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First Trust Emerging Markets Small Cap AlphaDEX Fund
FEMS

Name Holding Trade Value Shares
Change 		Change in
Stake
AFA
1
American Financial Advisors
Georgia
$20.3M -$806K -23,029 -4%
Bank of America
2
Bank of America
North Carolina
$11.9M -$1.66M -47,263 -12%
LPL Financial
3
LPL Financial
California
$6.43M +$29.4K +840 +0.4%
Jane Street
4
Jane Street
New York
$3.84M +$1.04M +29,599 +35%
Morgan Stanley
5
Morgan Stanley
New York
$3.26M -$743K -21,217 -18%
UBS Group
6
UBS Group
Switzerland
$3.08M -$233K -6,642 -7%
Susquehanna International Group
7
Susquehanna International Group
Pennsylvania
$2.8M +$828K +23,634 +40%
RW
8
RVW Wealth
California
$2.42M -$31.7K -905 -1%
FWM
9
Frontier Wealth Management
Missouri
$2.14M +$802K +22,890 +56%
LNC
10
Lincoln National Corp
Pennsylvania
$2.04M -$36.7K -1,047 -2%
Cambridge Investment Research Advisors
11
Cambridge Investment Research Advisors
Iowa
$1.8M -$3.55M -101,487 -65%
RJA
12
Raymond James & Associates
Florida
$1.25M -$49.3K -1,407 -4%
Wells Fargo
13
Wells Fargo
California
$1.25M +$53.9K +1,538 +4%
MML Investors Services
14
MML Investors Services
Massachusetts
$1.03M -$73.5K -2,098 -6%
RJFSA
15
Raymond James Financial Services Advisors
Florida
$701K +$513K +14,653 +236%
KAS
16
Kestra Advisory Services
Texas
$526K +$549K +15,678 New
CCM
17
Chiron Capital Management
Florida
$516K +$538K +15,358 New
OC
18
Oppenheimer & Co
New York
$508K -$4.31K -123 -0.8%
Osaic Holdings
19
Osaic Holdings
Arizona
$462K -$117K -3,328 -19%
CAN
20
Cetera Advisor Networks
California
$436K -$15.1K -431 -3%
CG
21
Colony Group
Massachusetts
$383K – – –
Janney Montgomery Scott
22
Janney Montgomery Scott
Pennsylvania
$354K -$235K -6,717 -39%
QCIG
23
Quad-Cities Investment Group
Iowa
$335K -$5.04K -144 -1%
WWM
24
Western Wealth Management
Colorado
$304K -$12K -344 -4%
Royal Bank of Canada
25
Royal Bank of Canada
Ontario, Canada
$274K -$24.6K -702 -8%
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