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First Trust Financials AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
TIM
76
Tortoise Investment Management
New York
$7K – – –
LWM
77
LBA Wealth Management
Florida
$5K – – –
Northwestern Mutual Wealth Management
78
Northwestern Mutual Wealth Management
Wisconsin
$2K +$2.16K +93 New
FSIM
79
F-Squared Investment Management
Massachusetts
– -$355M -15,261,323 Closed
PPA
80
Parametric Portfolio Associates
Washington
– -$43.5M -1,869,768 Closed
Goldman Sachs
81
Goldman Sachs
New York
– -$11.8M -507,796 Closed
VF
82
Virtu Financial
New York
– -$3.46M -148,745 Closed
Deutsche Bank
83
Deutsche Bank
Germany
– -$1.24M -53,517 Closed
Citadel Advisors
84
Citadel Advisors
Florida
– -$1.04M -44,917 Closed
PFS
85
Prospera Financial Services
Texas
– -$685K -29,451 Closed
FA
86
FDx Advisors
Illinois
– -$542K -23,308 Closed
SB
87
Suntrust Banks
Georgia
– -$425K -18,280 Closed
DWA
88
Dorsey Wright & Associates
California
– -$285K -12,308 Closed
Creative Planning
89
Creative Planning
Kansas
– -$279K -12,000 Closed
First Trust Advisors
90
First Trust Advisors
Illinois
– -$253K -10,876 Closed
NPC
91
National Planning Corporation
California
– -$70.8K -3,106 Closed
MAS
92
Madden Advisory Services
Florida
– -$26K -1,111 Closed
RC
93
RegentAtlantic Capital
New Jersey
– -$11.9K -512 Closed
NCM
94
Nelson Capital Management
California
– -$8K -355 Closed
AssetMark Inc
95
AssetMark Inc
California
– -$8K -342 Closed
WTB
96
Washington Trust Bank
Washington
– -$4K -180 Closed