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First Trust Emerging Markets Small Cap AlphaDEX Fund
FEMS

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$16.3M +$10.3M +286,610 +216%
Wells Fargo
2
Wells Fargo
California
$15.1M +$2.97M +82,717 +27%
LPL Financial
3
LPL Financial
California
$8.28M +$464K +12,926 +6%
6F
4
626 Financial
Michigan
$7.63M +$219K +6,103 +3%
FAIM
5
Financial Advocates Investment Management
Washington
$5.18M -$319K -8,884 -6%
CPG
6
Cornerstone Planning Group
New Jersey
$5.13M +$4.62M +128,509 New
UBS Group
7
UBS Group
Switzerland
$4.57M +$192K +5,336 +5%
RJA
8
Raymond James & Associates
Florida
$3.57M +$2.15M +59,828 +188%
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$3.28M -$53.4K -1,488 -2%
RW
10
RVW Wealth
California
$3.24M – – –
WP
11
WealthPLAN Partners
Nebraska
$3.23M +$3.04M +84,628 New
WIM
12
WealthPlan Investment Management
Nebraska
$3.21M +$3.04M +84,628 New
WP
13
WealthSource Partners
California
$2.58M +$88.4K +2,462 +4%
CAN
14
Cetera Advisor Networks
California
$2.53M +$154K +4,283 +7%
Cambridge Investment Research Advisors
15
Cambridge Investment Research Advisors
Iowa
$2.3M +$41.4K +1,152 +2%
FPGK
16
Financial Partners Group (Kansas)
Kansas
$1.88M +$1.78M +49,674 New
CAPTRUST Financial Advisors
17
CAPTRUST Financial Advisors
North Carolina
$1.79M +$192K +5,347 +13%
Osaic Holdings
18
Osaic Holdings
Arizona
$1.52M +$871K +24,248 +164%
QCIG
19
Quad-Cities Investment Group
Iowa
$1.42M +$588K +16,362 +81%
RJFSA
20
Raymond James Financial Services Advisors
Florida
$990K +$478K +13,322 +110%
Stifel Financial
21
Stifel Financial
Missouri
$959K +$56.4K +1,571 +7%
SA
22
SFI Advisors
New Jersey
$928K -$38.3K -1,066 -4%
CA
23
Cetera Advisors
Colorado
$874K +$2.55K +71 +0.3%
KAS
24
Kestra Advisory Services
Texas
$777K +$480K +13,357 +203%
HAS
25
HBW Advisory Services
California
$702K +$38.9K +1,082 +6%
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