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First Trust Multi Cap Value AlphaDEX Fund
FAB

Name Holding Trade Value Shares
Change 		Change in
Stake
Janney Montgomery Scott
1
Janney Montgomery Scott
Pennsylvania
$10.1M -$346K -4,457 -4%
Stifel Financial
2
Stifel Financial
Missouri
$8.67M -$241K -3,094 -3%
Morgan Stanley
3
Morgan Stanley
New York
$7.89M -$486K -6,257 -6%
Wells Fargo
4
Wells Fargo
California
$6.7M +$29.2K +376 +0.5%
Osaic Holdings
5
Osaic Holdings
Arizona
$6.06M -$1.19M -15,286 -17%
BFEC
6
Benjamin F. Edwards & Company
Missouri
$5.72M -$2.95K -38 -0.1%
LPL Financial
7
LPL Financial
California
$4.72M -$2.57M -33,097 -37%
RJFSA
8
Raymond James Financial Services Advisors
Florida
$4.23M -$84.7K -1,090 -2%
6F
9
626 Financial
Michigan
$3.62M -$64.7K -832 -2%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$3.48M -$50.4K -648 -2%
PS
11
Principal Securities
Iowa
$2.21M -$430K -5,532 -17%
Goldman Sachs
12
Goldman Sachs
New York
$1.8M +$1.17M +15,052 +223%
Commonwealth Equity Services
13
Commonwealth Equity Services
Massachusetts
$1.63M +$29.5K +380 +2%
FAIM
14
Financial Advocates Investment Management
Washington
$1.41M -$1.55M -19,890 -54%
Baird Financial Group
15
Baird Financial Group
Wisconsin
$1.35M +$14.9K +192 +1%
PAG
16
Private Advisor Group
New Jersey
$1.34M +$933 +12 +0.1%
PA
17
PFG Advisors
Arizona
$1.24M – – –
Citadel Advisors
18
Citadel Advisors
Florida
$1.23M -$411K -5,284 -26%
Cambridge Investment Research Advisors
19
Cambridge Investment Research Advisors
Iowa
$888K -$263K -3,389 -24%
CIAS
20
Capital Investment Advisory Services
North Carolina
$854K -$31.4K -404 -4%
NS
21
NBC Securities
Alabama
$813K +$92.5K +1,190 +14%
MC
22
Moors & Cabot
Massachusetts
$748K +$77.7K +999 +12%
QCIG
23
Quad-Cities Investment Group
Iowa
$746K +$15.1K +194 +2%
HI
24
Harbour Investments
Wisconsin
$678K +$366K +4,702 +134%
RJA
25
Raymond James & Associates
Florida
$589K -$43.3K -557 -7%
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