Public ownership evidence

First Trust Smith Unconstrained Bond ETF (UCON) Ownership Disclosures

Read UCON insider transactions, institutional 13F filings and Congressional disclosures with report dates, public availability and original receipts.

As of 2026-10-10T12:08:28.848Z

Separate the three disclosure sources

Step 1 of 3

Recent institutional filing receipts

First Trust Smith Unconstrained Bond ETF: source evidence dated 2026-10-10T12:08:28.848Z.

Manager
B. Riley Wealth Advisors, Inc.
Report period
2025-03-31
Available
2026-08-29
Reported shares
26,607
Value (USD)
$658,535
Option
None
What you should see

The displayed owner or issuer and source fields identify the receipt to verify; keep reporting and availability dates separate.

Step 2 of 3

Is this an insider transaction, 13F holding, or Congressional event?

Each source has different dates and units. Raw ticker-matched receipts, including amendments, are not deduplicated current ownership totals.

13F 0001464811-26-000009
What you should see

Follow the source receipt or manager/member profile. Avoid combining transaction value and 13F position value into an ownership percentage.

Step 3 of 3

Read UCON fundamentals

Follow the source receipt or manager/member profile. Avoid combining transaction value and 13F position value into an ownership percentage.

Read UCON fundamentals
What you should see

Keep reporting dates and units beside the answer, and inspect its original citations.

Recent Form 4 activity

No matching purchases, sales or awards were returned in this 90-day public filing window.

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No records are available for this view.

90-day public availability window, up to 50 records.

Recent institutional filing receipts

See the complete recent institutional filing receipts

These are raw ticker-matched positions in recent 13F receipts, including amendments. They are not deduplicated current ownership totals. Open the manager profile to inspect its effective filing book.

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B. Riley Wealth Advisors, Inc.2025-03-312026-08-2926,607$658,535None
TUCKER ASSET MANAGEMENT LLC2026-06-302026-08-28179$4,454None
TUCKER ASSET MANAGEMENT LLC2026-03-312026-08-28179$4,434None
HORAN Wealth, LLC2026-06-302026-08-2724,493$609,392None
Bernard Wealth Management Corp.2026-06-302026-08-22110$2,734None
Rehmann Capital Advisory Group2026-06-302026-08-21445,374$11,078,247None
Kingsview Wealth Management, LLC2026-06-302026-08-2070,664$1,758,111None
Equitable Holdings, Inc.2026-06-302026-08-18544,255$13,541,056None
CENTAURUS FINANCIAL, INC.2026-06-302026-08-1858,985$1,468,000None
Sequent Planning LLC2026-06-302026-08-1514,297$355,699None
Synergy Investment Management, LLC2026-06-302026-08-1512,460$310,002None
Synergy Investment Management, LLC2026-06-302026-08-15191,584$4,766,615None
Mutual Advisors, LLC2026-06-302026-08-1539,694$987,577None
Perennial Investment Advisors, LLC2026-06-302026-08-1519,108$475,405None
EARNED WEALTH ADVISORS, LLC2026-06-302026-08-15792,030$19,705,702None
KINTRA WEALTH, LLC2026-06-302026-08-1537,420$925,024None
Ameritas Advisory Services, LLC2026-06-302026-08-15297,348$7,398,025None
Western Wealth Management, LLC2026-06-302026-08-15420,821$10,470,029None
Western Wealth Management, LLC2026-06-302026-08-1534,903$868,389None
Foundations Investment Advisors, LLC2026-06-302026-08-158,185$203,655None
Q3 Asset Management2026-06-302026-08-1517,199$427,000None
Qube Research & Technologies Ltd2026-06-302026-08-154,722$117,483None
IFG Advisory, LLC2026-06-302026-08-151,908$47,478None
OSAIC HOLDINGS, INC.2026-06-302026-08-1537,048$921,765None
OSAIC HOLDINGS, INC.2026-06-302026-08-15111,008$2,761,884None
OSAIC HOLDINGS, INC.2026-06-302026-08-151,897,045$47,201,330None
Betterment LLC2026-06-302026-08-1539,740$989,000None
SUSQUEHANNA INTERNATIONAL GROUP, LLP2026-06-302026-08-159,500$236,360None
Medallion Wealth Advisors, LLC2026-06-302026-08-156,100$151,768None
FIDUCIARY FINANCIAL ADVISORS2026-06-302026-08-15938$23,313None
FIDUCIARY FINANCIAL ADVISORS2026-06-302026-08-15430$10,698None
FIDUCIARY FINANCIAL ADVISORS2026-06-302026-08-15151$3,757None
FIDUCIARY FINANCIAL ADVISORS2026-06-302026-08-151,332$33,140None
FIDUCIARY FINANCIAL ADVISORS2026-06-302026-08-15500$12,440None
FIDUCIARY FINANCIAL ADVISORS2026-06-302026-08-15100$2,488None
FIDUCIARY FINANCIAL ADVISORS2026-06-302026-08-15500$12,440None
FIDUCIARY FINANCIAL ADVISORS2026-06-302026-08-15530$13,186None
FIDUCIARY FINANCIAL ADVISORS2026-06-302026-08-151,600$39,808None
FIDUCIARY FINANCIAL ADVISORS2026-06-302026-08-151,350$33,588None
FIDUCIARY FINANCIAL ADVISORS2026-06-302026-08-15448$11,121None
FIDUCIARY FINANCIAL ADVISORS2026-06-302026-08-15826$20,526None
Waverly Advisors, LLC2026-06-302026-08-15782,901$19,478,565None
Keel Point, LLC2026-06-302026-08-15235,009$5,847,036None
&PARTNERS2026-06-302026-08-15661,016$16,245,210None
Financial Engines Advisors L.L.C.2026-06-302026-08-1512,813$318,787None
Thrivent Financial for Lutherans2026-06-302026-08-15114,065$2,838,000None
Thrivent Financial for Lutherans2026-06-302026-08-1511,745$292,000None
JONES FINANCIAL COMPANIES LLLP2026-06-302026-08-15625$15,569None
AMERIPRISE FINANCIAL INC2026-06-302026-08-151,030$25,626None
AMERIPRISE FINANCIAL INC2026-06-302026-08-15982$24,432None

90-day public filing window, up to 50 source positions.

B. Riley Wealth Advisors, Inc. ↗TUCKER ASSET MANAGEMENT LLC ↗TUCKER ASSET MANAGEMENT LLC ↗HORAN Wealth, LLC ↗Bernard Wealth Management Corp. ↗Rehmann Capital Advisory Group ↗Kingsview Wealth Management, LLC ↗Equitable Holdings, Inc. ↗CENTAURUS FINANCIAL, INC. ↗Sequent Planning LLC ↗

Recent Congressional disclosures

No matching Congressional transactions were returned in this source preview.

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No records are available for this view.

Bounded public source preview, up to 25 disclosed events.

How to read the disclosure dates

The tables report different things: insider transactions, institutional positions and Congressional transaction ranges. Read each table with its source dates and units. They cannot be added into a combined ownership percentage.

  1. Company insiders

    SEC Form 4 purchases, sales and awards report transactions and their public filing availability.

  2. Institutional managers

    13F reports disclose delayed quarter-end positions. They are not a record of trades between quarters.

  3. Congressional filers

    Periodic transaction reports disclose transaction dates and amount brackets. Public filing dates determine what researchers could know.

Institutional source directory ↗Congressional source directory ↗

Read the transaction codes

Awards use transaction code A, purchases P and sales S. An acquisition from an award is not the same as an open-market purchase. Joint filers may share a transaction. Use original receipts and availability dates to interpret the events.

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