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First Trust Emerging Markets Small Cap AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$22M -$1.25M -27,720 -5%
3AM
2
3D Asset Management
Connecticut
$20.1M -$831K -18,428 -4%
LPL Financial
3
LPL Financial
California
$16.1M +$7.25M +160,797 +81%
Bank of America
4
Bank of America
North Carolina
$13.5M +$1.51M +33,502 +13%
UBS Group
5
UBS Group
Switzerland
$9.81M +$2.68M +59,450 +37%
RJA
6
Raymond James & Associates
Florida
$6.65M +$654K +14,503 +11%
Citadel Advisors
7
Citadel Advisors
Florida
$5.82M +$5.84M +129,569 New
Stifel Financial
8
Stifel Financial
Missouri
$4.01M +$2.36M +52,234 +141%
AI
9
Atria Investments
North Carolina
$3.82M +$2.05M +45,499 +115%
Envestnet Asset Management
10
Envestnet Asset Management
Illinois
$3.76M -$1.11M -24,640 -21%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$3.42M -$307K -6,819 -8%
FAAS
12
First Allied Advisory Services
California
$3.04M +$3.04M +67,404 +19,537%
FWM
13
Frontier Wealth Management
Missouri
$1.9M +$435K +9,643 +29%
SS
14
Simplicity Solutions
Minnesota
$1.74M +$331K +7,338 +23%
PCM
15
Penserra Capital Management
California
$1.65M +$1.66M +36,721 New
AG
16
Advisor Group
Arizona
$1.44M +$622K +13,787 +76%
LTFS
17
Ladenburg Thalmann Financial Services
Florida
$1.43M +$322K +7,149 +29%
JIP
18
Jaffetilchin Investment Partners
Florida
$1.26M +$935K +20,728 +282%
Cambridge Investment Research Advisors
19
Cambridge Investment Research Advisors
Iowa
$1.23M +$318K +7,051 +35%
MML Investors Services
20
MML Investors Services
Massachusetts
$1.15M +$779K +17,273 +209%
Commonwealth Equity Services
21
Commonwealth Equity Services
Massachusetts
$1.12M +$177K +3,931 +19%
CAN
22
Cetera Advisor Networks
California
$1.04M +$138K +3,055 +15%
RJFSA
23
Raymond James Financial Services Advisors
Florida
$963K +$294K +6,530 +44%
MIAN
24
Mariner Independent Advisor Network
Kansas
$957K +$136K +3,013 +16%
LNC
25
Lincoln National Corp
Pennsylvania
$795K +$799K +17,710 New