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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
$69.8M +$7.26M +134,277 +12%
Wells Fargo
2
Wells Fargo
California
$60.3M +$1.73M +31,976 +3%
UBS Group
3
UBS Group
Switzerland
$39.7M -$2.86M -52,967 -7%
RJFSA
4
Raymond James Financial Services Advisors
Florida
$19.1M +$945K +17,479 +5%
LPL Financial
5
LPL Financial
California
$16.6M +$1.87M +34,490 +13%
RJA
6
Raymond James & Associates
Florida
$14.3M -$618K -11,428 -4%
Bank of America
7
Bank of America
North Carolina
$11.5M +$1.71M +31,709 +18%
Stifel Financial
8
Stifel Financial
Missouri
$10.6M +$263K +4,867 +3%
Baird Financial Group
9
Baird Financial Group
Wisconsin
$8.42M -$1.19M -21,941 -13%
BTS
10
BB&T Securities
Virginia
$8.15M – – –
AIM
11
Astor Investment Management
Illinois
$7.23M -$1.35M -25,014 -16%
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$6.84M +$1.68M +31,138 +35%
Ameriprise
13
Ameriprise
Minnesota
$6.56M +$972K +17,984 +18%
CCM
14
Condor Capital Management
New Jersey
$6.29M +$6.04M +111,639 New
PFA
15
Pinnacle Family Advisors
Missouri
$6.11M +$5.86M +108,414 New
HFS
16
HL Financial Services
Kentucky
$4.81M -$149K -2,764 -3%
Envestnet Asset Management
17
Envestnet Asset Management
Illinois
$4.45M +$3.09M +57,135 +262%
Janney Montgomery Scott
18
Janney Montgomery Scott
Pennsylvania
$4.37M +$710K +13,124 +20%
Commonwealth Equity Services
19
Commonwealth Equity Services
Massachusetts
$3.82M -$115K -2,127 -3%
Cambridge Investment Research Advisors
20
Cambridge Investment Research Advisors
Iowa
$3.74M +$2.15M +39,832 +150%
LPT
21
Legacy Private Trust
Wisconsin
$3.34M -$145K -2,676 -4%
TFA
22
Transamerica Financial Advisors
Florida
$3.3M -$1.29M -23,864 -29%
First Trust Advisors
23
First Trust Advisors
Illinois
$1.93M +$14.4K +266 +0.8%
SCA
24
Snowden Capital Advisors
New York
$1.77M +$107K +1,979 +7%
CCA
25
Clearwater Capital Advisors
Illinois
$1.72M +$147K +2,724 +10%
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