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

First Trust Emerging Markets Small Cap AlphaDEX Fund logo
$46.02 -0.69 (-1.48%)
Closing price 03:59 PM Eastern
Extended Trading
$46.09 +0.07 (+0.15%)
As of 07:30 PM 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)
32
Total
Institutional Inflows
(last 12 months)
$12.61M
Number of
Institutional Sellers
(last 12 months)
31
Total
Institutional Outflows
(last 12 months)
$37.15M
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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
10/8/2026Farther Finance Advisors LLC23,841$1.05M0.0%-6.9%0.487%
9/23/2026Envestnet Asset Management Inc.11,892$543K0.0%-17.8%0.243%
9/9/2026MCF Advisors LLC1,408$64K0.0%N/A0.025%
9/9/2026Integrated Wealth Concepts LLC10,242$468K0.0%-63.9%0.185%
9/9/2026Baird Financial Group Inc.68,862$3.14M0.0%+68.4%1.241%
9/2/2026Citadel Advisors LLC14,478$661K0.0%-39.6%0.261%
7/7/2026Quad Cities Investment Group LLC44,095$2.01M0.7%-2.6%0.795%
6/3/2026NewEdge Advisors LLC81,963$3.73M0.0%+4.9%1.477%
5/19/2026NewEdge Advisors LLC7,182$327K0.0%-90.8%0.129%
5/18/2026Royal Bank of Canada52,484$2.39M0.0%+7.4%0.946%
5/13/2026Cetera Investment Advisers74,175$3.38M0.0%+6.0%1.336%
5/7/2026Beta Wealth Group Inc.194,720$8.87M3.7%-2.9%3.508%
5/6/2026Cornerstone Planning Group LLC47,905$2.31M0.3%-8.7%0.863%
5/4/2026Archer Investment Corp69,100$3.15M0.7%+1.1%1.245%
5/4/2026HBW Advisory Services LLC51,240$2.33M0.2%+22.5%0.923%
5/1/2026Fifth Third Bancorp902$41K0.0%N/A0.016%
4/27/2026Private Advisor Group LLC121,082$5.52M0.0%-0.7%2.182%
4/23/2026626 Financial LLC140,372$6.39M2.9%-14.8%2.529%
4/22/2026Janney Montgomery Scott LLC10,626$484K0.0%+7.2%0.191%
4/15/2026Nations Financial Group Inc. IA ADV8,778$400K0.0%+6.5%0.158%
3/2/2026Sankala Group LLC2,218$93K0.1%N/A0.039%
2/18/2026NewEdge Advisors LLC78,146$3.29M0.0%+11.3%1.383%
2/18/2026Crusonia Wealth Advisors LLC58,941$2.48M0.5%N/A1.043%
2/18/2026VestGen Advisors LLC71,601$3.01M0.1%+64.6%1.267%
2/18/2026OLD Mission Capital LLC30,608$1.29M0.0%-82.0%0.542%
2/17/2026Cetera 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%
2/17/2026Private 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%
2/16/2026Arax Advisory Partners130,988$5.51M0.2%+1.3%2.318%
2/16/2026Beta Wealth Group Inc.200,556$8.44M3.4%-0.6%3.550%
2/13/2026Kestra Advisory Services LLC1,624$68K0.0%N/A0.029%
2/13/2026Stifel Financial Corp51,001$2.15M0.0%+5.0%0.903%
2/13/2026Integrated 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%
2/12/2026Richmond Investment Services LLC9,198$387K0.1%-15.4%0.163%
2/12/2026Commonwealth Equity Services LLC12,712$535K0.0%-4.0%0.225%
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2/11/2026LPL Financial LLC244,219$10.28M0.0%-33.0%4.322%
2/5/2026626 Financial LLC164,705$6.93M3.0%+2.8%2.915%
2/3/2026Indivisible Partners5,228$220K0.0%N/A0.093%
2/2/2026Cornerstone Planning Group LLC52,496$2.42M0.4%-29.9%0.929%
2/2/2026Oppenheimer & Co. Inc.22,032$927K0.0%+6.6%0.390%
1/30/2026Archer Investment Corp68,337$2.88M0.6%-0.7%1.210%
1/29/2026UBS Group AG57,883$2.44M0.0%-63.3%1.024%
1/26/2026Trivium Point Advisory LLC63,476$2.67M0.3%+1.7%1.123%
1/26/2026Merit Financial Group LLC5,248$221K0.0%+6.7%0.093%
1/26/2026Private Trust Co. NA5,197$219K0.0%-12.4%0.092%
1/26/2026Nations Financial Group Inc. IA ADV8,243$347K0.0%-13.5%0.146%
1/26/2026CWM LLC20,068$845K0.0%+1.5%0.355%
1/23/2026Farther Finance Advisors LLC5,334$225K0.0%+1,714.3%0.094%
1/23/2026Stonehaven Wealth & Tax Solutions LLC4,894$206K0.2%N/A0.086%
1/23/2026HBW 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%
11/17/2025Integrated 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%
11/13/2025Private Advisor Group LLC111,516$4.93M0.0%+1.1%1.799%
11/12/2025Trivium Point Advisory LLC62,413$2.76M0.3%+4.5%1.007%
11/7/2025626 Financial LLC160,156$7.08M3.1%+0.4%2.583%
11/7/2025Beta 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%
11/6/2025Oppenheimer & Co. Inc.20,668$913K0.0%+5.3%0.333%
11/5/2025Envestnet Asset Management Inc.84,840$3.75M0.0%+1.9%1.368%
11/4/2025Cornerstone 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%
11/3/2025Archer Investment Corp68,824$3.04M0.7%+2.5%1.110%
10/29/2025SFI Advisors LLC19,855$877K0.6%-2.4%0.320%
10/28/2025Nations Financial Group Inc. IA ADV9,524$421K0.0%-2.9%0.154%
10/24/2025World Equity Group Inc.25,778$1.14M0.3%+4.6%0.416%
10/16/2025HBW 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%
8/18/2025Geneos Wealth Management Inc.1,066$43K0.0%+100.0%0.017%
8/15/2025Captrust Financial Advisors24,862$1.01M0.0%-3.0%0.388%
8/15/2025MML 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%
8/14/2025Stonehaven Wealth & Tax Solutions LLC7,810$317K0.3%-26.7%0.122%
8/13/2025Baird Financial Group Inc.30,783$1.25M0.0%+2.5%0.481%
8/13/2025VestGen Advisors LLC42,191$1.71M0.1%-1.1%0.659%
8/12/2025Richmond Investment Services LLC10,864$441K0.1%+100.3%0.170%
8/12/2025Steward Partners Investment Advisory LLC3,983$162K0.0%-98.3%0.062%
8/11/2025SFI Advisors LLC20,340$826K0.6%-2.5%0.318%
8/11/2025Beta Wealth Group Inc.193,353$7.85M2.9%-17.9%3.021%
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8/8/2025Cetera Investment Advisers62,344$2.53M0.0%-1.6%0.974%
8/4/2025Spire Wealth Management4,138$168K0.0%-15.7%0.065%
8/4/2025626 Financial LLC159,492$6.48M3.0%-0.2%2.492%
8/1/2025Envestnet Asset Management Inc.83,237$3.38M0.0%+7.6%1.301%
7/29/2025Private Trust Co. NA5,935$241K0.0%+9.4%0.093%
7/25/2025CWM LLC19,529$793K0.0%+1.3%0.305%
7/23/2025626 Financial LLC159,492$6.48M3.5%-0.2%2.492%
7/21/2025Ameritas Advisory Services LLC1,494$61K0.0%N/A0.023%
7/17/2025Trivium Point Advisory LLC59,745$2.43M0.3%+5.7%0.934%
7/17/2025Janney Montgomery Scott LLC10,592$430K0.0%-9.5%0.166%


FEMS Institutional Ownership - Frequently Asked Questions

During the previous two years, 66 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 290,973 shares in the last 24 months. This purchase volume represents approximately $12.61M in transactions.

Of the 31 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), Integrated Wealth Concepts LLC ($122.68K), LPL Financial LLC ($120.22K), UBS Group AG ($103.67K), NewEdge Advisors LLC ($70.96K), and Osaic Holdings Inc. ($35.23K).

Institutional investors have sold a total of 863,901 shares in the last 24 months. This volume of shares sold represents approximately $37.15M in transactions.


Related Companies

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 10/8/2026. New 13F filings are added each quarter as they're published.
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