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First Trust Financials AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
First Trust Advisors
1
First Trust Advisors
Illinois
$815M +$825M +15,055,890 New
Morgan Stanley
2
Morgan Stanley
New York
$134M +$30.6M +557,732 +29%
Wells Fargo
3
Wells Fargo
California
$103M +$28M +510,415 +37%
LPL Financial
4
LPL Financial
California
$79.3M +$6.06M +110,621 +8%
Raymond James Financial
5
Raymond James Financial
Florida
$38.1M +$38.6M +704,330 New
UBS Group
6
UBS Group
Switzerland
$26.6M +$2.53M +46,097 +10%
Bank of America
7
Bank of America
North Carolina
$24M +$326K +5,943 +1%
ASN
8
Advisory Services Network
Georgia
$18.6M +$18.8M +343,460 New
NA
9
NewEdge Advisors
Louisiana
$17.8M +$17.3M +315,630 +2,440%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$15.6M +$4.13M +75,426 +36%
Envestnet Asset Management
11
Envestnet Asset Management
Illinois
$14.7M +$8.35M +152,320 +127%
Ameriprise
12
Ameriprise
Minnesota
$14.6M +$5.71M +104,241 +63%
DADC
13
D.A. Davidson & Co
Montana
$12.7M +$8.21M +149,757 +176%
ODG
14
O'Dell Group
Ohio
$12.2M +$12.3M +224,809 New
Truist Financial
15
Truist Financial
North Carolina
$12.1M +$7.39M +134,948 +152%
Commonwealth Equity Services
16
Commonwealth Equity Services
Massachusetts
$10.8M +$2.57M +46,829 +31%
Stifel Financial
17
Stifel Financial
Missouri
$10.6M +$1.43M +26,006 +15%
Osaic Holdings
18
Osaic Holdings
Arizona
$10.2M +$2.46M +44,950 +31%
Baird Financial Group
19
Baird Financial Group
Wisconsin
$8.66M +$5.04M +92,021 +135%
Cambridge Investment Research Advisors
20
Cambridge Investment Research Advisors
Iowa
$8.42M +$2.68M +48,852 +46%
BNP Paribas Financial Markets
21
BNP Paribas Financial Markets
France
$8.12M +$8.22M +150,000 New
BEI
22
Benjamin Edwards Inc
Missouri
$8.01M +$6.92M +126,284 +583%
VCM
23
Virtue Capital Management
Tennessee
$6.82M -$196K -3,575 -3%
Cetera Investment Advisers
24
Cetera Investment Advisers
Illinois
$6.82M +$222K +4,055 +3%
SA
25
SFI Advisors
New Jersey
$6.81M -$222K -4,049 -3%