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First Trust China AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
OMC
1
Old Mission Capital
Illinois
$8.59M +$8.8M +278,535 +760%
Citadel Advisors
2
Citadel Advisors
Florida
$2.44M +$2.6M +82,468 +1,196%
Jane Street
3
Jane Street
New York
$1.7M -$1.15M -36,301 -37%
Cambridge Investment Research Advisors
4
Cambridge Investment Research Advisors
Iowa
$1.06M -$22.7K -719 -2%
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$946K -$722K -22,849 -40%
Millennium Management
6
Millennium Management
New York
$926K +$1.07M +33,973 New
LPL Financial
7
LPL Financial
California
$794K -$1.01M -31,878 -52%
Goldman Sachs
8
Goldman Sachs
New York
$667K +$772K +24,456 New
AC
9
Avestar Capital
New York
$618K +$19.7K +623 +3%
GCA
10
Genesee Capital Advisors
New York
$486K -$7.45K -236 -1%
FTUS
11
Flow Traders U.S.
New York
$343K +$397K +12,579 New
JP Morgan Chase
12
JP Morgan Chase
New York
$287K +$332K +10,500 New
HF
13
HRT Financial
New York
$249K +$289K +9,156 New
UWS
14
Unique Wealth Strategies
Illinois
$201K -$635K -20,115 -73%
CFM
15
Compass Financial Management
Florida
$39.6K +$45.9K +1,454 New
UBS Group
16
UBS Group
Switzerland
$30.5K -$1.83K -58 -5%
Royal Bank of Canada
17
Royal Bank of Canada
Ontario, Canada
$17K +$15.8K +500 +500%
SN
18
Sittner & Nelson
Oregon
$14.7K +$17.1K +540 New
TFA
19
Transamerica Financial Advisors
Florida
$8.12K -$676K -21,403 -99%
RIL
20
Rothschild Investment LLC
Illinois
$6.95K
AssetMark Inc
21
AssetMark Inc
California
$2.4K
Osaic Holdings
22
Osaic Holdings
Arizona
$2.04K -$252K -7,965 -99%
GRP
23
Global Retirement Partners
California
$1.77K +$2.05K +65 New
Morgan Stanley
24
Morgan Stanley
New York
$111 +$95 +3 +300%
First Trust Advisors
25
First Trust Advisors
Illinois
-$63.9M -2,038,422 Closed