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First Trust Dow Jones Select MicroCap Index Fund
FDM

Name Holding Trade Value Shares
Change 		Change in
Stake
CCP
1
Cardan Capital Partners
Colorado
$7.48M +$3.46M +96,996 +103%
Morgan Stanley
2
Morgan Stanley
New York
$5.18M +$391K +10,973 +9%
CPIG
3
Chicago Partners Investment Group
Illinois
$3.64M +$270K +7,578 +9%
Wells Fargo
4
Wells Fargo
California
$2.72M +$87.4K +2,453 +4%
EWM
5
Empirical Wealth Management
Washington
$2.45M -$446K -12,509 -17%
RJA
6
Raymond James & Associates
Florida
$2.18M -$69.2K -1,940 -3%
LFG
7
Larson Financial Group
Missouri
$2.11M +$448K +12,578 +30%
Mercer Global Advisors
8
Mercer Global Advisors
Colorado
$1.92M +$682K +19,120 +64%
UBS Group
9
UBS Group
Switzerland
$1.79M +$565K +15,851 +53%
LPL Financial
10
LPL Financial
California
$1.71M +$303K +8,504 +24%
CP
11
Camelot Portfolios
Ohio
$1.38M +$34.1K +956 +3%
Bank of America
12
Bank of America
North Carolina
$1.24M +$162K +4,534 +17%
Commonwealth Equity Services
13
Commonwealth Equity Services
Massachusetts
$736K +$49.3K +1,384 +8%
Truist Financial
14
Truist Financial
North Carolina
$667K -$141K -3,943 -19%
RJFSA
15
Raymond James Financial Services Advisors
Florida
$666K +$237K +6,641 +64%
Susquehanna International Group
16
Susquehanna International Group
Pennsylvania
$665K -$568K -15,947 -48%
FWM
17
Frontier Wealth Management
Missouri
$632K -$144K -4,049 -20%
Royal Bank of Canada
18
Royal Bank of Canada
Ontario, Canada
$571K -$165K -4,635 -24%
TAIM
19
TD Ameritrade Investment Management
Nebraska
$482K +$123K +3,438 +39%
WMG
20
WESCAP Management Group
California
$462K -$141K -3,945 -25%
CA
21
Cetera Advisors
Colorado
$376K -$251K -7,055 -42%
FA
22
FMA Advisory
Pennsylvania
$347K -$5.49K -154 -2%
Osaic Holdings
23
Osaic Holdings
Arizona
$329K -$46.9K -1,317 -14%
BCA
24
Bay Colony Advisors
Massachusetts
$320K -$3.96K -111 -1%
IFG
25
Independent Financial Group
California
$295K +$268K +7,532 New
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