Skip to main content
Livermore
Livermore
ZHEN

First Trust Advisors LP

SEC CIK
0001125816
Latest filing
Aug 11, 2026

Holdings in Q3 2023

Holdings as of Sep 30, 2023, filed Nov 13, 2023. Long positions only; changes compare share counts with Q2 2023.

Institution overview
Positions
2,340
−7 vs. Q2 2023
Portfolio value
$84.4B
−$3.57B (−4.1%) vs. Q2 2023
Filed
Nov 13, 2023
SEC
Holdings of First Trust Advisors LP in Q3 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
PBHPrestige Consumer Healthcare Inc.COM5,304$303.3K<0.1%−54,660−91.2%ReducedHistory
NXPNuveen Select Tax Free Income PortfolioSH BEN INT23,066$306.8K<0.1%+217+0.9%AddedHistory
MQTBlackRock Muniyield Quality Fund II, Inc.COM34,175$307.2K<0.1%−6,660−16.3%ReducedHistory
PBR.APetrobras - Petroleo Brasileiro SASP ADR NON VTG22,508$308.6K<0.1%−13,950−38.3%ReducedHistory
ProShares Tr74347B425SHORT S&P 500 NE21,471$310.7K<0.1%00.0%Unchanged–
MECMayville Engineering Company, Inc.COM28,449$312.1K<0.1%+28,449NewHistory
IGIWestern Asset Investment Grade Opportunity Trust Inc.COM19,862$314.4K<0.1%+44+0.2%AddedHistory
IQIInvesco Quality Municipal Income TrustCOM37,889$317.9K<0.1%−6,849−15.3%ReducedHistory
JAMFJamf Holding Corp.COM18,415$325.2K<0.1%+18,415NewHistory
NMMNavios Maritime Partners L.P.COM UNIT LPI14,340$331.7K<0.1%−1,283−8.2%ReducedHistory
TSTenaris SASPONSORED ADS10,562$333.8K<0.1%−147,635−93.3%ReducedHistory
MUIBlackRock Municipal Credit Alpha Portfolio, Inc.COM33,183$336.8K<0.1%−7,249−17.9%ReducedHistory
CCRDCoreCard CorpCOM16,856$337.1K<0.1%+435+2.6%AddedHistory
EYENational Vision Holdings, Inc.COM20,963$339.2K<0.1%−56,477−72.9%ReducedHistory
NADNuveen Quality Municipal Income FundCOM33,493$339.6K<0.1%−6,252−15.7%ReducedHistory
NEANuveen AMT-Free Quality Municipal Income FundCOM35,401$342.7K<0.1%−8,202−18.8%ReducedHistory
HRMYHarmony Biosciences Holdings, Inc.COM10,464$342.9K<0.1%+10,464NewHistory
BTGB2GOLD CorpCOM118,291$343.1K<0.1%+1,432+1.2%AddedHistory
MNSBMainStreet Bancshares, Inc.COM16,756$344.2K<0.1%+16,756NewHistory
MYIBlackRock Muniyield Quality Fund III, Inc.COM36,415$347.8K<0.1%−7,582−17.2%ReducedHistory
DNAGinkgo Bioworks Holdings, Inc.CL A SHS193,264$349.8K<0.1%+193,264NewHistory
IIIInformation Services Group Inc.COM80,766$353.8K<0.1%−11,375−12.3%ReducedHistory
NZFNuveen Municipal Credit Income FundCOM SH BEN INT33,985$354.5K<0.1%−10,165−23.0%ReducedHistory
TRTootsie Roll Industries IncCOM11,940$356.5K<0.1%−60,347−83.5%ReducedHistory
OPRAOpera LtdSPONSORED ADS32,345$364.5K<0.1%+32,345NewHistory
NVGNuveen AMT-Free Municipal Credit Income FundCEF35,557$366.6K<0.1%−7,426−17.3%ReducedHistory
NSSCNapco Security Technologies, IncStock16,522$367.6K<0.1%+16,522NewHistory
FLEXFlex Ltd.Stock13,633$367.8K<0.1%+13,633NewHistory
LEGHLegacy Housing CorpCOM18,977$368.3K<0.1%+18,977NewHistory
STKSONE Group Hospitality, Inc.COM67,018$368.6K<0.1%+67,018NewHistory
SNNSmith & Nephew PLCSPDN ADR NEW14,903$369.1K<0.1%+14,903NewHistory
AIOVirtus Artificial Intelligence & Technology Opportunities FundCOM22,371$369.3K<0.1%+4,018+21.9%AddedHistory
STERSterling Check Corp.COM29,321$370.0K<0.1%+29,321NewHistory
AGYSAgilysys IncCOM5,600$370.5K<0.1%−27,502−83.1%ReducedHistory
NUVNuveen Municipal Value Fund IncCOM45,003$371.7K<0.1%−4,729−9.5%ReducedHistory
BCXBlackRock Resources & Commodities Strategy TrustSHS40,393$372.0K<0.1%+883+2.2%AddedHistory
ATLCAtlanticus Holdings CorpCOM12,389$375.5K<0.1%+12,389NewHistory
KWYKINGSWAY CorpCOM NEW49,975$377.3K<0.1%+49,975NewHistory
NMRANeumora Therapeutics, Inc.COM26,770$377.7K<0.1%+26,770NewHistory
CIMChimera Investment CorpCOM NEW69,643$380.3K<0.1%+7,960+12.9%AddedHistory
Two Harbors Investment Corp.90187B804COM28,951$383.3K<0.1%+28,951New–
ONITOnity Group Inc.COM NEW14,829$383.8K<0.1%−2,795−15.9%ReducedHistory
CNOBConnectOne Bancorp, Inc.COM21,603$385.2K<0.1%+1,988+10.1%AddedHistory
TIOTingo Group, Inc.COM382,133$391.7K<0.1%+382,133NewHistory
SPDR Series Trust78468R721STATE STREET SPD8,969$391.9K<0.1%+4,194+87.8%Added–
UCTTUltra Clean Holdings, Inc.COM13,240$392.8K<0.1%−23,180−63.6%ReducedHistory
GENCGencor Industries IncCOM27,806$392.9K<0.1%+27,806NewHistory
DINDine Brands Global, Inc.COM7,965$393.9K<0.1%−21,233−72.7%ReducedHistory
VanEck ETF Trust92189H409HIGH YLD MUNIETF8,088$396.9K<0.1%−1,386−14.6%Reduced–
iShares S&P Small-Cap 600 Value ETF464287879ETF4,485$400.2K<0.1%−121−2.6%Reduced–
CRSPCRISPR Therapeutics AGNAMEN AKT8,910$404.4K<0.1%−87,488−90.8%ReducedHistory
TCBKTrico BancsharesCOM12,657$405.4K<0.1%−8,966−41.5%ReducedHistory
RPRXRoyalty Pharma plcSHS CLASS A14,947$405.7K<0.1%+14,947NewHistory
MXLMaxlinear, IncCOM18,592$413.7K<0.1%−18,485−49.9%ReducedHistory
QUADQuad/Graphics, Inc.COM CL A82,481$414.9K<0.1%+82,481NewHistory
GTLSChart Industries IncCOM2,454$415.0K<0.1%+2,454NewHistory
JLSNuveen Mortgage & Income FundCOM26,424$419.6K<0.1%−248−0.9%ReducedHistory
BGFVBig 5 Sporting Goods CorpCOM60,232$422.2K<0.1%+60,232NewHistory
BGHBarings Global Short Duration High Yield FundCOM33,345$423.5K<0.1%−2,465−6.9%ReducedHistory
HFWAHeritage Financial CorpCOM26,059$425.0K<0.1%+1,901+7.9%AddedHistory
VanEck ETF Trust92189H201INTRMDT MUNI ETF9,679$426.8K<0.1%−16−0.2%Reduced–
SYBTStock Yards Bancorp, Inc.COM10,966$430.9K<0.1%−15,807−59.0%ReducedHistory
ENVEnvestnet, Inc.COM9,825$432.6K<0.1%+928+10.4%AddedHistory
KLXEKLX Energy Services Holdings, Inc.COM NEW36,533$432.9K<0.1%+36,533NewHistory
ALHCAlignment Healthcare, Inc.COM62,517$433.9K<0.1%−50,762−44.8%ReducedHistory
PKOHPark Ohio Holdings CorpCOM22,088$439.8K<0.1%+22,088NewHistory
THSTreeHouse Foods, Inc.COM10,107$440.5K<0.1%−113,706−91.8%ReducedHistory
RXORXO, Inc.COMMON STOCK22,461$443.2K<0.1%−34,078−60.3%ReducedHistory
OVLYOak Valley BancorpCOM17,775$445.8K<0.1%+17,775NewHistory
PLBCPlumas BancorpCOM13,062$445.9K<0.1%+13,062NewHistory
RVTRoyce Small-Cap Trust, Inc.COM34,674$446.3K<0.1%−1,279−3.6%ReducedHistory
BTDRBitdeer Technologies GroupCL A ORD SHS47,040$453.5K<0.1%+47,040NewHistory
CVLYCodorus Valley Bancorp IncCOM24,494$456.6K<0.1%+24,494NewHistory
BUIBlackRock Utilities, Infrastructure & Power Opportunities TrustCOM23,046$457.0K<0.1%+464+2.1%AddedHistory
CLMBClimb Global Solutions, Inc.COM10,664$458.7K<0.1%+10,664NewHistory
MPXMarine Products Group, LLCCOM32,363$459.9K<0.1%+32,363NewHistory
KOFCoca Cola Femsa SAB de CVSPONS ADS REP5,881$461.3K<0.1%+5,881NewHistory
NSANational Storage Affiliates TrustCOM SHS BEN IN14,609$463.7K<0.1%−38,164−72.3%ReducedHistory
INTTIntest CorpCOM30,657$465.1K<0.1%+30,657NewHistory
First Tr Exchange-Traded FD33739G103MNGD FUTRS STRGY9,518$466.2K<0.1%+4,358+84.5%Added–
HLMNHillman Solutions Corp.COM56,513$466.2K<0.1%−860−1.5%ReducedHistory
Golden Ocean Group LtdG39637205SHS NEW60,159$474.1K<0.1%+60,159New–
First Tr Exchange Trad FD VI33740Y101ALT ABSLT STRG16,563$475.4K<0.1%+7,519+83.1%Added–
NBRNabors Industries LtdSHS3,864$475.8K<0.1%−9,158−70.3%ReducedHistory
WMGWarner Music Group Corp.COM CL A15,280$479.8K<0.1%−11,436−42.8%ReducedHistory
Barnes Group Inc067806109COM14,178$481.6K<0.1%+202+1.4%Added–
NXRTNexPoint Residential Trust, Inc.COM14,978$482.0K<0.1%+250+1.7%AddedHistory
EXLSExlService Holdings, Inc.COM17,301$485.1K<0.1%−36,644−67.9%ReducedConverted for a 5-for-1 splitHistory
GEF.BGreif, IncCL B7,296$485.6K<0.1%−386−5.0%ReducedHistory
OMEROmeros CorpCOM168,625$492.4K<0.1%+168,625NewHistory
VNOVornado Realty TrustSH BEN INT21,743$493.1K<0.1%−72,396−76.9%ReducedHistory
OBTOrange County Bancorp, Inc.COM11,509$496.8K<0.1%+11,509NewHistory
THRMGentherm IncCOM9,161$497.1K<0.1%+1,013+12.4%AddedHistory
EGLEEagle Bulk Shipping Inc.COM11,907$500.5K<0.1%−6,430−35.1%ReducedHistory
AFCGAdvanced Flower Capital Inc.COM42,809$502.6K<0.1%−539−1.2%ReducedHistory
PBPBPotbelly CorpCOM64,495$503.1K<0.1%+64,495NewHistory
FFFutureFuel Corp.COM70,442$505.1K<0.1%+1,185+1.7%AddedHistory
SABRSabre CorpCOM112,687$506.0K<0.1%−70,975−38.6%ReducedHistory
NATHNathans Famous, Inc.COM7,443$525.9K<0.1%−108−1.4%ReducedHistory
DANDANA IncCOM35,992$528.0K<0.1%−2,362−6.2%ReducedHistory

Sold out since Q2 2023 (210)

Positions held at the end of Q2 2023 that are gone from this filing.

The largest 100 of 210 by value last quarter.

Positions of First Trust Advisors LP sold out since Q2 2023
SecurityClassShares in Q2 2023Value in Q2 2023% of portfolio in Q2 2023History
First Tr Exchange-Traded FD33738R852NASDQ FOD BVRG25,521,540$669.2M0.8%–
PDCEPDC Energy, Inc.COM635,832$45.2M0.1%History
SYNHSyneos Health, Inc.CL A1,051,275$44.3M0.1%History
ICUIIcu Medical IncCOM158,835$28.3M<0.1%History
CERTCertara, Inc.COM1,490,814$27.1M<0.1%History
WWEWorld Wrestling Entertainment, LLCCL A213,684$23.2M<0.1%History
CPACopa Holdings, S.A.CL A198,933$22.0M<0.1%History
HWKNHawkins IncCOM405,879$19.4M<0.1%History
UNVRUnivar Solutions Inc.COM491,678$17.6M<0.1%History
HZNPHorizon Therapeutics Public Ltd CoSHS169,004$17.4M<0.1%History
Liberty Media Corp Del531229607COM C SIRIUSXM530,793$17.4M<0.1%–
BURLBurlington Stores, Inc.COM94,520$14.9M<0.1%History
CWHCamping World Holdings, Inc.CL A481,970$14.5M<0.1%History
BKIBlack Knight, Inc.COM191,760$11.5M<0.1%History
WDCWestern Digital CorpCOM296,273$11.2M<0.1%History
PGRProgressive CorpStock84,262$11.2M<0.1%History
MKTXMarketaxess Holdings IncCOM36,123$9.44M<0.1%History
IPGPIpg Photonics CorpCOM68,704$9.33M<0.1%History
PLNTPlanet Fitness, Inc.CL A125,162$8.44M<0.1%History
ERICEricsson LM Telephone CoADR B SEK 101,470,438$8.01M<0.1%History
BALLBALL CorpCOM132,906$7.74M<0.1%History
AYXAlteryx, Inc.COM CL A165,110$7.50M<0.1%History
COOCooper Companies, Inc.COM NEW19,525$7.49M<0.1%History
TWTradeweb Markets Inc.Stock102,158$7.00M<0.1%History
KYNBKyntra Bio, Inc.COM2,518,420$6.80M<0.1%History
TRTNTriton International LtdCL A62,919$5.24M<0.1%History
LSILife Storage, Inc.COM37,275$4.96M<0.1%History
TCOMTrip.com Group LtdADS127,658$4.47M<0.1%History
AGXArgan IncStock99,670$3.93M<0.1%History
YETIYETI Holdings, Inc.COM88,373$3.43M<0.1%History
VIRVir Biotechnology, Inc.COM132,962$3.26M<0.1%History
RETAReata Pharmaceuticals IncCL A29,611$3.02M<0.1%History
iShares Tr46434V514MSCI CHINA A97,013$2.83M<0.1%–
JBSSSanfilippo John B & Son IncCOM24,106$2.83M<0.1%History
HHCHoward Hughes CorpCOM34,958$2.76M<0.1%History
NWLINational Western Life Group, Inc.CL A6,451$2.68M<0.1%History
NEXNextier Oilfield Solutions Inc.COM297,351$2.66M<0.1%History
VERIVeritone, Inc.COM649,489$2.55M<0.1%History
IRWDIronwood Pharmaceuticals IncCOM CL A228,999$2.44M<0.1%History
THRThermon Group Holdings, Inc.COM89,867$2.39M<0.1%History
YUMCYum China Holdings, Inc.COM41,937$2.37M<0.1%History
BZHBeazer Homes USA IncCOM NEW79,036$2.24M<0.1%History
LPGDorian LPG Ltd.SHS USD86,304$2.21M<0.1%History
ASXASE Technology Holding Co., Ltd.SPONSORED ADS277,911$2.16M<0.1%History
FVRRFiverr International Ltd.ORD SHS81,601$2.12M<0.1%History
PUBMPubMatic, Inc.COM CL A115,783$2.12M<0.1%History
PDPagerDuty, Inc.COM90,782$2.04M<0.1%History
COLLCollegium Pharmaceutical, IncCOM92,793$1.99M<0.1%History
Vanguard Real Estate ETF922908553ETF23,809$1.99M<0.1%–
CHUYChuy's Holdings, Inc.COM48,605$1.98M<0.1%History
INFNInfinera CorpCOM409,162$1.98M<0.1%History
PTONPeloton Interactive, Inc.CL A COM246,611$1.90M<0.1%History
CCNECNB Financial CorpCOM106,063$1.87M<0.1%History
WWWWolverine World Wide IncCOM126,863$1.86M<0.1%History
DXDynex Capital IncCOM145,149$1.83M<0.1%History
GOLDGold.com, Inc.COM48,079$1.80M<0.1%History
MTWManitowoc Co IncCOM NEW94,263$1.77M<0.1%History
CHSChico's Fas, Inc.COM331,095$1.77M<0.1%History
UBAUrstadt Biddle Properties IncCL A81,126$1.72M<0.1%History
SCIService Corp InternationalCOM25,968$1.68M<0.1%History
TRSTTrustco Bank Corp N YCOM NEW58,625$1.68M<0.1%History
GFLGFL Environmental Inc.SUB VTG SHS42,762$1.66M<0.1%History
IIINInsteel Industries IncCOM52,803$1.64M<0.1%History
SPDR Series Trust78464A490ST STR FTSE ETF38,832$1.62M<0.1%–
State Street SPDR Bloomberg Emerging Markets Local Bond ETF78464A391ETF76,260$1.61M<0.1%–
PTRAQProterra IncCOM1,276,789$1.53M<0.1%History
AVIDAvid Technology, Inc.COM58,815$1.50M<0.1%History
CASSCass Information Systems IncCOM38,220$1.48M<0.1%History
TBITrueBlue, Inc.COM83,212$1.47M<0.1%History
HSIIHeidrick & Struggles International IncCOM54,093$1.43M<0.1%History
EBFEnnis, Inc.COM69,345$1.41M<0.1%History
DFHDream Finders Homes, Inc.COM CL A57,369$1.41M<0.1%History
OROR Royalties Inc.COM90,401$1.39M<0.1%History
RUSHBRush Enterprises IncCL B20,145$1.37M<0.1%History
PGCPeapack Gladstone Financial CorpCOM50,204$1.36M<0.1%History
MSBIMidland States Bancorp, Inc.COM67,885$1.35M<0.1%History
DICEDICE Therapeutics, Inc.COM28,677$1.33M<0.1%History
ACCOAcco Brands CorpCOM254,593$1.33M<0.1%History
PLRXPliant Therapeutics, Inc.COM70,709$1.28M<0.1%History
RYNRayonier IncCOM40,330$1.27M<0.1%History
RIGTransocean Ltd.REGISTERED SHS177,955$1.25M<0.1%History
BCRXBiocryst Pharmaceuticals IncCOM176,763$1.24M<0.1%History
AUDCAudiocodes LtdORD128,729$1.18M<0.1%History
AMLXAmylyx Pharmaceuticals, Inc.COM54,115$1.17M<0.1%History
BWBabcock & Wilcox Enterprises, Inc.COM197,588$1.17M<0.1%History
OPALOPAL Fuels Inc.CLASS A COM155,433$1.16M<0.1%History
CARECarter Bankshares, Inc.COM NEW73,782$1.09M<0.1%History
FORForestar Group Inc.COM48,182$1.09M<0.1%History
FFICFlushing Financial CorpCOM86,947$1.07M<0.1%History
MCBSMetroCity Bankshares, Inc.COM58,599$1.05M<0.1%History
DCPHDeciphera Pharmaceuticals, Inc.COM71,501$1.01M<0.1%History
ACCDAccolade, Inc.COM72,442$975.8K<0.1%History
CTOCTO Realty Growth, Inc.COM55,942$958.8K<0.1%History
Tritium DCFCQ9225T108COM877,289$956.2K<0.1%–
CVLGCovenant Logistics Group, Inc.CL A21,258$931.7K<0.1%History
WKHSWorkhorse Group Inc.COM NEW1,046,784$912.4K<0.1%History
CVGICommercial Vehicle Group, Inc.COM79,908$887.0K<0.1%History
HAINHain Celestial Group IncCOM70,428$881.1K<0.1%History
LZLegalzoom.com, Inc.COM70,830$855.6K<0.1%History
GCMGGCM Grosvenor Inc.COM CL A112,457$847.9K<0.1%History