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First Trust Utilities AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
PPA
26
Parametric Portfolio Associates
Washington
-$18.6M -935,859 Closed
PI
27
Placemark Investments
Illinois
-$4.75M -238,858 Closed
FA
28
FDx Advisors
Illinois
-$2.71M -136,009 Closed
BTS
29
BB&T Securities
Virginia
-$2.38M -119,758 Closed
PFS
30
Prospera Financial Services
Texas
-$1.1M -54,741 Closed
VF
31
Virtu Financial
New York
-$910K -45,745 Closed
Janney Montgomery Scott
32
Janney Montgomery Scott
Pennsylvania
-$456K -22,921 Closed
VKH
33
Virtu KCG Holdings
New York
-$388K -19,486 Closed
Commonwealth Equity Services
34
Commonwealth Equity Services
Massachusetts
-$236K -11,839 Closed
Northwestern Mutual Wealth Management
35
Northwestern Mutual Wealth Management
Wisconsin
-$151K -7,597 Closed
RIA
36
Regal Investment Advisors
Michigan
-$72K -3,613 Closed
Nomura Holdings
37
Nomura Holdings
Japan
-$6K -300 Closed
KIG
38
Kessler Investment Group
Indiana
-$3K -175 Closed