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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
$6.11M -$1.09M -27,964 -15%
Morgan Stanley
2
Morgan Stanley
New York
$4.97M +$4.96K +127 +0.1%
CPIG
3
Chicago Partners Investment Group
Illinois
$3.23M -$522K -13,341 -14%
LPL Financial
4
LPL Financial
California
$3.04M +$1.47M +37,646 +86%
Wells Fargo
5
Wells Fargo
California
$2.87M +$276K +7,060 +10%
EWM
6
Empirical Wealth Management
Washington
$2.21M -$152K -3,880 -6%
RJA
7
Raymond James & Associates
Florida
$2.1M +$17.9K +459 +0.8%
Mercer Global Advisors
8
Mercer Global Advisors
Colorado
$2.06M +$237K +6,050 +12%
AFP
9
Ausdal Financial Partners
Iowa
$1.78M +$1.85M +47,419 New
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$1.65M +$1.15M +29,395 +201%
UBS Group
11
UBS Group
Switzerland
$1.52M -$205K -5,248 -11%
CP
12
Camelot Portfolios
Ohio
$1.41M +$94.7K +2,423 +7%
FAIM
13
Financial Advocates Investment Management
Washington
$1.2M +$1.25M +32,078 New
Bank of America
14
Bank of America
North Carolina
$955K -$242K -6,198 -20%
Commonwealth Equity Services
15
Commonwealth Equity Services
Massachusetts
$785K +$83.9K +2,145 +11%
Susquehanna International Group
16
Susquehanna International Group
Pennsylvania
$767K +$135K +3,461 +20%
Truist Financial
17
Truist Financial
North Carolina
$626K -$13.8K -354 -2%
RJFSA
18
Raymond James Financial Services Advisors
Florida
$621K -$17.6K -449 -3%
FWM
19
Frontier Wealth Management
Missouri
$561K -$46.8K -1,198 -7%
Citadel Advisors
20
Citadel Advisors
Florida
$530K +$339K +8,664 +158%
WMG
21
WESCAP Management Group
California
$440K -$1.92K -49 -0.4%
SPC
22
Sigma Planning Corp
Michigan
$435K +$454K +11,616 New
TAIM
23
TD Ameritrade Investment Management
Nebraska
$418K -$46.4K -1,188 -10%
Osaic Holdings
24
Osaic Holdings
Arizona
$372K +$58.8K +1,503 +18%
CA
25
Cetera Advisors
Colorado
$342K -$19.2K -490 -5%
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