,648$5.17M<0.1%History
IAAIAA, Inc.COM127,412$5.10M<0.1%History
PYCRPaycor HCM, Inc.COM201,337$4.93M<0.1%History
ROCCBaytex Energy USA, Inc.COM99,356$4.02M<0.1%History
STORStore Capital LLCCOM121,376$3.89M<0.1%History
Safehold Inc.45031U101COM501,150$3.82M<0.1%–
GHGuardant Health, Inc.COM122,947$3.34M<0.1%History
NARIInari Medical, Inc.Stock52,552$3.34M<0.1%History
MRVIMaravai Lifesciences Holdings, Inc.COM CL A233,355$3.34M<0.1%History
CPRXCatalyst Pharmaceuticals, Inc.COM167,435$3.11M<0.1%History
Macquarie Global Infrastruct55608D101COM125,576$2.85M<0.1%–
GTLSChart Industries IncCOM22,866$2.63M<0.1%History
SBLKStar Bulk Carriers Corp.SHS PAR136,740$2.63M<0.1%History
CHTChunghwa Telecom Co LtdSPON ADR NEW1171,260$2.61M<0.1%History
Chindata Group Hldgs Ltd16955F107ADS322,375$2.57M<0.1%–
ALRMAlarm.com Holdings, Inc.COM48,505$2.40M<0.1%History
IRTCiRhythm Holdings, Inc.COM25,283$2.37M<0.1%History
CRDOCredo Technology Group Holding LtdStock176,210$2.35M<0.1%History
GFFGriffon CorpCOM65,280$2.34M<0.1%History
SICPSilvergate Capital CorpCL A125,474$2.18M<0.1%History
BTIBritish American Tobacco p.l.c.SPONSORED ADR52,800$2.11M<0.1%History
BEAMBeam Therapeutics Inc.COM52,584$2.06M<0.1%History
TRIPTripAdvisor, Inc.COM105,501$1.90M<0.1%History
RYAAYRyanair Holdings PLCSPONSORED ADR25,211$1.88M<0.1%History
RXRXRecursion Pharmaceuticals, Inc.CL A241,147$1.86M<0.1%History
CDMOAvid Bioservices, Inc.COM134,196$1.85M<0.1%History
GDYNGrid Dynamics Holdings, Inc.CL A161,589$1.81M<0.1%History
ACTEnact Holdings, Inc.COM73,905$1.78M<0.1%History
Ssga Active ETF Tr78467V608ST STR BL LN ETF41,710$1.71M<0.1%–
PHIPLDT Inc.SPONSORED ADR74,805$1.71M<0.1%History
VCYTVeracyte, Inc.COM66,639$1.58M<0.1%History
TVTXTravere Therapeutics, Inc.COM72,743$1.53M<0.1%History
PCRXPacira BioSciences, Inc.COM36,491$1.41M<0.1%History
EEExcelerate Energy, Inc.CL A COM55,947$1.40M<0.1%History
BPMCBlueprint Medicines CorpCOM31,597$1.38M<0.1%History
Adamas Trust, Inc.649604501COM PAR $.02512,326$1.31M<0.1%–
GICGlobal Industrial CoCOM55,043$1.30M<0.1%History
iShares Core MSCI Total International Stock ETF46432F834ETF22,230$1.29M<0.1%–
MLNKMeridianLink, Inc.COMMON STOCK92,954$1.28M<0.1%History
BMBLBumble Inc.COM CL A55,605$1.17M<0.1%History
BBIOBridgeBio Pharma, Inc.COM152,241$1.16M<0.1%History
GMEGameStop Corp.Stock59,802$1.10M<0.1%History
LYELLyell Immunopharma, Inc.COM307,389$1.07M<0.1%History
Vanguard Morningstar Total Stock Market ETF922908769ETF5,467$1.05M<0.1%–
LMNDLemonade, Inc.Stock76,342$1.04M<0.1%History
ACDCProFrac Holding Corp.CLASS A COM40,224$1.01M<0.1%History
IQiQIYI, Inc.SPONSORED ADS187,201$992.2K<0.1%History
AIMCAltra Industrial Motion Corp.COM15,915$950.9K<0.1%History
MRTXMirati Therapeutics, Inc.COM20,857$945.0K<0.1%History
Atlas CorpY0436Q109SHARES57,861$887.6K<0.1%–
Professional Hldg Corp743139107CL A COM31,935$885.9K<0.1%–
MOMOHello Group Inc.ADS96,393$865.6K<0.1%History
CERECerevel Therapeutics Holdings, Inc.COM26,813$845.7K<0.1%History
ABCLAbCellera Biologics Inc.COM80,628$816.8K<0.1%History
MORNMorningstar, Inc.COM3,738$809.6K<0.1%History
ARVNArvinas, Inc.COM23,658$809.3K<0.1%History
CWANClearwater Analytics Holdings, Inc.CL A42,926$804.9K<0.1%History
IMCRImmunocore Holdings plcADS13,975$797.7K<0.1%History
TTGTTechTarget, Inc.COM17,780$783.4K<0.1%History
BILIBilibili Inc.SPONS ADS REP Z32,992$781.6K<0.1%History
OBDCBlue Owl Capital CorpCOM67,548$780.2K<0.1%History
PRIPrimerica, Inc.Stock5,380$763.0K<0.1%History
KNKnowles CorpCOM44,529$731.2K<0.1%History
ZTOZTO Express (Cayman) Inc.SPONSORED ADS A27,016$725.9K<0.1%History
NKLANikola CorpCOM335,194$724.0K<0.1%History
MLCOMelco Resorts & Entertainment LTDADR62,764$721.8K<0.1%History
STAAStaar Surgical CoCOM PAR $0.0114,865$721.5K<0.1%History
HHyatt Hotels CorpCOM CL A7,915$715.9K<0.1%History