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First Trust Utilities AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
First Trust Advisors
1
First Trust Advisors
Illinois
$683M -$37.1M -1,448,769 -5%
Morgan Stanley
2
Morgan Stanley
New York
$184M +$10.2M +398,343 +6%
Wells Fargo
3
Wells Fargo
California
$113M -$5.18M -202,019 -5%
RIG
4
RiverFront Investment Group
Virginia
$62.6M +$59.3M +2,315,561 New
Bank of America
5
Bank of America
North Carolina
$62.2M +$7.9M +308,270 +15%
UBS Group
6
UBS Group
Switzerland
$56.8M +$3.61M +140,977 +7%
RJA
7
Raymond James & Associates
Florida
$43.5M +$19.4M +757,908 +89%
MFS
8
MSI Financial Services
Massachusetts
$28.3M +$4.33M +169,212 +19%
HA
9
Hays Advisory
Tennessee
$28.3M -$505K -19,728 -2%
Bank of Montreal
10
Bank of Montreal
Ontario, Canada
$27.2M -$16.6M -649,940 -39%
RJFSA
11
Raymond James Financial Services Advisors
Florida
$25.6M +$1.81M +70,480 +8%
SAM
12
Shamrock Asset Management
Texas
$15.3M -$2.23M -87,049 -13%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$13.4M +$2.4M +93,716 +23%
Ameriprise
14
Ameriprise
Minnesota
$12.4M +$9.01M +351,774 +334%
Stifel Financial
15
Stifel Financial
Missouri
$11.1M -$540K -21,099 -5%
LPL Financial
16
LPL Financial
California
$10.9M -$5.21M -203,464 -34%
Envestnet Asset Management
17
Envestnet Asset Management
Illinois
$8.66M +$1.58M +61,824 +24%
NA
18
Navellier & Associates
Nevada
$7.7M +$7.3M +284,974 New
BTS
19
BB&T Securities
Virginia
$6.67M +$3.38M +132,101 +115%
CS
20
Credit Suisse
Switzerland
$6.52M +$5.93M +231,449 +2,348%
TFA
21
Transamerica Financial Advisors
Florida
$5.93M +$744K +29,057 +15%
NC
22
NewSquare Capital
Pennsylvania
$5.5M +$1.72M +67,301 +49%
SG Americas Securities
23
SG Americas Securities
New York
$5.05M +$4.31M +168,060 +894%
SG
24
Societe Generale
$5.05M +$4.79M +186,866 New
BFA
25
Beaumont Financial Advisors
Massachusetts
$4.45M -$3.5M -136,688 -45%