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First Trust Dow Jones Select MicroCap Index Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Baird Financial Group
1
Baird Financial Group
Wisconsin
$10.3M -$677K -10,748 -6%
Wells Fargo
2
Wells Fargo
California
$8.65M +$299K +4,750 +4%
LPL Financial
3
LPL Financial
California
$8.02M +$624K +9,913 +9%
Morgan Stanley
4
Morgan Stanley
New York
$7.83M -$191K -3,026 -2%
CPIG
5
Chicago Partners Investment Group
Illinois
$7.51M +$1.68M +26,685 +27%
Kayne Anderson Rudnick Investment Management
6
Kayne Anderson Rudnick Investment Management
California
$6.5M +$6.41M +101,691 New
Envestnet Asset Management
7
Envestnet Asset Management
Illinois
$4.29M +$2.26M +35,949 +115%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$4.28M -$339K -5,388 -7%
EWM
9
Empirical Wealth Management
Washington
$2.95M -$124K -1,973 -4%
Citadel Advisors
10
Citadel Advisors
Florida
$2.75M +$2.71M +43,039 New
UBS Group
11
UBS Group
Switzerland
$2.62M +$653K +10,363 +34%
WMG
12
WESCAP Management Group
California
$2.46M +$569K +9,029 +31%
FAIM
13
Financial Advocates Investment Management
Washington
$2.42M +$456K +7,238 +24%
NW
14
Naviter Wealth
Arkansas
$2.33M +$2.29M +36,416 New
CP
15
Camelot Portfolios
Ohio
$2.32M +$278K +4,417 +14%
Stifel Financial
16
Stifel Financial
Missouri
$1.45M +$377K +5,989 +36%
RJFSA
17
Raymond James Financial Services Advisors
Florida
$1.16M +$74.8K +1,187 +7%
Commonwealth Equity Services
18
Commonwealth Equity Services
Massachusetts
$1.08M -$54.7K -869 -5%
Osaic Holdings
19
Osaic Holdings
Arizona
$1.02M -$92.9K -1,475 -8%
Bank of America
20
Bank of America
North Carolina
$768K -$76.9K -1,221 -9%
Truist Financial
21
Truist Financial
North Carolina
$752K -$248K -3,943 -25%
Mercer Global Advisors
22
Mercer Global Advisors
Colorado
$752K -$72.2K -1,146 -9%
AFP
23
Ausdal Financial Partners
Iowa
$662K -$90.1K -1,431 -12%
TAIM
24
TD Ameritrade Investment Management
Nebraska
$642K -$68.3K -1,084 -10%
HighTower Advisors
25
HighTower Advisors
Illinois
$582K +$571K +9,065 New