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First Trust Dow Jones Select MicroCap Index Fund
FDM

Name Holding Trade Value Shares
Change 		Change in
Stake
Baird Financial Group
1
Baird Financial Group
Wisconsin
$10M +$276K +4,529 +3%
Morgan Stanley
2
Morgan Stanley
New York
$8.07M +$697K +11,424 +9%
LPL Financial
3
LPL Financial
California
$7.76M +$203K +3,335 +3%
CPIG
4
Chicago Partners Investment Group
Illinois
$6.39M -$442K -7,253 -6%
Wells Fargo
5
Wells Fargo
California
$6.31M -$1.86M -30,535 -23%
Royal Bank of Canada
6
Royal Bank of Canada
Ontario, Canada
$3.92M -$113K -1,854 -3%
FAIM
7
Financial Advocates Investment Management
Washington
$3.12M +$855K +14,024 +37%
WMG
8
WESCAP Management Group
California
$2.95M +$640K +10,495 +27%
EWM
9
Empirical Wealth Management
Washington
$2.68M -$99.8K -1,637 -4%
CP
10
Camelot Portfolios
Ohio
$1.95M -$246K -4,040 -11%
UBS Group
11
UBS Group
Switzerland
$1.89M -$584K -9,572 -23%
Envestnet Asset Management
12
Envestnet Asset Management
Illinois
$1.57M -$2.5M -41,039 -61%
RJFSA
13
Raymond James Financial Services Advisors
Florida
$1.3M +$212K +3,479 +19%
Stifel Financial
14
Stifel Financial
Missouri
$1.21M -$160K -2,623 -12%
WP
15
WealthSource Partners
California
$1.06M +$1.07M +17,613 New
Commonwealth Equity Services
16
Commonwealth Equity Services
Massachusetts
$995K -$20.1K -330 -2%
Citadel Advisors
17
Citadel Advisors
Florida
$953K -$1.66M -27,217 -63%
Susquehanna International Group
18
Susquehanna International Group
Pennsylvania
$953K +$635K +10,421 +193%
TRCT
19
Tower Research Capital (TRC)
New York
$914K +$800K +13,118 +639%
Osaic Holdings
20
Osaic Holdings
Arizona
$791K -$168K -2,759 -17%
Truist Financial
21
Truist Financial
North Carolina
$713K +$5.3K +87 +0.7%
AFP
22
Ausdal Financial Partners
Iowa
$627K +$3.05K +50 +0.5%
TAIM
23
TD Ameritrade Investment Management
Nebraska
$607K +$976 +16 +0.2%
HighTower Advisors
24
HighTower Advisors
Illinois
$545K +$3.9K +64 +0.7%
CA
25
Cetera Advisors
Colorado
$541K – – –
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