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First Trust Mid Cap Value AlphaDEX Fund
FNK

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$6.63M -$415K -12,417 -6%
Wells Fargo
2
Wells Fargo
California
$4.61M -$4.27M -127,788 -49%
LPL Financial
3
LPL Financial
California
$2.96M -$311K -9,292 -10%
RJA
4
Raymond James & Associates
Florida
$2.37M +$1.96M +58,794 +578%
Bank of America
5
Bank of America
North Carolina
$2.23M +$140K +4,174 +7%
CS
6
Credit Suisse
Switzerland
$1.94M +$14.6K +438 +0.8%
BFEC
7
Benjamin F. Edwards & Company
Missouri
$1.49M -$875K -26,171 -38%
Susquehanna International Group
8
Susquehanna International Group
Pennsylvania
$1.14M -$523K -15,655 -32%
UBS Group
9
UBS Group
Switzerland
$1.03M +$226K +6,752 +29%
KWM
10
Kingsview Wealth Management
Oregon
$932K +$178K +5,316 +24%
Commonwealth Equity Services
11
Commonwealth Equity Services
Massachusetts
$721K -$31.8K -952 -4%
CCA
12
Clearwater Capital Advisors
Illinois
$501K -$4.01K -120 -0.8%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$489K -$75.6K -2,263 -14%
Ameriprise
14
Ameriprise
Minnesota
$363K -$237K -7,086 -40%
LI
15
LVZ Inc
Michigan
$332K +$322K +9,643 New
KIA
16
KCM Investment Advisors
California
$302K – – –
Stifel Financial
17
Stifel Financial
Missouri
$260K -$61.9K -1,851 -20%
TSS
18
Two Sigma Securities
New York
$259K +$251K +7,520 New
Janney Montgomery Scott
19
Janney Montgomery Scott
Pennsylvania
$245K +$238K +7,125 New
VF
20
Virtu Financial
New York
$236K +$229K +6,857 New
Cambridge Investment Research Advisors
21
Cambridge Investment Research Advisors
Iowa
$228K -$11.8K -354 -5%
LTFS
22
Ladenburg Thalmann Financial Services
Florida
$220K +$39.1K +1,171 +22%
SG Americas Securities
23
SG Americas Securities
New York
$178K +$173K +5,177 New
AG
24
Advisor Group
Arizona
$131K +$64.7K +1,935 +103%
Manulife (Manufacturers Life Insurance)
25
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$32K – – –
1
2