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First Trust Emerging Markets Small Cap AlphaDEX Fund
FEMS

Name Holding Trade Value Shares
Change 		Change in
Stake
Wells Fargo
1
Wells Fargo
California
$9.73M +$5.35M +155,200 +104%
LPL Financial
2
LPL Financial
California
$6.37M +$278K +8,078 +4%
6F
3
626 Financial
Michigan
$6.06M -$309K -8,952 -5%
FAIM
4
Financial Advocates Investment Management
Washington
$4.52M -$6.86K -199 -0.1%
Morgan Stanley
5
Morgan Stanley
New York
$4.23M +$324K +9,414 +8%
UBS Group
6
UBS Group
Switzerland
$3.57M -$541K -15,693 -12%
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$2.73M -$56.2K -1,631 -2%
RW
8
RVW Wealth
California
$2.66M -$147K -4,275 -5%
WP
9
WealthSource Partners
California
$2.03M +$234K +6,780 +12%
CAN
10
Cetera Advisor Networks
California
$1.93M +$341K +9,892 +19%
Cambridge Investment Research Advisors
11
Cambridge Investment Research Advisors
Iowa
$1.84M -$26.2K -759 -1%
CAPTRUST Financial Advisors
12
CAPTRUST Financial Advisors
North Carolina
$1.3M +$1.4M +40,715 New
RJA
13
Raymond James & Associates
Florida
$1.02M +$17.5K +509 +2%
SA
14
SFI Advisors
New Jersey
$794K – – –
Stifel Financial
15
Stifel Financial
Missouri
$735K +$795K +23,055 New
CA
16
Cetera Advisors
Colorado
$714K +$285K +8,278 +59%
QCIG
17
Quad-Cities Investment Group
Iowa
$642K +$371K +10,766 +115%
AWA
18
Arkadios Wealth Advisors
Georgia
$552K +$32.3K +936 +6%
AFA
19
American Financial Advisors
Georgia
$543K +$586K +17,013 New
HAS
20
HBW Advisory Services
California
$541K -$241 -7 -0%
SFP
21
Sweet Financial Partners
Minnesota
$516K – – –
OC
22
Oppenheimer & Co
New York
$488K +$8.1K +235 +2%
MML Investors Services
23
MML Investors Services
Massachusetts
$484K +$10.5K +306 +2%
EAM
24
Empirical Asset Management
Massachusetts
$476K -$99.3K -2,882 -16%
Osaic Holdings
25
Osaic Holdings
Arizona
$470K +$47.2K +1,369 +10%
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