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ETFs > Institutional Investor Information

Exchange-Traded Funds

First Trust exchange-traded funds (ETFs) are a useful tool for institutional investors seeking liquid access to market opportunities and may serve as effective building blocks for portfolio construction and diversification. Institutional investors are increasingly using ETFs for a variety of essential portfolio management practices, such as cash equitization and risk management.

Highlighted ETFs

ETF Implementation Strategies
Strategy Objective
Cash
Equitization
Manage cash drag on portfolios while maintaining market exposure during times of transition
Transition
Management
Maintain market exposure while searching for new managers
Rebalancing Reduce the time needed to implement periodic rebalancing of a portfolio
Portfolio
Completion
Fill a missing asset class in an allocation to maintain investment objectives
Asset
Allocation
Build tailored investment portfolios consistent with financial needs, risk tolerance and investment horizon
Risk
Management
Obtain long or short exposure to efficiently mitigate the risk of being over exposed to any one company or area of the market
Hedging ETFs can be purchased on margin and sold short, even on a downtick, providing maximum trading flexibility. Listed options are available on some ETFs and offer opportunities for additional hedging or to increase income*
Duration and Credit Adjustments Fine-tune targeted duration and credit quality of fixed income portfolios

*Substantial risks and higher costs may result from borrowing and short selling ETFs.

These strategies may not be suitable for all investors. Investors should consider their own situation and risk tolerance before investing.

Largest First Trust ETFs (AUM) – as of 9/21/2017
Fund Name Ticker Net Assets
First Trust Dow Jones Internet Index Fund FDN $4,677,686,821
First Trust Value Line® Dividend Index Fund FVD $3,850,323,519
First Trust Preferred Securities and Income ETF FPE $2,752,113,735
First Trust Dorsey Wright Focus 5 ETF FV $2,376,920,896
First Trust NASDAQ-100-Technology Sector Index Fund QTEC $2,066,630,347
First Trust North American Energy Infrastructure Fund EMLP $1,814,484,723
First Trust Morningstar Dividend Leaders Index Fund FDL $1,664,440,300
First Trust Large Cap Core AlphaDEX® Fund FEX $1,490,869,379
First Trust Industrials/Producer Durables AlphaDEX® Fund FXR $1,445,109,683
First Trust Senior Loan Fund FTSL $1,331,685,236

This web page is designed for the needs of institutional investors. For further assistance, please contact the people listed below.

Institutional Business Development
Alex Brozyna
Eric Stoiber
Craig Pierce
Brendan Mahoney
E-Mail: Institutional@ftportfolios.com
Phone: 866-514-7767

ETF Capital Markets Team
ETF Liquidity & Execution Team
E-Mail: etfpm@ftadvisors.com
Phone: 630-765-8300

We offer institutional investors access to a number of different reports and documents. To request them, please provide us with your contact information and choose which ones you would like to receive.

Institutional Reports & Documents 
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You should consider the fund's investment objectives, risks, and charges and expenses carefully before investing. You can download a prospectus or summary prospectus, or contact First Trust Portfolios L.P. at 1-800-621-1675 to request a prospectus or summary prospectus which contains this and other information about the fund. The prospectus or summary prospectus should be read carefully before investing.


Risk Considerations

The fund's shares will change in value, and you could lose money by investing in the fund.

An index fund's return may not match the return of the applicable index.

A fund may not be fully invested at times. Securities held by an index fund will generally not be bought or sold in response to market fluctuations. The securities held by a fund may be issued by companies concentrated in a particular industry or country.

A fund may invest in small capitalization and mid capitalization companies. Such companies may experience greater price volatility than larger, more established companies.

An investment in a fund containing equity securities of foreign issuers is subject to additional risks, including currency fluctuations, political risks, withholding, the lack of adequate financial information, and exchange control restrictions impacting foreign issuers. These risks may be heightened for securities of companies located in, or with significant operations in, emerging market countries.

Investors buying or selling fund shares on the secondary market may incur customary brokerage commissions. Investors who sell fund shares may receive less than the share's net asset value. Shares may be sold throughout the day on the exchange through any brokerage account. However, shares may only be redeemed directly from the fund by authorized participants, in very large creation/redemption units.

Actively managed funds are subject to management risk. In managing a fund's investment portfolio, the advisor or sub-advisor (as applicable) will apply investment techniques and risk analyses that may not have the desired result.

There can be no guarantee that a fund will meet its investment objective. With the exception of MDIV, FDM, FVI, FVD and FVL, the funds are classified as "non-diversified." A non-diversified fund generally may invest a larger percentage of its assets in the securities of a smaller number of issuers. As a result, these funds may be more susceptible to the risks associated with these particular companies, or to a single economic, political or regulatory occurrence affecting these companies.

First Trust Advisors L.P. is the adviser to the funds. First Trust Advisors L.P. is an affiliate of First Trust Portfolios L.P., the fund's distributor.
 
The information presented is not intended to constitute an investment recommendation for, or advice to, any specific person. By providing this information, First Trust is not undertaking to give advice in any fiduciary capacity within the meaning of ERISA and the Internal Revenue Code. First Trust has no knowledge of and has not been provided any information regarding any investor. Financial advisors must determine whether particular investments are appropriate for their clients. First Trust believes the financial advisor is a fiduciary, is capable of evaluating investment risks independently and is responsible for exercising independent judgment with respect to its retirement plan clients.
First Trust Portfolios L.P.  Member SIPC and FINRA.
First Trust Advisors L.P.
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