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First Trust Mid Cap Core AlphaDEX Fund
FNX

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$87.4M -$11.1M -221,685 -11%
Wells Fargo
2
Wells Fargo
California
$77.6M -$4.38M -87,831 -5%
UBS Group
3
UBS Group
Switzerland
$49.2M -$5.48M -109,762 -10%
LPL Financial
4
LPL Financial
California
$40.1M +$17.9M +358,351 +73%
RJFSA
5
Raymond James Financial Services Advisors
Florida
$34.9M -$2.84M -56,853 -7%
AIM
6
Astor Investment Management
Illinois
$23.6M -$2.64M -52,847 -10%
Bank of America
7
Bank of America
North Carolina
$15.7M +$777K +15,567 +5%
TFA
8
Transamerica Financial Advisors
Florida
$11.8M -$170K -3,416 -1%
RJA
9
Raymond James & Associates
Florida
$10.9M +$1.38M +27,672 +14%
ACM
10
Aviance Capital Management
Florida
$10.5M +$40K +802 +0.4%
Baird Financial Group
11
Baird Financial Group
Wisconsin
$9.3M -$621K -12,452 -6%
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$7.66M +$4.5M +90,256 +130%
Janney Montgomery Scott
13
Janney Montgomery Scott
Pennsylvania
$6.99M -$5.29M -105,961 -42%
Envestnet Asset Management
14
Envestnet Asset Management
Illinois
$6.45M +$301K +6,030 +5%
LPT
15
Legacy Private Trust
Wisconsin
$6.28M +$2.38M +47,722 +57%
Stifel Financial
16
Stifel Financial
Missouri
$5.74M -$122K -2,440 -2%
Citadel Advisors
17
Citadel Advisors
Florida
$5.46M +$898K +17,991 +19%
CCM
18
Condor Capital Management
New Jersey
$5.12M +$18.8K +377 +0.4%
Goldman Sachs
19
Goldman Sachs
New York
$5.09M -$549 -11 -0%
Jane Street
20
Jane Street
New York
$4.53M +$2.42M +48,586 +106%
BTS
21
BB&T Securities
Virginia
$4.17M -$98.7K -1,978 -2%
HFS
22
HL Financial Services
Kentucky
$4.09M -$1.32M -26,552 -24%
Ameriprise
23
Ameriprise
Minnesota
$4.05M +$1.04M +20,884 +33%
CS
24
Credit Suisse
Switzerland
$2.87M -$3.16M -63,396 -52%
Commonwealth Equity Services
25
Commonwealth Equity Services
Massachusetts
$2.85M +$33K +662 +1%
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