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First Trust Mid Cap Value AlphaDEX Fund
FNK

Name Holding Trade Value Shares
Change 		Change in
Stake
TIM
1
Total Investment Management
Arizona
$48M +$47.3M +1,018,151 New
Morgan Stanley
2
Morgan Stanley
New York
$17.8M -$1.04M -22,474 -6%
Wells Fargo
3
Wells Fargo
California
$9.64M +$5.73M +123,379 +152%
LPL Financial
4
LPL Financial
California
$8.83M +$2.51M +53,977 +40%
RJFSA
5
Raymond James Financial Services Advisors
Florida
$6.94M +$1.87M +40,163 +38%
First Trust Advisors
6
First Trust Advisors
Illinois
$6.08M +$6M +129,123 New
UBS Group
7
UBS Group
Switzerland
$4.15M -$535K -11,523 -12%
Cambridge Investment Research Advisors
8
Cambridge Investment Research Advisors
Iowa
$3.57M +$1.97M +42,321 +126%
KWM
9
Kingsview Wealth Management
Oregon
$3.42M +$168K +3,612 +5%
BFEC
10
Benjamin F. Edwards & Company
Missouri
$3.09M -$67.4K -1,451 -2%
Janney Montgomery Scott
11
Janney Montgomery Scott
Pennsylvania
$2.73M +$409K +8,804 +18%
PAG
12
Private Advisory Group
Washington
$2.68M +$2.64M +56,803 New
HIS
13
Harvest Investment Services
Illinois
$2.36M +$577K +12,426 +33%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$1.99M +$882K +18,986 +82%
Citadel Advisors
15
Citadel Advisors
Florida
$1.74M +$1.05M +22,651 +158%
Stifel Financial
16
Stifel Financial
Missouri
$1.68M +$598K +12,883 +57%
HWM
17
Holloway Wealth Management
Florida
$1.33M – – –
GSC
18
G&S Capital
Colorado
$1.25M +$81.4K +1,752 +7%
Susquehanna International Group
19
Susquehanna International Group
Pennsylvania
$1.12M -$141K -3,038 -11%
RJA
20
Raymond James & Associates
Florida
$906K +$133K +2,866 +18%
TCM
21
Triumph Capital Management
Colorado
$877K +$864K +18,607 New
ARC
22
Advisor Resource Council
Texas
$790K +$778K +16,761 New
PAG
23
Private Advisor Group
New Jersey
$642K +$72K +1,551 +13%
TA
24
TKG Advisors
Indiana
$626K +$617K +13,292 New
Osaic Holdings
25
Osaic Holdings
Arizona
$594K -$399K -8,588 -41%
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