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First Trust Mid Cap Core AlphaDEX Fund
FNX

Name Holding Trade Value Shares
Change 		Change in
Stake
Wells Fargo
1
Wells Fargo
California
$44.4M +$44.4M +1,050,778 New
Morgan Stanley
2
Morgan Stanley
New York
$39.3M +$39.3M +929,994 New
U
3
UBS
Switzerland
$35.1M +$35.1M +830,619 New
DWA
4
Dorsey Wright & Associates
California
$30.1M +$29.9M +708,378 New
AIA
5
Arrow Investment Advisors
Maryland
$14.1M +$14.1M +334,100 New
RJA
6
Raymond James & Associates
Florida
$13.9M +$13.9M +328,890 New
LPL Financial
7
LPL Financial
California
$13.1M +$13.1M +310,191 New
Bank of America
8
Bank of America
North Carolina
$12.9M +$12.8M +304,322 New
CM
9
Churchill Management
California
$10.9M +$10.9M +258,625 New
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$7.1M +$7.09M +167,953 New
RJFSA
11
Raymond James Financial Services Advisors
Florida
$6.47M +$6.47M +153,202 New
CCM
12
Condor Capital Management
New Jersey
$6.02M +$6.01M +142,440 New
BAAM
13
Baker Avenue Asset Management
California
$4.39M +$4.39M +103,975 New
HFS
14
HL Financial Services
Kentucky
$3.82M +$3.82M +90,421 New
First Trust Advisors
15
First Trust Advisors
Illinois
$3.32M +$3.32M +78,546 New
BTS
16
BB&T Securities
Virginia
$2.18M +$2.17M +51,520 New
JP Morgan Chase
17
JP Morgan Chase
New York
$2.07M +$2.07M +49,048 New
DADC
18
D.A. Davidson & Co
Montana
$1.64M +$1.64M +38,858 New
Ameriprise
19
Ameriprise
Minnesota
$1.53M +$1.55M +36,729 New
CA
20
Cetera Advisors
Colorado
$1.52M +$1.52M +35,930 New
TH
21
Timber Hill
Connecticut
$1.34M +$1.33M +31,620 New
Commonwealth Equity Services
22
Commonwealth Equity Services
Massachusetts
$1.16M +$1.16M +27,449 New
B
23
Baird
Wisconsin
$1.15M +$1.15M +27,278 New
SNC
24
Stifel Nicolaus & Co
Missouri
$1.11M +$1.11M +26,282 New
VFS
25
VSR Financial Services
Kansas
$983K +$982K +23,258 New
1
2