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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
$59.9M -$28.1M -613,139 -34%
Wells Fargo
2
Wells Fargo
California
$48.1M -$29.6M -645,765 -40%
UBS Group
3
UBS Group
Switzerland
$39.2M -$10.7M -233,625 -23%
LPL Financial
4
LPL Financial
California
$31.9M -$8.78M -191,663 -23%
RJFSA
5
Raymond James Financial Services Advisors
Florida
$22.2M -$12.8M -280,214 -39%
Baird Financial Group
6
Baird Financial Group
Wisconsin
$10.8M +$1.11M +24,134 +12%
AIM
7
Astor Investment Management
Illinois
$10.3M -$13M -283,508 -58%
Bank of America
8
Bank of America
North Carolina
$10.3M -$5.44M -118,834 -36%
Stifel Financial
9
Stifel Financial
Missouri
$9.56M +$3.35M +73,178 +61%
RJA
10
Raymond James & Associates
Florida
$9.43M -$1.71M -37,324 -16%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$9.16M +$1.15M +25,062 +16%
Susquehanna International Group
12
Susquehanna International Group
Pennsylvania
$6.58M +$5.46M +119,150 +891%
CCM
13
Condor Capital Management
New Jersey
$5.49M +$187K +4,088 +4%
Jane Street
14
Jane Street
New York
$5.31M +$585K +12,763 +14%
Envestnet Asset Management
15
Envestnet Asset Management
Illinois
$4.76M -$1.75M -38,297 -29%
LPT
16
Legacy Private Trust
Wisconsin
$4.74M -$1.61M -35,190 -27%
ACM
17
Aviance Capital Management
Florida
$4.43M -$5.95M -129,806 -59%
HFS
18
HL Financial Services
Kentucky
$4.21M -$15.4K -336 -0.4%
Janney Montgomery Scott
19
Janney Montgomery Scott
Pennsylvania
$3.32M -$3.59M -78,430 -54%
VF
20
Virtu Financial
New York
$2.85M +$764K +16,678 +41%
TFA
21
Transamerica Financial Advisors
Florida
$2.75M -$8.76M -191,200 -78%
Ameriprise
22
Ameriprise
Minnesota
$2.65M -$1.42M -31,023 -37%
Commonwealth Equity Services
23
Commonwealth Equity Services
Massachusetts
$2.57M -$347K -7,576 -13%
Goldman Sachs
24
Goldman Sachs
New York
$2.31M -$2.72M -59,475 -56%
AIG
25
American International Group
New York
$2.12M -$100K -2,185 -5%
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