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First Trust Emerging Markets AlphaDEX Fund
FEM

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$63.7M +$741K +28,573 +1%
LPL Financial
2
LPL Financial
California
$34M +$3.63M +139,999 +13%
Wells Fargo
3
Wells Fargo
California
$32.2M +$7.87M +303,320 +34%
Bank of America
4
Bank of America
North Carolina
$27.8M -$710K -27,385 -3%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$27M -$144K -5,557 -0.6%
UBS Group
6
UBS Group
Switzerland
$17.4M +$2.97M +114,386 +22%
EWM
7
Empirical Wealth Management
Washington
$16.3M -$122K -4,687 -0.8%
Envestnet Asset Management
8
Envestnet Asset Management
Illinois
$15.7M +$595K +22,920 +4%
SA
9
Sanctuary Advisors
Indiana
$14M +$101K +3,901 +0.8%
Cambridge Investment Research Advisors
10
Cambridge Investment Research Advisors
Iowa
$12.1M +$603K +23,235 +5%
Raymond James Financial
11
Raymond James Financial
Florida
$9.58M -$560K -21,573 -6%
State of Wisconsin Investment Board
12
State of Wisconsin Investment Board
Wisconsin
$8.5M – – –
Cetera Investment Advisers
13
Cetera Investment Advisers
Illinois
$7.75M +$885K +34,108 +14%
Bank of New York Mellon
14
Bank of New York Mellon
New York
$7.31M -$151K -5,803 -2%
AssetMark Inc
15
AssetMark Inc
California
$5.94M +$122K +4,699 +2%
PAG
16
Private Advisor Group
New Jersey
$4.86M -$67.6K -2,607 -1%
KWM
17
Kingsview Wealth Management
Oregon
$3.4M -$74.2K -2,862 -2%
AI
18
Atria Investments
North Carolina
$2.94M +$429K +16,525 +18%
OMC
19
Old Mission Capital
Illinois
$2.85M -$651K -25,094 -19%
MFG
20
Midwest Financial Group
Kansas
$2.48M -$3.09K -119 -0.1%
PFS
21
Prospera Financial Services
Texas
$1.94M +$136K +5,231 +8%
Osaic Holdings
22
Osaic Holdings
Arizona
$1.91M -$360K -13,870 -16%
BEI
23
Benjamin Edwards Inc
Missouri
$1.91M +$178K +6,848 +11%
PS
24
Principal Securities
Iowa
$1.88M +$258K +9,939 +17%
AWM
25
AE Wealth Management
Kansas
$1.62M -$70K -2,700 -4%
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