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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
$62.5M -$112M -7,066,652 -63%
Wells Fargo
2
Wells Fargo
California
$45.7M -$78.1M -4,939,813 -62%
Bank of America
3
Bank of America
North Carolina
$32.3M -$23.6M -1,492,723 -41%
UBS Group
4
UBS Group
Switzerland
$24.6M -$25.8M -1,631,044 -50%
RJA
5
Raymond James & Associates
Florida
$16.4M -$17.3M -1,092,548 -50%
HA
6
Hays Advisory
Tennessee
$12.5M +$13.1M +827,698 New
LPL Financial
7
LPL Financial
California
$7.64M -$3.16M -199,579 -28%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$7.03M -$4.31M -272,486 -37%
Ameriprise
9
Ameriprise
Minnesota
$6.83M -$2.98M -188,729 -29%
TRCT
10
Tower Research Capital (TRC)
New York
$6.69M +$6.63M +419,473 +1,717%
Janney Montgomery Scott
11
Janney Montgomery Scott
Pennsylvania
$5.03M -$4.54M -287,093 -46%
Stifel Financial
12
Stifel Financial
Missouri
$4.86M -$3.24M -204,648 -39%
Jane Street
13
Jane Street
New York
$4.72M +$4.95M +313,282 New
RJFSA
14
Raymond James Financial Services Advisors
Florida
$4.13M -$19.4M -1,226,989 -82%
AIM
15
Astor Investment Management
Illinois
$3.95M +$2.06M +130,389 +99%
BFEC
16
Benjamin F. Edwards & Company
Missouri
$3.57M -$619K -39,132 -14%
Baird Financial Group
17
Baird Financial Group
Wisconsin
$3.47M -$4.72M -298,615 -56%
HighTower Advisors
18
HighTower Advisors
Illinois
$3.29M +$386K +24,382 +13%
CL
19
Choreo LLC
Illinois
$3.24M +$105K +6,643 +3%
Citadel Advisors
20
Citadel Advisors
Florida
$3.11M +$2.82M +178,640 +642%
FAM
21
Flaharty Asset Management
Florida
$3.1M +$3.29M +208,180 New
SB
22
Suntrust Banks
Georgia
$2.96M -$1.55M -98,031 -34%
AG
23
Advisor Group
Arizona
$2.73M -$216K -13,686 -7%
Envestnet Asset Management
24
Envestnet Asset Management
Illinois
$2.52M -$952K -60,199 -26%
SAM
25
SignalPoint Asset Management
Missouri
$2.38M -$1.48M -93,453 -37%