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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
$17.7M -$9.34M -208,565 -34%
FHC
2
First Heartland Consultants
Missouri
$6.2M -$2.22M -49,598 -26%
LPL Financial
3
LPL Financial
California
$5.91M -$5.19M -115,857 -46%
RJFSA
4
Raymond James Financial Services Advisors
Florida
$4.74M -$1.31M -29,269 -21%
UBS Group
5
UBS Group
Switzerland
$4.41M +$608K +13,568 +16%
Wells Fargo
6
Wells Fargo
California
$3.6M -$5.37M -119,777 -60%
KWM
7
Kingsview Wealth Management
Oregon
$3.06M +$234K +5,228 +8%
BFEC
8
Benjamin F. Edwards & Company
Missouri
$2.97M -$19.8K -441 -0.7%
SPC
9
Sigma Planning Corp
Michigan
$2.7M +$1.04M +23,303 +62%
SWP
10
Stratos Wealth Partners
Ohio
$2.62M +$382K +8,531 +17%
Janney Montgomery Scott
11
Janney Montgomery Scott
Pennsylvania
$2.18M +$308K +6,865 +16%
FTUS
12
Flow Traders U.S.
New York
$1.72M +$1.74M +38,942 New
HIS
13
Harvest Investment Services
Illinois
$1.67M -$586K -13,073 -26%
Cambridge Investment Research Advisors
14
Cambridge Investment Research Advisors
Iowa
$1.48M +$735K +16,417 +96%
HWM
15
Holloway Wealth Management
Florida
$1.27M – – –
Susquehanna International Group
16
Susquehanna International Group
Pennsylvania
$1.19M +$838K +18,706 +232%
GSC
17
G&S Capital
Colorado
$1.1M +$57.2K +1,278 +5%
Royal Bank of Canada
18
Royal Bank of Canada
Ontario, Canada
$1.02M +$59.1K +1,319 +6%
Stifel Financial
19
Stifel Financial
Missouri
$1.01M +$35.7K +798 +4%
Osaic Holdings
20
Osaic Holdings
Arizona
$938K -$1.08M -24,174 -53%
WP
21
WealthSource Partners
California
$898K -$8.96K -200 -1%
TRCT
22
Tower Research Capital (TRC)
New York
$736K +$176K +3,936 +31%
RJA
23
Raymond James & Associates
Florida
$725K +$51.5K +1,150 +8%
Citadel Advisors
24
Citadel Advisors
Florida
$636K +$287K +6,418 +81%
PAG
25
Private Advisor Group
New Jersey
$535K -$1.32M -29,516 -71%
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