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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
$27.1M +$9.19M +203,589 +50%
LPL Financial
2
LPL Financial
California
$11.1M +$6.47M +143,514 +136%
Wells Fargo
3
Wells Fargo
California
$8.94M +$5.99M +132,872 +195%
FHC
4
First Heartland Consultants
Missouri
$8.43M +$173K +3,843 +2%
RJFSA
5
Raymond James Financial Services Advisors
Florida
$6.06M +$2.76M +61,156 +81%
UBS Group
6
UBS Group
Switzerland
$3.82M +$3.06M +67,915 +376%
BFEC
7
Benjamin F. Edwards & Company
Missouri
$3M -$552K -12,231 -15%
PAG
8
Private Advisory Group
Washington
$3M +$3.04M +67,408 New
KWM
9
Kingsview Wealth Management
Oregon
$2.87M +$638K +14,142 +28%
Baird Financial Group
10
Baird Financial Group
Wisconsin
$2.45M +$2.48M +55,038 New
HIS
11
Harvest Investment Services
Illinois
$2.26M -$118K -2,611 -5%
SWP
12
Stratos Wealth Partners
Ohio
$2.25M +$315K +6,985 +16%
Goldman Sachs
13
Goldman Sachs
New York
$2.14M +$2.17M +48,175 New
Osaic Holdings
14
Osaic Holdings
Arizona
$2.02M +$227K +5,033 +12%
Janney Montgomery Scott
15
Janney Montgomery Scott
Pennsylvania
$1.88M +$357K +7,916 +23%
PAG
16
Private Advisor Group
New Jersey
$1.85M +$1.34M +29,625 +247%
HWM
17
Holloway Wealth Management
Florida
$1.69M – – –
SPC
18
Sigma Planning Corp
Michigan
$1.67M +$41.8K +927 +3%
GSC
19
G&S Capital
Colorado
$1.04M +$1.06M +23,470 New
Stifel Financial
20
Stifel Financial
Missouri
$977K +$26.1K +579 +3%
Royal Bank of Canada
21
Royal Bank of Canada
Ontario, Canada
$971K -$941K -20,847 -49%
WP
22
WealthSource Partners
California
$910K -$25.9K -575 -3%
HR
23
Hayden Royal
North Carolina
$863K +$11.6K +258 +1%
Cambridge Investment Research Advisors
24
Cambridge Investment Research Advisors
Iowa
$758K +$166K +3,675 +27%
MOS
25
MGO One Seven
Ohio
$744K +$755K +16,740 New
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