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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
$53.5M -$5.97M -183,847 -10%
LPL Financial
2
LPL Financial
California
$28.7M +$2.16M +66,605 +8%
Wells Fargo
3
Wells Fargo
California
$18M -$4.73M -145,671 -21%
VCM
4
Virtue Capital Management
Tennessee
$15.4M +$1.42M +43,655 +10%
Bank of America
5
Bank of America
North Carolina
$11.6M +$5.31M +163,435 +87%
UBS Group
6
UBS Group
Switzerland
$11.6M +$171K +5,263 +2%
HI
7
Harbour Investments
Wisconsin
$9.97M +$7.3M +224,615 +298%
Osaic Holdings
8
Osaic Holdings
Arizona
$9.1M +$2.67M +82,269 +43%
KAS
9
Kestra Advisory Services
Texas
$7.39M +$688K +21,182 +11%
Envestnet Asset Management
10
Envestnet Asset Management
Illinois
$6.39M +$174K +5,348 +3%
CAN
11
Cetera Advisor Networks
California
$5.43M +$69.7K +2,147 +1%
RJA
12
Raymond James & Associates
Florida
$4.78M -$2.79M -85,997 -37%
CAG
13
Csenge Advisory Group
Florida
$4.66M +$230K +7,065 +5%
Truist Financial
14
Truist Financial
North Carolina
$4.63M -$2.59M -79,834 -36%
Royal Bank of Canada
15
Royal Bank of Canada
Ontario, Canada
$4.3M -$4.08M -125,455 -49%
Stifel Financial
16
Stifel Financial
Missouri
$3.74M +$1.86M +57,128 +103%
RCAG
17
Rehmann Capital Advisory Group
Michigan
$3.27M +$159K +4,889 +5%
AWM
18
AE Wealth Management
Kansas
$3.26M -$7.2M -221,755 -69%
Janney Montgomery Scott
19
Janney Montgomery Scott
Pennsylvania
$2.73M +$257K +7,896 +11%
CAM
20
Concorde Asset Management
Michigan
$2.7M +$2.64M +81,351 New
Cambridge Investment Research Advisors
21
Cambridge Investment Research Advisors
Iowa
$2.62M +$1.11M +34,161 +76%
Baird Financial Group
22
Baird Financial Group
Wisconsin
$2.6M -$1.9M -58,599 -43%
Mariner
23
Mariner
Kansas
$2.25M +$2.2M +67,802 New
RJFSA
24
Raymond James Financial Services Advisors
Florida
$2.19M +$437K +13,460 +26%
MWM
25
MinichMacGregor Wealth Management
New York
$2.05M -$41.9K -1,289 -2%