Mariner Independent Advisor Network’s First Trust Emerging Markets Small Cap AlphaDEX Fund FEMS Stock Holding History

Mariner Independent Advisor Network’s Portfolio FEMS Stock Details FEMS Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2018 Q4	–	Sell	-17,338	Closed	-$625K	–	359
2018 Q3	$625K	Buy	+17,338	New	+$650K	0.08%	171
2018 Q2	–	Sell	-21,319	Closed	-$957K	–	198
2018 Q1	$957K	Buy	21,319 +3,013	+16%	+$136K	0.06%	220
2017 Q4	$822K	Buy	+18,306	New	+$763K	0.09%	199

Other funds holding FEMS

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

Citadel Advisors Miami, Florida $618B AUM 30.34% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return

Jane Street New York $777B AUM 61.18% 1-Year Est. Return

RJA

Raymond James & Associates St Petersburg, Florida $164B AUM 33.91% 1-Year Est. Return

LNC

Lincoln National Corp Radnor, Pennsylvania $3.45B AUM 12.55% 1-Year Est. Return

Stifel Financial St. Louis, Missouri $109B AUM 21.36% 1-Year Est. Return

Mariner Independent Advisor Network's FEMS Position: Q4 2018 in Review

Mariner Independent Advisor Network sold out of First Trust Emerging Markets Small Cap AlphaDEX Fund (FEMS) in Q4 2018, closing a stake of 17,338 shares — an estimated $625K sold.

Mariner Independent Advisor Network first reported a position in FEMS in Q4 2017 and held it in 3 quarters. The position peaked at $957K in Q1 2018. 49 funds tracked by Wall St. Rank hold FEMS as of Q4 2018.

Mariner Independent Advisor Network reported no remaining First Trust Emerging Markets Small Cap AlphaDEX Fund position as of Q4 2018 after selling out during the quarter.
Mariner Independent Advisor Network sold 17,338 First Trust Emerging Markets Small Cap AlphaDEX Fund shares in Q4 2018, an estimated $625K.
Mariner Independent Advisor Network first reported a position in First Trust Emerging Markets Small Cap AlphaDEX Fund in Q4 2017 and held it in 3 quarters.
Mariner Independent Advisor Network's First Trust Emerging Markets Small Cap AlphaDEX Fund position peaked at $957K in Q1 2018.
49 funds tracked by Wall St. Rank held First Trust Emerging Markets Small Cap AlphaDEX Fund as of Q4 2018.

Based on Mariner Independent Advisor Network's 13F filing for Q4 2018, filed 12 Feb 2019.