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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
$3.2M -$1.01M -35,811 -24%
BFEC
2
Benjamin F. Edwards & Company
Missouri
$2.46M +$744K +26,298 +42%
Bank of America
3
Bank of America
North Carolina
$1.87M +$15.4K +544 +0.8%
Osaic Holdings
4
Osaic Holdings
Arizona
$1.26M +$1.05M +37,024 +431%
Wells Fargo
5
Wells Fargo
California
$1.17M -$2.21M -78,158 -65%
Stifel Financial
6
Stifel Financial
Missouri
$1.15M +$414K +14,616 +54%
LPL Financial
7
LPL Financial
California
$930K -$890K -31,463 -48%
Janney Montgomery Scott
8
Janney Montgomery Scott
Pennsylvania
$735K +$203K +7,175 +37%
UBS Group
9
UBS Group
Switzerland
$582K -$212K -7,487 -26%
Citadel Advisors
10
Citadel Advisors
Florida
$531K -$193K -6,819 -26%
KP
11
Keel Point
Alabama
$454K +$58K +2,048 +14%
KWM
12
Kingsview Wealth Management
Oregon
$436K +$200K +7,068 +81%
TRCT
13
Tower Research Capital (TRC)
New York
$413K -$148K -5,246 -26%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$344K -$8.97K -317 -2%
Susquehanna International Group
15
Susquehanna International Group
Pennsylvania
$285K +$293K +10,358 New
FFA
16
Founders Financial Alliance
North Carolina
$84K +$80.1K +2,831 New
ABC
17
Associated Banc-Corp
Wisconsin
$29K – – –
SFPG
18
Stonebridge Financial Planning Group
Florida
$15K -$2.83K -100 -17%
CFGS
19
Concourse Financial Group Securities
Alabama
$13K – – –
WEC
20
Winslow Evans & Crocker
Massachusetts
$8K – – –
PNC Financial Services Group
21
PNC Financial Services Group
Pennsylvania
$7K +$28 +1 +0.4%
GEA
22
Glen Eagle Advisors
New Jersey
$5.51K – – –
SPIA
23
Steward Partners Investment Advisory
New York
$5K – – –
NNP
24
Nachman Norwood & Parrott
South Carolina
$3K +$2.83K +100 New
Commonwealth Equity Services
25
Commonwealth Equity Services
Massachusetts
– -$403K -14,619 Closed
1
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