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First Trust Emerging Markets Small Cap AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
UBS Group
1
UBS Group
Switzerland
$9.79M +$3.58M +106,487 +54%
Morgan Stanley
2
Morgan Stanley
New York
$8.89M -$3.98M -118,528 -30%
Citadel Advisors
3
Citadel Advisors
Florida
$8.44M +$7.53M +224,256 +591%
Bank of America
4
Bank of America
North Carolina
$7.49M -$39.3K -1,170 -0.5%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$5.97M +$5.01M +149,021 +410%
LPL Financial
6
LPL Financial
California
$5.78M -$5.7M -169,778 -49%
Jane Street
7
Jane Street
New York
$5.11M +$922K +27,455 +21%
RJA
8
Raymond James & Associates
Florida
$2.49M -$764K -22,752 -23%
LNC
9
Lincoln National Corp
Pennsylvania
$1.8M +$71K +2,112 +4%
Stifel Financial
10
Stifel Financial
Missouri
$1.77M -$414K -12,309 -18%
AG
11
Advisor Group
Arizona
$1.59M -$94.1K -2,801 -5%
MML Investors Services
12
MML Investors Services
Massachusetts
$1.33M +$274K +8,166 +25%
FWM
13
Frontier Wealth Management
Missouri
$1.31M -$160K -4,762 -11%
Commonwealth Equity Services
14
Commonwealth Equity Services
Massachusetts
$1.03M +$325K +9,675 +43%
Cambridge Investment Research Advisors
15
Cambridge Investment Research Advisors
Iowa
$1.02M -$389K -11,571 -27%
Wells Fargo
16
Wells Fargo
California
$910K +$949K +28,260 New
CAN
17
Cetera Advisor Networks
California
$779K -$43.3K -1,290 -5%
Susquehanna International Group
18
Susquehanna International Group
Pennsylvania
$720K -$4.43M -131,716 -85%
BFEC
19
Benjamin F. Edwards & Company
Missouri
$496K +$137K +4,071 +36%
Janney Montgomery Scott
20
Janney Montgomery Scott
Pennsylvania
$478K -$14.1K -419 -3%
SWM
21
Sequoia Wealth Management
Illinois
$386K +$153K +4,553 +61%
Envestnet Asset Management
22
Envestnet Asset Management
Illinois
$323K +$337K +10,037 New
PFS
23
Prospera Financial Services
Texas
$299K +$21K +625 +7%
SS
24
Simplicity Solutions
Minnesota
$295K -$737K -21,942 -71%
Verition Fund Management
25
Verition Fund Management
Connecticut
$295K -$5.17K -154 -2%