First Trust SMID Cap Rising Dividend Achievers

SDVY • NASDAQ

First Trust SMID Cap Rising Dividend Achievers is an exchange-traded fund on NASDAQ. As of Q3 2025, 452 institutional investors hold shares in this ETF, with total holdings valued at $6.3B. LPL Financial LLC is the largest holder with a position valued at $903.2M.

Overview

Overview of institutional ownership in SDVY as of Q3 2025

All Institutions

Institutions: 452
Value Held: $6.3B
Shares Held: 164.6M
Avg Position: $13.8M
Median Position: $1.3M

Hedge Funds

Hedge Funds: 9
Value Held: $23.6M
Shares Held: 621.9K
Avg Position: $2.6M
Median Position: $855.9K

Biggest Investors

Institutions with the largest positions in SDVY as of Q3 2025

Institution	Key People	Position Value	Ownership	Owned Since	Total AUM (Long)
L LPL Financial LLC Institution	-	$903.2M 0.27% of portfolio	23.8M shares	Q4 2022 Held for 2y 11m	$340.07B
MORGAN STANLEY RIA/Wealth	Jed Finn CEO	$677.4M 0.04% of portfolio	17.8M shares	Q4 2022 Held for 2y 11m	$1.65T
RAYMOND JAMES FINANCIAL INC RIA/Wealth	Steven Robert Marcus CEO	$488.3M 0.16% of portfolio	12.8M shares	Q4 2024 Held for 11 months	$310.43B
WELLS FARGO & COMPANY/MN Institution	Charles W. Scharf CEO	$476.2M 0.10% of portfolio	12.5M shares	Q4 2022 Held for 2y 11m	$488.50B
BANK OF AMERICA CORP /DE/ Institution	Brian T. Moynihan CEO	$303.5M 0.02% of portfolio	8.0M shares	Q2 2023 Held for 2y 5m	$1.33T
Cetera Investment Advisers RIA/Wealth	Joseph Daniel Neary CEO	$276.2M 0.32% of portfolio	7.3M shares	Q4 2022 Held for 2y 11m	$85.4B
UBS Group AG Institution	Sergio P. Ermotti CEO	$256.5M 0.05% of portfolio	6.7M shares	Q4 2022 Held for 2y 11m	$511.54B
Capital Investment Advisors, LLC RIA/Wealth	Connor Douglas Miller CIO	$158.6M 2.61% of portfolio	4.2M shares	Q1 2024 Held for 1y 8m	$6.1B
S STIFEL FINANCIAL CORP Long Only Manager	Adam Vartan Topalian CIO	$151.2M 0.14% of portfolio	4.0M shares	Q4 2022 Held for 2y 11m	$109.37B
PARK NATIONAL CORP /OH/ Institution	Matthew R. Miller CEO	$129.7M 4.06% of portfolio	3.4M shares	Q2 2024 Held for 1y 5m	$3.2B

Net Capital Flow

Institutional buying and selling activity for SDVY in Q3 2025

Traded: +$306.6M
Buyers: 297
Sellers: 146
Total Bought: +$498.3M
Total Sold: −$191.8M
Avg Position: $13.0M

Biggest Buyers

Institution	Net Bought	Current Position
Cetera Investment Advisers RIA/Wealth	+$75.6M +2.0M shares	$276.2M 7.3M shares
MML INVESTORS SERVICES, LLC RIA/Wealth	+$60.9M +-12.6K shares	$60.9M 1.6M shares
RAYMOND JAMES FINANCIAL INC RIA/Wealth	+$31.4M +825.3K shares	$488.3M 12.8M shares
BANK OF AMERICA CORP /DE/ Institution	+$23.3M +614.1K shares	$303.5M 8.0M shares
WELLS FARGO & COMPANY/MN Institution	+$21.0M +553.5K shares	$476.2M 12.5M shares
HighTower Advisors, LLC RIA/Wealth	+$20.1M +528.6K shares	$118.9M 3.1M shares
Summit Financial, LLC RIA/Wealth	+$20.0M +526.2K shares	$20.0M 526.2K shares
S STIFEL FINANCIAL CORP Long Only Manager	+$19.6M +514.5K shares	$151.2M 4.0M shares
UBS Group AG Institution	+$13.1M +344.8K shares	$256.5M 6.7M shares
TWO SIGMA INVESTMENTS LLC Hedge Fund•Multi-Strategy	+$10.0M +262.6K shares	$11.2M 295.5K shares

Biggest Sellers

Institution	Net Sold	Current Position
MORGAN STANLEY RIA/Wealth	−$72.1M −1.9M shares	$677.4M 17.8M shares
Q Qube Research & Technologies Ltd Institution	−$11.2M −293.5K shares	$2.9M 75.2K shares
Mach-1 Financial Group, Inc. RIA/Wealth	−$9.7M −276.1K shares	Sold Off 0 shares
Richmond Investment Services, LLC RIA/Wealth	−$7.8M −206.3K shares	$13.5M 354.5K shares
SRS Capital Advisors, Inc. RIA/Wealth	−$7.7M −218.1K shares	Sold Off 0 shares
INTL FCSTONE INC. Institution	−$5.6M −148.0K shares	$16.7M 439.9K shares
Csenge Advisory Group RIA/Wealth	−$5.6M −147.5K shares	$1.5M 40.7K shares
W WCG Wealth Advisors LLC Institution	−$4.2M −110.0K shares	$969.2K 25.5K shares
Mariner Wealth Advisors, LLC RIA/Wealth	−$4.1M −107.6K shares	$7.6M 201.1K shares
Sigma Planning Corp RIA/Wealth	−$3.8M −98.8K shares	$11.3M 296.0K shares

Entry and Exit Activity

Institutions that initiated new positions or completely exited SDVY in Q3 2025

New Positions: 31
New Value: $106.8M
Exited Positions: 29
Exited Value: $33.7M

New Positions

Institution	Position Value
MML INVESTORS SERVICES, LLC RIA/Wealth	$60.9M 1.6M shares
Summit Financial, LLC RIA/Wealth	$20.0M 526.2K shares
Uniting Wealth Partners, LLC RIA/Wealth	$7.6M 200.1K shares
Anderson Financial Strategies, LLC RIA/Wealth	$3.4M 89.4K shares
O OneAscent Financial Services LLC RIA/Wealth	$2.2M 58.1K shares
Proactive Wealth Strategies LLC RIA/Wealth	$2.2M 56.9K shares
HBW Advisory Services LLC RIA/Wealth	$2.0M 51.9K shares
Ritter Daniher Financial Advisory LLC / DE RIA/Wealth	$1.5M 40.4K shares
Touchstone Capital, Inc. RIA/Wealth	$1.2M 32.7K shares
NBC SECURITIES, INC. RIA/Wealth	$640.9K 16.9K shares

Exited Positions

Institution	Previous Position
Mach-1 Financial Group, Inc. RIA/Wealth	$9.7M 276.1K shares
SRS Capital Advisors, Inc. RIA/Wealth	$7.7M 218.1K shares
Financial Advocates Investment Management RIA/Wealth	$3.3M 93.0K shares
Grant Private Wealth Management Inc RIA/Wealth	$3.1M 88.4K shares
E EWG Elevate Inc. Institution	$3.1M 86.7K shares
Fundamentun, LLC RIA/Wealth	$1.8M 51.3K shares
Pensionmark Financial Group, LLC Pension/Endowment	$1.0M 28.9K shares
L Lion Street Advisors, LLC RIA/Wealth	$976.7K 27.7K shares
SUMMIT WEALTH GROUP LLC / CO RIA/Wealth	$845.6K 24.0K shares
WOODMONT INVESTMENT COUNSEL LLC RIA/Wealth	$661.9K 18.8K shares

Options Activity

Institutions with the largest Call and Put options positions in SDVY as of Q3 2025

Call Positions: 0
Call Value: -
Put Positions: 0
Put Value: -

Call Positions

Institution	Position Value
No call positions found

Put Positions

Institution	Position Value
No put positions found

Most Committed Institutions

Institutions with SDVY as the highest % of their portfolio as of Q3 2025

Institution	Key People	Portfolio Weight	Ownership	Owned Since	Total AUM (Long)
LVZ Advisors, Inc. RIA/Wealth	Nathan Louis Baumann President	12.25% $106.5M	2.8M shares	Q1 2024 Held for 1y 8m	$869.4M
Solano Wealth Investment Advisors LLC RIA/Wealth	Carlos Romero Mendoza CEO	7.92% $16.4M	431.9K shares	Q4 2024 Held for 11 months	$207.3M
A Advantage Trust Co Institution	-	7.44% $16.5M	433.2K shares	Q4 2023 Held for 1y 11m	$221.3M
S STONEHAVEN WEALTH & TAX SOLUTIONS, LLC RIA/Wealth	Brian M. Much CEO	6.06% $6.5M	170.4K shares	Q4 2024 Held for 11 months	$106.9M
B Bennett Associates Wealth Management RIA/Wealth	Collin Kenneth Randall President	4.75% $6.5M	172.2K shares	Q2 2025 Held for 5 months	$137.8M
Lifestyle Asset Management, Inc. RIA/Wealth	Michael Allen Wegner President	4.67% $13.7M	359.8K shares	Q4 2024 Held for 11 months	$292.6M
Wisconsin Wealth Advisors, LLC RIA/Wealth	Chris Allen Swenson Owner	4.18% $4.4M	114.6K shares	Q4 2024 Held for 11 months	$104.1M
W Wagner Wealth Management, LLC Institution	-	4.11% $17.7M	466.0K shares	Q1 2024 Held for 1y 8m	$430.7M
PARK NATIONAL CORP /OH/ Institution	Matthew R. Miller CEO	4.06% $129.7M	3.4M shares	Q2 2024 Held for 1y 5m	$3.2B
IMG Wealth Management, Inc. RIA/Wealth	Nick Allen Edwards President	3.57% $5.2M	137.0K shares	Q4 2024 Held for 11 months	$145.7M

Hedge Fund Spotlight

Discover hedge funds investing in SDVY

CacheTech Inc.

Hedge Fund • Multi-Strategy

Portfolio ManagerPatrick Cormac Murphy

Portfolio Value: $468.6M
Positions: 193
Last Reported: Q3 2025

Sector Allocation

Position in First Trust SMID Cap Rising Dividend Achievers

Market Value: $239.9K
Shares Held: 6.3K
Portfolio Weight: 0.05%
Owned Since: 2024-Q4

Top Holding	Sector	Market Value	Weight
1 SCHX Schwab U.S. Large-Cap ETF SCHX	ETF ETF	$59.7M	12.74%
2 Janus Henderson B-BBB CLO JBBB	ETF ETF	$32.7M	6.97%
3 iShares Core S&P 500 ETF IVV	ETF ETF	$28.7M	6.12%

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