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First Trust Emerging Markets Small Cap AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
CAPTRUST Financial Advisors
26
CAPTRUST Financial Advisors
North Carolina
$1.61M -$121K -3,158 -7%
TC
27
TownSquare Capital
Utah
$1.54M +$1.53M +39,839 New
RW
28
RVW Wealth
California
$1.52M -$86.4K -2,252 -5%
CA
29
Cetera Advisors
Colorado
$1.46M +$254K +6,612 +21%
Baird Financial Group
30
Baird Financial Group
Wisconsin
$1.09M -$3.11K -81 -0.3%
OMC
31
Old Mission Capital
Illinois
$1.09M -$2.34M -60,971 -68%
Envestnet Asset Management
32
Envestnet Asset Management
Illinois
$1.03M +$240K +6,256 +31%
MML Investors Services
33
MML Investors Services
Massachusetts
$990K +$118K +3,077 +14%
FTUS
34
Flow Traders U.S.
New York
$989K +$981K +25,558 New
HAS
35
HBW Advisory Services
California
$948K – – –
BA
36
Bridge Advisory
California
$917K -$400K -10,437 -31%
EH
37
Equitable Holdings
New York
$899K -$505K -13,168 -36%
SA
38
SFI Advisors
New Jersey
$892K – – –
Northwestern Mutual Wealth Management
39
Northwestern Mutual Wealth Management
Wisconsin
$767K +$75.7K +1,974 +11%
SFP
40
Sweet Financial Partners
Minnesota
$745K – – –
OC
41
Oppenheimer & Co
New York
$709K +$10.8K +281 +2%
WEG
42
World Equity Group
Illinois
$697K +$58.7K +1,531 +9%
Janney Montgomery Scott
43
Janney Montgomery Scott
Pennsylvania
$546K +$6.33K +165 +1%
NFG
44
Nations Financial Group
Iowa
$445K -$307 -8 -0.1%
MA
45
Mutual Advisors
Nebraska
$402K -$158K -4,117 -28%
GIA
46
Gladstone Institutional Advisory
Florida
$352K +$41.3K +1,077 +13%
AFA
47
American Financial Advisors
Georgia
$287K -$111K -2,887 -28%
Goldman Sachs
48
Goldman Sachs
New York
$278K +$276K +7,183 New
PTC
49
Private Trust Company
Ohio
$270K +$50.8K +1,324 +23%
KAS
50
Kestra Advisory Services
Texas
$257K +$50.8K +1,324 +25%