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First Trust Energy AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$24.2M -$3.34M -147,343 -11%
Wells Fargo
2
Wells Fargo
California
$14M -$6.32M -278,686 -29%
Bank of America
3
Bank of America
North Carolina
$13.1M -$63.9M -2,818,398 -82%
UBS Group
4
UBS Group
Switzerland
$10.7M +$11.6M +512,848 New
AIM
5
Astor Investment Management
Illinois
$8.55M -$156K -6,878 -2%
Goldman Sachs
6
Goldman Sachs
New York
$5.8M -$309K -13,628 -5%
SAM
7
SignalPoint Asset Management
Missouri
$3.99M +$1.5M +65,927 +53%
RJA
8
Raymond James & Associates
Florida
$3.29M -$1.49M -65,580 -29%
LPL Financial
9
LPL Financial
California
$3.02M -$737K -32,488 -18%
IAS
10
IMA Advisory Services
Colorado
$2.28M +$2.47M +109,020 New
RIA
11
Regal Investment Advisors
Michigan
$1.95M +$1.02M +45,159 +94%
MCWS
12
McKinley Carter Wealth Services
West Virginia
$1.94M +$2.11M +92,823 New
NA
13
Navellier & Associates
Nevada
$1.54M +$1.67M +73,492 New
Citadel Advisors
14
Citadel Advisors
Florida
$1.42M +$960K +42,304 +166%
Stifel Financial
15
Stifel Financial
Missouri
$1.2M -$439K -19,341 -25%
Royal Bank of Canada
16
Royal Bank of Canada
Ontario, Canada
$1.18M -$536K -23,642 -30%
FAAS
17
First Allied Advisory Services
California
$1.17M +$114K +5,009 +10%
Susquehanna International Group
18
Susquehanna International Group
Pennsylvania
$1.07M -$3.51M -154,706 -75%
Creative Planning
19
Creative Planning
Kansas
$942K +$998K +44,000 +4,400%
TRCT
20
Tower Research Capital (TRC)
New York
$850K -$572K -25,206 -38%
BTS
21
BB&T Securities
Virginia
$666K +$396K +17,455 +122%
CS
22
Credit Suisse
Switzerland
$629K -$7.41M -326,605 -92%
Envestnet Asset Management
23
Envestnet Asset Management
Illinois
$605K +$63.5K +2,798 +11%
ACM
24
Aviance Capital Management
Florida
$599K +$649K +28,602 New
PI
25
Placemark Investments
Illinois
$518K +$15.3K +676 +3%