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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
$26.5M -$1.46M -51,310 -5%
IAIM
2
International Assets Investment Management
Florida
$8.71M +$2.36M +83,046 +103%
Wells Fargo
3
Wells Fargo
California
$6.01M -$1.38M -48,778 -19%
LPL Financial
4
LPL Financial
California
$4.92M +$308K +10,871 +7%
Bank of America
5
Bank of America
North Carolina
$4.72M -$4.15M -146,390 -48%
Baird Financial Group
6
Baird Financial Group
Wisconsin
$4.28M -$700K -24,680 -15%
Citadel Advisors
7
Citadel Advisors
Florida
$3.87M +$1.91M +67,311 +108%
Osaic Holdings
8
Osaic Holdings
Arizona
$2.79M +$807K +28,451 +44%
CF
9
Centaurus Financial
California
$2.45M +$2.33M +82,085 New
RJA
10
Raymond James & Associates
Florida
$1.96M -$578K -20,393 -24%
RJFSA
11
Raymond James Financial Services Advisors
Florida
$1.64M -$969K -34,175 -38%
Susquehanna International Group
12
Susquehanna International Group
Pennsylvania
$1.44M -$1.4M -49,194 -50%
Truist Financial
13
Truist Financial
North Carolina
$1.43M -$2.82M -99,272 -67%
UBS Group
14
UBS Group
Switzerland
$1.33M -$2.62M -92,406 -67%
Royal Bank of Canada
15
Royal Bank of Canada
Ontario, Canada
$1.04M -$885K -31,209 -47%
Stifel Financial
16
Stifel Financial
Missouri
$945K -$19.5K -687 -2%
FTUS
17
Flow Traders U.S.
New York
$840K -$64.2K -2,265 -7%
AW
18
ACG Wealth
Georgia
$762K -$52.9K -1,866 -7%
SFG
19
StrategIQ Financial Group
Indiana
$731K -$51.9K -1,830 -7%
Janney Montgomery Scott
20
Janney Montgomery Scott
Pennsylvania
$685K -$302K -10,638 -32%
SWM
21
Spire Wealth Management
Virginia
$671K +$641K +22,589 New
Envestnet Asset Management
22
Envestnet Asset Management
Illinois
$640K -$2.45M -86,453 -80%
WWM
23
Western Wealth Management
Colorado
$600K +$311K +10,957 +120%
PFS
24
Prospera Financial Services
Texas
$523K -$612K -21,567 -55%
TRCT
25
Tower Research Capital (TRC)
New York
$513K -$178K -6,263 -27%