Who owns First Trust Emerging Markets Small Cap AlphaDEX Fund?
Prices and market caps: Cboe delayed data, at least 15 minutes delayed. Not real-time. Fundamentals from company filings.
Institutional ownership of FEMS from SEC Form 13F filings across 65 reporting managers. All positions are from one synchronized reporting period — 2026-06-30 books, filed up to 45 days after quarter end — so every row is comparable.
As of the 2026-06-30 reporting period, 65 institutions disclosed 3.3M shares of First Trust Emerging Markets Small Cap AlphaDEX Fund worth $150.4M — about 57% of shares outstanding; the largest disclosed holder is MORGAN STANLEY. Source: SEC Form 13F filings, parsed by EvidInvest.
65
13F holders
$150.4M
value, 2026 filers
57%
of shares outstanding (3.3M sh)
7
new positions (2026 filers)
Top institutional holders
ordered by shares owned · positions as of 2026-06-30 · % of fund = share of the manager's own book · % of co. = share of FEMS's shares outstanding
| # | Manager | Shares | Value | % of fund | % of co. | Δ shares QoQ |
|---|---|---|---|---|---|---|
| 1 | MORGAN STANLEY | 466,103 | $21.3M | 0.0% | 8.1% | -6.7% |
| 2 | WELLS FARGO & COMPANY/MN | 443,087 | $20.2M | 0.0% | 7.7% | +13.1% |
| 3 | LPL Financial LLC | 272,507 | $12.4M | 0.0% | 4.7% | +12.3% |
| 4 | Beta Wealth Group, Inc. | 210,210 | $9.6M | 3.6% | 3.6% | +8.0% |
| 5 | RAYMOND JAMES FINANCIAL INC | 201,773 | $9.2M | 0.0% | 3.5% | -8.4% |
| 6 | Arax Advisory Partners | 146,406 | $6.7M | 0.0% | 2.5% | +8.4% |
| 7 | 626 Financial, LLC | 146,375 | $6.7M | 2.6% | 2.5% | +4.3% |
| 8 | Private Advisor Group, LLC | 119,795 | $5.5M | 0.0% | 2.1% | -1.1% |
| 9 | JONES FINANCIAL COMPANIES LLLP | 98,949 | $4.5M | 0.0% | 1.7% | +3.8% |
| 10 | VestGen Advisors, LLC | 76,378 | $3.5M | 0.1% | 1.3% | +4.4% |
| 11 | Cetera Investment Advisers | 74,935 | $3.4M | 0.0% | 1.3% | +1.0% |
| 12 | Archer Investment Corp | 71,600 | $3.3M | 0.6% | 1.2% | +3.6% |
| 13 | Baird Financial Group, Inc. | 68,862 | $3.1M | 0.0% | 1.2% | +68.4% |
| 14 | FLOW TRADERS U.S. LLC | 64,808 | $3.0M | 0.1% | 1.1% | -28.6% |
| 15 | Trivium Point Advisory, LLC | 61,685 | $2.8M | 0.3% | 1.1% | +259.2% |
| 16 | ROYAL BANK OF CANADA | 60,500 | $2.8M | 0.0% | 1% | +15.3% |
| 17 | HBW ADVISORY SERVICES LLC | 56,030 | $2.6M | 0.2% | 1% | +9.3% |
| 18 | Crusonia Wealth Advisors LLC | 54,287 | $2.5M | 0.4% | 0.9% | 0.0% |
| 19 | STIFEL FINANCIAL CORP | 51,866 | $2.4M | 0.0% | 0.9% | +3.1% |
| 20 | OLD MISSION CAPITAL LLC | 49,671 | $2.3M | 0.0% | 0.9% | +193.8% |
| 21 | UBS Group AG | 44,940 | $2.1M | 0.0% | 0.8% | -10.6% |
| 22 | Cornerstone Planning Group LLC | 44,430 | $2.0M | 0.3% | 0.8% | -7.3% |
| 23 | Quad-Cities Investment Group, LLC | 44,095 | $2.0M | 0.7% | 0.8% | -2.6% |
| 24 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 40,646 | $1.9M | 0.0% | 0.7% | -2.8% |
| 25 | OSAIC HOLDINGS, INC. | 35,890 | $1.6M | 0.0% | 0.6% | +16.4% |
Source: SEC Form 13F-HR filings (institutional managers over $100M in US-listed positions). 13Fs disclose long positions only, up to 45 days after quarter end; each manager's latest filed quarter is shown per row and dollar values are the manager's filed marks. Aggregates labeled "2026 filers" count only managers whose latest book is a 2026 quarter. Related: valuation · options positioning · supply chain. Research, not investment advice.