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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
$58.3M +$954K +18,184 +2%
Wells Fargo
2
Wells Fargo
California
$54.8M +$6.96M +132,665 +15%
UBS Group
3
UBS Group
Switzerland
$40M +$315K +6,010 +0.8%
RJFSA
4
Raymond James Financial Services Advisors
Florida
$17M -$381K -7,261 -2%
RJA
5
Raymond James & Associates
Florida
$14M +$4.78M +91,051 +53%
LPL Financial
6
LPL Financial
California
$13.5M -$1.18M -22,441 -8%
Stifel Financial
7
Stifel Financial
Missouri
$9.69M -$347K -6,611 -3%
Bank of America
8
Bank of America
North Carolina
$9.12M -$1.01M -19,273 -10%
Baird Financial Group
9
Baird Financial Group
Wisconsin
$9.05M +$106K +2,020 +1%
BTS
10
BB&T Securities
Virginia
$8.15M -$90.9K -1,733 -1%
AIM
11
Astor Investment Management
Illinois
$8.1M -$1.43M -27,217 -15%
Ameriprise
12
Ameriprise
Minnesota
$5.2M -$144K -2,742 -3%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$4.77M +$681K +12,977 +17%
HFS
14
HL Financial Services
Kentucky
$4.66M +$132K +2,510 +3%
TFA
15
Transamerica Financial Advisors
Florida
$4.35M +$977K +18,612 +29%
Commonwealth Equity Services
16
Commonwealth Equity Services
Massachusetts
$3.69M -$104K -1,985 -3%
Janney Montgomery Scott
17
Janney Montgomery Scott
Pennsylvania
$3.4M +$3.38M +64,321 New
LPT
18
Legacy Private Trust
Wisconsin
$3.27M -$4.27M -81,379 -57%
ACM
19
Aviance Capital Management
Florida
$2.78M -$1.08M -20,623 -28%
Susquehanna International Group
20
Susquehanna International Group
Pennsylvania
$2.35M +$2.02M +38,582 +644%
First Trust Advisors
21
First Trust Advisors
Illinois
$1.79M +$323K +6,163 +22%
SI
22
Stephens Inc
Arkansas
$1.65M +$884K +16,846 +117%
SCA
23
Snowden Capital Advisors
New York
$1.55M – – –
CCA
24
Clearwater Capital Advisors
Illinois
$1.44M +$124K +2,366 +9%
Cambridge Investment Research Advisors
25
Cambridge Investment Research Advisors
Iowa
$1.4M +$248K +4,724 +22%
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