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First Trust Financials AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$117M -$7.22M -171,072 -5%
Wells Fargo
2
Wells Fargo
California
$63M -$289K -6,838 -0.4%
LPL Financial
3
LPL Financial
California
$59.5M -$5.39M -127,759 -7%
UBS Group
4
UBS Group
Switzerland
$35.9M -$11.7M -277,255 -22%
Bank of America
5
Bank of America
North Carolina
$31.8M -$1.19M -28,108 -3%
RJA
6
Raymond James & Associates
Florida
$26.2M +$3.79M +89,687 +15%
Ameriprise
7
Ameriprise
Minnesota
$21.2M +$16.1M +380,261 +202%
RJFSA
8
Raymond James Financial Services Advisors
Florida
$15.9M -$18.4M -434,844 -51%
PS
9
Portfolio Strategies
New York
$14.3M +$16.2M +384,081 New
ODG
10
O'Dell Group
Ohio
$13.9M +$15.8M +373,241 New
Commonwealth Equity Services
11
Commonwealth Equity Services
Massachusetts
$13.6M +$6.72M +159,290 +78%
Millennium Management
12
Millennium Management
New York
$13.1M +$14.8M +351,614 New
Truist Financial
13
Truist Financial
North Carolina
$13.1M +$3.17M +75,044 +27%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$13.1M +$1.04M +24,552 +8%
AWM
15
AE Wealth Management
Kansas
$12M +$13.5M +320,211 New
Stifel Financial
16
Stifel Financial
Missouri
$11.3M +$2.52M +59,719 +24%
Osaic Holdings
17
Osaic Holdings
Arizona
$7.7M -$745K -17,646 -8%
IAIM
18
International Assets Investment Management
Florida
$6.6M +$5.63M +133,285 New
RIA
19
Regal Investment Advisors
Michigan
$6.43M +$626K +14,820 +9%
Envestnet Asset Management
20
Envestnet Asset Management
Illinois
$5.59M -$3.06M -72,597 -33%
Janney Montgomery Scott
21
Janney Montgomery Scott
Pennsylvania
$5.06M -$283K -6,711 -5%
CA
22
Crumly & Associates
Illinois
$4.91M +$263K +6,234 +5%
KAS
23
Kestra Advisory Services
Texas
$4.75M +$60.1K +1,423 +1%
Baird Financial Group
24
Baird Financial Group
Wisconsin
$4.47M +$2.54M +60,173 +101%
Cambridge Investment Research Advisors
25
Cambridge Investment Research Advisors
Iowa
$4.41M -$1M -23,796 -17%