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First Trust Multi Cap Value AlphaDEX Fund
FAB

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$22.9M +$10.9M +151,973 +89%
Wells Fargo
2
Wells Fargo
California
$10.8M +$4.94M +68,655 +83%
Janney Montgomery Scott
3
Janney Montgomery Scott
Pennsylvania
$10.2M -$30.9K -429 -0.3%
RJFSA
4
Raymond James Financial Services Advisors
Florida
$8.19M +$3.75M +52,046 +82%
LPL Financial
5
LPL Financial
California
$7.99M -$347K -4,828 -4%
Baird Financial Group
6
Baird Financial Group
Wisconsin
$3.91M +$2.55M +35,373 +180%
DADC
7
D.A. Davidson & Co
Montana
$3.36M +$233K +3,240 +7%
Osaic Holdings
8
Osaic Holdings
Arizona
$2.88M +$1.57M +21,831 +116%
Citadel Advisors
9
Citadel Advisors
Florida
$2.87M +$2.91M +40,364 New
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$2.44M +$725K +10,070 +42%
FTUS
11
Flow Traders U.S.
New York
$2.21M +$2.24M +31,141 New
PAG
12
Private Advisor Group
New Jersey
$2.04M +$1.41M +19,573 +216%
Stifel Financial
13
Stifel Financial
Missouri
$1.15M +$837K +11,624 +254%
Goldman Sachs
14
Goldman Sachs
New York
$1.11M – – –
Cambridge Investment Research Advisors
15
Cambridge Investment Research Advisors
Iowa
$1.02M +$31.1K +432 +3%
Commonwealth Equity Services
16
Commonwealth Equity Services
Massachusetts
$963K -$49.3K -685 -5%
UBS Group
17
UBS Group
Switzerland
$863K +$396K +5,503 +83%
CA
18
Cetera Advisors
Colorado
$842K +$139K +1,929 +19%
Rockefeller Capital Management
19
Rockefeller Capital Management
New York
$732K +$6.33K +88 +0.9%
CAN
20
Cetera Advisor Networks
California
$694K +$703K +9,770 New
CBFP
21
Cedar Brook Financial Partners
Ohio
$565K +$864 +12 +0.2%
RJA
22
Raymond James & Associates
Florida
$561K -$14.7K -204 -3%
CIAS
23
Capital Investment Advisory Services
North Carolina
$559K +$132K +1,835 +30%
LS
24
Leelyn Smith
Illinois
$530K +$537K +7,454 New
KIG
25
Kowal Investment Group
Wisconsin
$519K -$109K -1,518 -17%
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