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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
$29.3M -$37.7M -1,434,327 -56%
Bank of America
2
Bank of America
North Carolina
$11.3M -$14.7M -560,140 -56%
Wells Fargo
3
Wells Fargo
California
$11.1M -$41.8M -1,592,807 -79%
UBS Group
4
UBS Group
Switzerland
$10.5M -$13.3M -507,440 -56%
Commonwealth Equity Services
5
Commonwealth Equity Services
Massachusetts
$10.2M -$3.24M -123,247 -24%
Truist Financial
6
Truist Financial
North Carolina
$8.09M -$1.15M -43,849 -12%
Janney Montgomery Scott
7
Janney Montgomery Scott
Pennsylvania
$5.71M -$147K -5,602 -2%
Baird Financial Group
8
Baird Financial Group
Wisconsin
$4.89M -$1.12M -42,693 -18%
LPL Financial
9
LPL Financial
California
$4.82M -$2.42M -92,098 -33%
Envestnet Asset Management
10
Envestnet Asset Management
Illinois
$3.99M +$525K +19,983 +15%
RJFSA
11
Raymond James Financial Services Advisors
Florida
$3.8M -$6.58M -250,280 -63%
IAIM
12
International Assets Investment Management
Florida
$3.32M -$119K -4,525 -5%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$3.17M -$4.26M -161,992 -57%
Susquehanna International Group
14
Susquehanna International Group
Pennsylvania
$2.78M -$1.4M -53,277 -33%
RJA
15
Raymond James & Associates
Florida
$2.76M -$8.47M -322,281 -75%
Stifel Financial
16
Stifel Financial
Missouri
$2.49M -$551K -20,985 -18%
Jane Street
17
Jane Street
New York
$2.48M +$1.12M +42,457 +79%
MML Investors Services
18
MML Investors Services
Massachusetts
$2.4M -$76.7K -2,919 -3%
TRCT
19
Tower Research Capital (TRC)
New York
$2M +$323K +12,281 +19%
VCM
20
Virtue Capital Management
Tennessee
$1.85M +$1.88M +71,608 New
Osaic Holdings
21
Osaic Holdings
Arizona
$1.76M -$1.36M -51,722 -43%
Citadel Advisors
22
Citadel Advisors
Florida
$1.37M -$280K -10,659 -17%
FTUS
23
Flow Traders U.S.
New York
$1.36M +$1.39M +52,896 New
PFS
24
Prospera Financial Services
Texas
$1.15M -$204K -7,777 -15%
JAWM
25
J. Arnold Wealth Management
Ohio
$923K -$2.4M -91,398 -72%