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First Trust Consumer Discretionary AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
FSIM
1
F-Squared Investment Management
Massachusetts
$266M +$272M +8,193,660 New
Morgan Stanley
2
Morgan Stanley
New York
$167M +$2.82M +84,965 +2%
Wells Fargo
3
Wells Fargo
California
$150M +$17.9M +538,621 +13%
First Trust Advisors
4
First Trust Advisors
Illinois
$100M +$40.8M +1,229,202 +66%
U
5
UBS
Switzerland
$58.9M +$9.56M +287,782 +19%
Bank of America
6
Bank of America
North Carolina
$44.6M +$2.01M +60,416 +5%
PPA
7
Parametric Portfolio Associates
Washington
$33M +$33.8M +1,018,265 New
BFA
8
Beaumont Financial Advisors
Massachusetts
$30.5M +$31.2M +940,434 New
RJA
9
Raymond James & Associates
Florida
$24.4M +$1.36M +41,055 +6%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$15.4M +$1.1M +33,130 +8%
LPL Financial
11
LPL Financial
California
$15.1M +$2.94M +88,477 +23%
PI
12
Placemark Investments
Illinois
$12.7M +$12.4M +373,818 +2,032%
Stifel Financial
13
Stifel Financial
Missouri
$10.3M +$1.54M +46,306 +17%
AIM
14
Astor Investment Management
Illinois
$10.2M +$2.6M +78,388 +33%
HF
15
Hoxton Financial
West Virginia
$10M +$69.5K +2,093 +0.7%
Envestnet Asset Management
16
Envestnet Asset Management
Illinois
$7.27M +$6.58M +198,288 +760%
Ameriprise
17
Ameriprise
Minnesota
$6.95M +$1.4M +42,239 +25%
JP Morgan Chase
18
JP Morgan Chase
New York
$6.23M +$907K +27,306 +17%
BTS
19
BB&T Securities
Virginia
$5.11M +$4.32M +130,042 +472%
NC
20
NewSquare Capital
Pennsylvania
$4.87M +$1.4M +42,307 +39%
Janney Montgomery Scott
21
Janney Montgomery Scott
Pennsylvania
$4.85M +$1.39M +41,908 +39%
SI
22
Stephens Inc
Arkansas
$4.36M +$1M +30,214 +29%
CS
23
Credit Suisse
Switzerland
$4.15M +$977K +29,408 +30%
B
24
Baird
Wisconsin
$4.06M +$598K +18,006 +17%
HFS
25
HL Financial Services
Kentucky
$3.93M -$170K -5,120 -4%