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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
$20.1M -$22.6M -1,544,262 -47%
UBS Group
2
UBS Group
Switzerland
$19.9M +$11.5M +782,490 +83%
Bank of America
3
Bank of America
North Carolina
$12.6M -$5.84M -398,966 -27%
Wells Fargo
4
Wells Fargo
California
$8.5M -$33.3M -2,274,781 -75%
LPL Financial
5
LPL Financial
California
$6.3M -$1.05M -71,653 -12%
RJA
6
Raymond James & Associates
Florida
$4.92M -$14.4M -984,379 -70%
BCI
7
Brinker Capital Investments
Pennsylvania
$4.5M +$5.73M +391,000 New
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$3.51M +$490K +33,439 +12%
Baird Financial Group
9
Baird Financial Group
Wisconsin
$2.99M -$181K -12,330 -5%
RJFSA
10
Raymond James Financial Services Advisors
Florida
$2.51M -$1.84M -125,552 -37%
CG
11
Colony Group
Massachusetts
$2.49M +$3.17M +216,320 New
Susquehanna International Group
12
Susquehanna International Group
Pennsylvania
$2.47M +$2.77M +188,866 +738%
VF
13
Virtu Financial
New York
$2.27M +$2.89M +197,488 New
TRCT
14
Tower Research Capital (TRC)
New York
$1.54M +$750K +51,172 +62%
TSS
15
Two Sigma Securities
New York
$1.44M +$1.83M +125,109 New
Citadel Advisors
16
Citadel Advisors
Florida
$1.33M +$1.7M +115,951 New
AA
17
Advisory Alpha
Michigan
$1.09M +$96.3K +6,576 +8%
LFAS
18
Level Four Advisory Services
Texas
$1.02M -$114K -7,771 -8%
WI
19
Wintrust Investments
Illinois
$920K -$170K -11,600 -13%
AG
20
Advisor Group
Arizona
$860K -$512K -34,922 -32%
Renaissance Technologies
21
Renaissance Technologies
New York
$794K +$1.01M +69,000 New
Jane Street
22
Jane Street
New York
$783K +$996K +67,994 New
MWC
23
MBM Wealth Consultants
Missouri
$760K +$967K +66,023 New
HCIA
24
Hochman Cole Investment Advisors
Illinois
$722K +$165K +11,288 +22%
Ameriprise
25
Ameriprise
Minnesota
$663K -$388K -26,469 -31%