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First Trust Utilities AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$21.3M +$6.29M +255,941 +40%
HA
2
Hays Advisory
Tennessee
$21.3M +$1.46M +59,314 +7%
SAM
3
Shamrock Asset Management
Texas
$21.3M -$1.56M -63,679 -7%
Goldman Sachs
4
Goldman Sachs
New York
$10.4M +$3.25M +132,115 +43%
Wells Fargo
5
Wells Fargo
California
$7.54M -$1.14M -46,386 -13%
FHA
6
First Horizon Advisors
Tennessee
$6.95M -$445K -18,095 -6%
Bank of America
7
Bank of America
North Carolina
$6.93M -$91.6M -3,727,601 -93%
UBS Group
8
UBS Group
Switzerland
$4.91M -$1.56M -63,415 -23%
SAM
9
SignalPoint Asset Management
Missouri
$4.85M +$2.44M +99,293 +94%
AIM
10
Astor Investment Management
Illinois
$4.72M -$2.45M -99,616 -33%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$3.5M +$2.95M +120,203 +429%
Citadel Advisors
12
Citadel Advisors
Florida
$2.38M +$2.47M +100,639 New
Envestnet Asset Management
13
Envestnet Asset Management
Illinois
$2.24M -$5.29M -215,424 -69%
TRCT
14
Tower Research Capital (TRC)
New York
$2.1M +$1.46M +59,276 +201%
VF
15
Virtu Financial
New York
$2.02M +$2.1M +85,456 New
LPL Financial
16
LPL Financial
California
$1.66M -$1.22M -49,548 -41%
Stifel Financial
17
Stifel Financial
Missouri
$1.6M -$320K -13,017 -16%
Millennium Management
18
Millennium Management
New York
$1.58M +$1.64M +66,805 New
VKH
19
Virtu KCG Holdings
New York
$1.26M +$1.31M +53,117 New
CS
20
Credit Suisse
Switzerland
$1.25M +$1.06M +43,129 +448%
PFS
21
Prospera Financial Services
Texas
$988K -$470K -19,129 -31%
ACM
22
Aviance Capital Management
Florida
$988K +$493K +20,058 +92%
RJA
23
Raymond James & Associates
Florida
$893K +$59K +2,402 +7%
Susquehanna International Group
24
Susquehanna International Group
Pennsylvania
$857K +$891K +36,253 New
Jane Street
25
Jane Street
New York
$833K +$866K +35,242 New