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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
$19.2M +$471K +11,310 +2%
LPL Financial
2
LPL Financial
California
$14.4M +$743K +17,815 +5%
Bank of America
3
Bank of America
North Carolina
$10.2M -$1.37M -32,884 -11%
3AM
4
3D Asset Management
Connecticut
$8.99M -$8.84M -212,010 -47%
UBS Group
5
UBS Group
Switzerland
$7.96M -$430K -10,318 -5%
Susquehanna International Group
6
Susquehanna International Group
Pennsylvania
$5.55M +$6.06M +145,296 New
RJA
7
Raymond James & Associates
Florida
$5.45M -$231K -5,535 -4%
Jane Street
8
Jane Street
New York
$3.49M +$3.81M +91,346 New
Envestnet Asset Management
9
Envestnet Asset Management
Illinois
$3.19M -$315K -7,553 -8%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$2.96M +$55.2K +1,323 +2%
Stifel Financial
11
Stifel Financial
Missouri
$2.52M -$951K -22,821 -26%
FWM
12
Frontier Wealth Management
Missouri
$1.68M +$58.9K +1,412 +3%
AI
13
Atria Investments
North Carolina
$1.62M -$1.78M -42,694 -50%
LNC
14
Lincoln National Corp
Pennsylvania
$1.62M +$1.03M +24,674 +139%
Cambridge Investment Research Advisors
15
Cambridge Investment Research Advisors
Iowa
$1.51M +$509K +12,218 +45%
SS
16
Simplicity Solutions
Minnesota
$1.45M -$35.4K -849 -2%
LTFS
17
Ladenburg Thalmann Financial Services
Florida
$1.43M
MML Investors Services
18
MML Investors Services
Massachusetts
$1.26M +$308K +7,388 +29%
AG
19
Advisor Group
Arizona
$1.17M -$56.5K -1,356 -4%
Bank of Nova Scotia
20
Bank of Nova Scotia
Ontario, Canada
$1M +$878K +21,074 +408%
PAG
21
Private Advisor Group
New Jersey
$973K +$1.06M +25,482 New
Commonwealth Equity Services
22
Commonwealth Equity Services
Massachusetts
$901K -$54.2K -1,300 -5%
GRP
23
Global Retirement Partners
California
$845K +$921K +22,104 New
GLA
24
Good Life Advisors
Pennsylvania
$799K +$309K +7,401 +55%
Citadel Advisors
25
Citadel Advisors
Florida
$728K -$4.61M -110,525 -85%