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First Trust Emerging Markets Small Cap AlphaDEX Fund (FEMS) Institutional Ownership

First Trust Emerging Markets Small Cap AlphaDEX Fund logo
$45.73 -0.03 (-0.07%)
As of 11:52 AM Eastern
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Institutional Ownership Changes (13F Filings) for First Trust Emerging Markets Small Cap AlphaDEX Fund (NASDAQ:FEMS)

Number of
Institutional Buyers
(last 12 months)
33
Total
Institutional Inflows
(last 12 months)
$11.36M
Number of
Institutional Sellers
(last 12 months)
30
Total
Institutional Outflows
(last 12 months)
$35.74M
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FEMS Institutional Buying and Selling by Quarter

First Trust Emerging Markets Small Cap AlphaDEX Fund Major Shareholders & Ownership History

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Reporting DateMajor Shareholder NameShares HeldMarket Value% of PortfolioQuarterly Change in SharesOwnership in CompanyDetails
7/7/2026 Quad Cities Investment Group LLC44,095$2.01M0.7%-2.6%0.795%
6/3/2026 NewEdge Advisors LLC81,963$3.73M0.0%+4.9%1.477%
5/19/2026 NewEdge Advisors LLC7,182$327K0.0%-90.8%0.129%
5/18/2026Royal Bank of Canada52,484$2.39M0.0%+7.4%0.946%
5/13/2026 Cetera Investment Advisers74,175$3.38M0.0%+6.0%1.336%
5/7/2026 Beta Wealth Group Inc.194,720$8.87M3.7%-2.9%3.508%
5/6/2026 Cornerstone Planning Group LLC47,905$2.31M0.3%-8.7%0.863%
5/4/2026 Archer Investment Corp69,100$3.15M0.7%+1.1%1.245%
5/4/2026 HBW Advisory Services LLC51,240$2.33M0.2%+22.5%0.923%
5/1/2026 Fifth Third Bancorp902$41K0.0%N/A0.016%
4/27/2026 Private Advisor Group LLC121,082$5.52M0.0%-0.7%2.182%
4/23/2026 626 Financial LLC140,372$6.39M2.9%-14.8%2.529%
4/22/2026 Janney Montgomery Scott LLC10,626$484K0.0%+7.2%0.191%
4/15/2026 Nations Financial Group Inc. IA ADV8,778$400K0.0%+6.5%0.158%
3/2/2026Sankala Group LLC2,218$93K0.1%N/A0.039%
2/18/2026 NewEdge Advisors LLC78,146$3.29M0.0%+11.3%1.383%
2/18/2026 Crusonia Wealth Advisors LLC58,941$2.48M0.5%N/A1.043%
2/18/2026 VestGen Advisors LLC71,601$3.01M0.1%+64.6%1.267%
2/18/2026OLD Mission Capital LLC30,608$1.29M0.0%-82.0%0.542%
2/17/2026 Cetera Investment Advisers69,995$2.95M0.0%-2.2%1.239%
2/17/2026Equitable Holdings Inc.6,900$290K0.0%-10.9%0.122%
2/17/2026Osaic Holdings Inc.21,705$914K0.0%-61.9%0.384%
2/17/2026 Private Advisor Group LLC121,988$5.14M0.0%+9.4%2.159%
2/17/2026Captrust Financial Advisors15,648$659K0.0%-34.9%0.277%
2/17/2026Royal Bank of Canada48,886$2.06M0.0%+12.0%0.865%
2/16/2026 Arax Advisory Partners130,988$5.51M0.2%+1.3%2.318%
2/16/2026 Beta Wealth Group Inc.200,556$8.44M3.4%-0.6%3.550%
2/13/2026 Kestra Advisory Services LLC1,624$68K0.0%N/A0.029%
2/13/2026 Stifel Financial Corp51,001$2.15M0.0%+5.0%0.903%
2/13/2026 Integrated Wealth Concepts LLC14,920$628K0.0%-87.5%0.264%
2/13/2026Wells Fargo & Company MN341,327$14.37M0.0%-1.4%6.041%
2/12/2026Jane Street Group LLC64,258$2.71M0.0%-13.6%1.137%
2/12/2026 Richmond Investment Services LLC9,198$387K0.1%-15.4%0.163%
2/12/2026 Commonwealth Equity Services LLC12,712$535K0.0%-4.0%0.225%
2/11/2026 LPL Financial LLC244,219$10.28M0.0%-33.0%4.322%
2/5/2026 626 Financial LLC164,705$6.93M3.0%+2.8%2.915%
2/3/2026 Indivisible Partners5,228$220K0.0%N/A0.093%
2/2/2026 Cornerstone Planning Group LLC52,496$2.42M0.4%-29.9%0.929%
2/2/2026 Oppenheimer & Co. Inc.22,032$927K0.0%+6.6%0.390%
1/30/2026 Archer Investment Corp68,337$2.88M0.6%-0.7%1.210%
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1/29/2026UBS Group AG57,883$2.44M0.0%-63.3%1.024%
1/26/2026 Trivium Point Advisory LLC63,476$2.67M0.3%+1.7%1.123%
1/26/2026 Merit Financial Group LLC5,248$221K0.0%+6.7%0.093%
1/26/2026 Private Trust Co. NA5,197$219K0.0%-12.4%0.092%
1/26/2026 Nations Financial Group Inc. IA ADV8,243$347K0.0%-13.5%0.146%
1/26/2026CWM LLC20,068$845K0.0%+1.5%0.355%
1/23/2026 Farther Finance Advisors LLC5,334$225K0.0%+1,714.3%0.094%
1/23/2026 Stonehaven Wealth & Tax Solutions LLC4,894$206K0.2%N/A0.086%
1/23/2026 HBW Advisory Services LLC41,838$1.76M0.2%-4.7%0.734%
11/17/2025Susquehanna International Group LLP31,817$1.41M0.0%+2.4%0.513%
11/17/2025 Integrated Wealth Concepts LLC119,447$5.28M0.0%+0.4%1.927%
11/17/2025Flow Traders U.S. LLC54,935$2.43M0.1%N/A0.886%
11/17/2025Citadel Advisors LLC12,729$562K0.0%N/A0.205%
11/17/2025Bank of America Corp DE22,177$980K0.0%-7.2%0.358%
11/14/2025Raymond James Financial Inc.218,829$9.67M0.0%-41.4%3.530%
11/14/2025Comerica Bank908$40K0.0%-50.2%0.015%
11/13/2025UBS Group AG157,536$6.96M0.0%-2.5%2.541%
11/13/2025 Private Advisor Group LLC111,516$4.93M0.0%+1.1%1.799%
11/12/2025 Trivium Point Advisory LLC62,413$2.76M0.3%+4.5%1.007%
11/7/2025 626 Financial LLC160,156$7.08M3.1%+0.4%2.583%
11/7/2025 Beta Wealth Group Inc.201,734$8.91M3.5%+4.3%3.254%
11/6/2025Ameritas Advisory Services LLC1,193$53K0.0%-20.1%0.019%
11/6/2025 Oppenheimer & Co. Inc.20,668$913K0.0%+5.3%0.333%
11/5/2025 Envestnet Asset Management Inc.84,840$3.75M0.0%+1.9%1.368%
11/4/2025 Cornerstone Planning Group LLC74,855$3.17M0.4%-3.5%1.207%
11/4/2025Jones Financial Companies Lllp99,385$4.33M0.0%-4.2%1.603%
11/3/2025 Archer Investment Corp68,824$3.04M0.7%+2.5%1.110%
10/29/2025 SFI Advisors LLC19,855$877K0.6%-2.4%0.320%
10/28/2025 Nations Financial Group Inc. IA ADV9,524$421K0.0%-2.9%0.154%
10/24/2025 World Equity Group Inc.25,778$1.14M0.3%+4.6%0.416%
10/16/2025 HBW Advisory Services LLC43,888$1.94M0.2%+25.7%0.708%
9/4/2025Osaic Holdings Inc.59,993$2.44M0.0%+3.2%0.937%
8/18/2025 Geneos Wealth Management Inc.1,066$43K0.0%+100.0%0.017%
8/15/2025Captrust Financial Advisors24,862$1.01M0.0%-3.0%0.388%
8/15/2025 MML Investors Services LLC14,956$607K0.0%-1.6%0.234%
8/14/2025Jane Street Group LLC31,172$1.27M0.0%+21.8%0.487%
8/14/2025Raymond James Financial Inc.373,424$15.17M0.0%-18.0%5.835%
8/14/2025 Stonehaven Wealth & Tax Solutions LLC7,810$317K0.3%-26.7%0.122%
8/13/2025 Baird Financial Group Inc.30,783$1.25M0.0%+2.5%0.481%
8/13/2025 VestGen Advisors LLC42,191$1.71M0.1%-1.1%0.659%
8/12/2025 Richmond Investment Services LLC10,864$441K0.1%+100.3%0.170%
8/12/2025Steward Partners Investment Advisory LLC3,983$162K0.0%-98.3%0.062%
8/11/2025 SFI Advisors LLC20,340$826K0.6%-2.5%0.318%
8/11/2025 Beta Wealth Group Inc.193,353$7.85M2.9%-17.9%3.021%
8/8/2025 Cetera Investment Advisers62,344$2.53M0.0%-1.6%0.974%
8/4/2025 Spire Wealth Management4,138$168K0.0%-15.7%0.065%
8/4/2025 626 Financial LLC159,492$6.48M3.0%-0.2%2.492%
8/1/2025 Envestnet Asset Management Inc.83,237$3.38M0.0%+7.6%1.301%
7/29/2025 Private Trust Co. NA5,935$241K0.0%+9.4%0.093%
7/25/2025CWM LLC19,529$793K0.0%+1.3%0.305%
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7/23/2025 626 Financial LLC159,492$6.48M3.5%-0.2%2.492%
7/21/2025Ameritas Advisory Services LLC1,494$61K0.0%N/A0.023%
7/17/2025 Trivium Point Advisory LLC59,745$2.43M0.3%+5.7%0.934%
7/17/2025 Janney Montgomery Scott LLC10,592$430K0.0%-9.5%0.166%
7/15/2025 RVW Wealth LLC13,602$552K0.0%-12.1%0.213%
7/11/2025 Quad Cities Investment Group LLC45,376$1.84M0.8%+0.8%0.744%
7/2/2025 HBW Advisory Services LLC34,927$1.42M0.2%+4.6%0.573%
5/19/2025Jane Street Group LLC25,596$951K0.0%-69.9%0.416%
5/16/2025Jones Financial Companies Lllp14,137$525K0.0%-79.6%0.223%
5/16/2025Integrated Wealth Concepts LLC113,951$4.24M0.0%+25.6%1.795%


FEMS Institutional Ownership - Frequently Asked Questions

During the previous two years, 68 institutional investors and hedge funds held shares of First Trust Emerging Markets Small Cap AlphaDEX Fund. The most heavily invested institutionals were Wells Fargo & Company MN ($14.37M), LPL Financial LLC ($10.28M), Raymond James Financial Inc. ($9.67M), Beta Wealth Group Inc. ($8.87M), 626 Financial LLC ($6.39M), Private Advisor Group LLC ($5.52M), and Arax Advisory Partners ($5.51M).Learn more on First Trust Emerging Markets Small Cap AlphaDEX Fund's institutional investors.

Of the 55 institutional investors that purchased First Trust Emerging Markets Small Cap AlphaDEX Fund's stock in the last 24 months, the following investors and hedge funds have bought the highest volume of shares: Raymond James Financial Inc. ($1.12M), Beta Wealth Group Inc. ($243.89K), OLD Mission Capital LLC ($107.76K), Flow Traders U.S. LLC ($91.38K), SRS Capital Advisors Inc. ($79.40K), Independent Advisor Alliance ($74.26K), and Merit Financial Group LLC ($70.09K).

Institutional investors have bought a total of 264,009 shares in the last 24 months. This purchase volume represents approximately $11.36M in transactions.

Of the 29 institutional investors that sold First Trust Emerging Markets Small Cap AlphaDEX Fund's stock in the last 24 months, the following investors and hedge funds have sold the highest volume of shares: Raymond James Financial Inc. ($154.60K), OLD Mission Capital LLC ($138.98K), LPL Financial LLC ($120.22K), Integrated Wealth Concepts LLC ($104.53K), UBS Group AG ($103.67K), NewEdge Advisors LLC ($70.96K), and Osaic Holdings Inc. ($35.23K).

Institutional investors have sold a total of 832,941 shares in the last 24 months. This volume of shares sold represents approximately $35.74M in transactions.


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Institutional ownership data for NASDAQ:FEMS is compiled from quarterly 13F filings submitted to the U.S. Securities and Exchange Commission (SEC), with the most recent received on 7/7/2026. New 13F filings are added each quarter as they're published.
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