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First Trust Energy AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Wells Fargo
1
Wells Fargo
California
$12.3M -$24.9M -3,820,122 -63%
UBS Group
2
UBS Group
Switzerland
$10.2M +$1.69M +258,863 +17%
Morgan Stanley
3
Morgan Stanley
New York
$8.05M -$29M -4,460,049 -76%
Janney Montgomery Scott
4
Janney Montgomery Scott
Pennsylvania
$4.38M +$4.42M +678,606 +658%
Millennium Management
5
Millennium Management
New York
$3.17M +$3.62M +555,781 +5,043%
Osaic Holdings
6
Osaic Holdings
Arizona
$2.99M -$1.61M -246,992 -32%
Citadel Advisors
7
Citadel Advisors
Florida
$2.54M +$2.5M +384,254 +549%
Bank of America
8
Bank of America
North Carolina
$2.17M -$8.98M -1,379,465 -78%
SAM
9
Secure Asset Management
Michigan
$1.54M +$69.2K +10,635 +4%
Susquehanna International Group
10
Susquehanna International Group
Pennsylvania
$1.49M +$1.55M +238,571 +847%
TRCT
11
Tower Research Capital (TRC)
New York
$1.43M +$1.44M +220,961 +655%
Goldman Sachs
12
Goldman Sachs
New York
$1.4M -$996K -153,009 -38%
Jane Street
13
Jane Street
New York
$1.39M +$1.62M +248,917 New
LPL Financial
14
LPL Financial
California
$1.35M -$1.76M -269,830 -53%
Royal Bank of Canada
15
Royal Bank of Canada
Ontario, Canada
$1.09M -$4.38M -672,644 -78%
RJFSA
16
Raymond James Financial Services Advisors
Florida
$791K -$3.64M -559,215 -80%
Truist Financial
17
Truist Financial
North Carolina
$771K +$36.8K +5,655 +4%
RJA
18
Raymond James & Associates
Florida
$699K -$5.64M -866,404 -87%
CIBC World Market
19
CIBC World Market
Ontario, Canada
$638K -$126K -19,350 -15%
Ameriprise
20
Ameriprise
Minnesota
$619K -$4.65M -714,100 -87%
FAIM
21
Financial Advocates Investment Management
Washington
$552K +$642K +98,652 New
Cambridge Investment Research Advisors
22
Cambridge Investment Research Advisors
Iowa
$548K -$65.7K -10,089 -9%
IAA
23
Independent Advisor Alliance
North Carolina
$408K +$3.44K +529 +0.8%
Commonwealth Equity Services
24
Commonwealth Equity Services
Massachusetts
$394K -$2.3M -352,551 -83%
TSS
25
Two Sigma Securities
New York
$385K +$447K +68,729 New