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First Trust Dow Jones Select MicroCap Index Fund
FDM

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$8.42M +$1.87M +43,184 +33%
Baird Financial Group
2
Baird Financial Group
Wisconsin
$7.62M +$6.91M +159,098 New
CPIG
3
Chicago Partners Investment Group
Illinois
$4.5M +$246K +5,658 +7%
LPL Financial
4
LPL Financial
California
$3.84M -$41.6K -957 -1%
Wells Fargo
5
Wells Fargo
California
$3.25M -$377K -8,692 -11%
Mercer Global Advisors
6
Mercer Global Advisors
Colorado
$2.73M +$80.5K +1,855 +3%
CCP
7
Cardan Capital Partners
Colorado
$2.69M -$4.64M -106,972 -66%
EWM
8
Empirical Wealth Management
Washington
$2.58M -$214K -4,933 -8%
CP
9
Camelot Portfolios
Ohio
$1.68M -$110K -2,544 -7%
UBS Group
10
UBS Group
Switzerland
$1.59M -$317K -7,309 -18%
Susquehanna International Group
11
Susquehanna International Group
Pennsylvania
$1.45M +$426K +9,820 +48%
FAIM
12
Financial Advocates Investment Management
Washington
$1.43M -$98.1K -2,260 -7%
Thrivent Financial for Lutherans
13
Thrivent Financial for Lutherans
Minnesota
$1.12M – – –
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$1.06M -$952K -21,924 -50%
Commonwealth Equity Services
15
Commonwealth Equity Services
Massachusetts
$1.01M +$7.38K +170 +0.8%
Bank of America
16
Bank of America
North Carolina
$873K -$315K -7,252 -28%
RJFSA
17
Raymond James Financial Services Advisors
Florida
$804K +$9.77K +225 +1%
Truist Financial
18
Truist Financial
North Carolina
$792K -$6.08K -140 -0.8%
Citadel Advisors
19
Citadel Advisors
Florida
$754K +$69.7K +1,606 +11%
MFGM
20
Marshall Financial Group (Maryland)
Maryland
$738K +$670K +15,423 New
WMG
21
WESCAP Management Group
California
$720K +$143K +3,287 +28%
AFP
22
Ausdal Financial Partners
Iowa
$673K -$1.45M -33,368 -70%
Osaic Holdings
23
Osaic Holdings
Arizona
$557K +$75.3K +1,735 +17%
Goldman Sachs
24
Goldman Sachs
New York
$535K +$485K +11,168 New
TAIM
25
TD Ameritrade Investment Management
Nebraska
$497K -$33.6K -774 -7%
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