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First Trust Small Cap Core AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
UR
26
USCA RIA
Texas
$425K +$47K +1,111 +13%
SI
27
SII Investments
Wisconsin
$417K +$72.9K +1,725 +22%
Peapack-Gladstone Financial Corp
28
Peapack-Gladstone Financial Corp
New Jersey
$394K – – –
SG Americas Securities
29
SG Americas Securities
New York
$359K +$347K +8,200 New
Placemark Investments
30
Placemark Investments
Illinois
$340K -$24.2K -572 -7%
SCM
31
Sterneck Capital Management
Missouri
$326K +$22.8K +540 +8%
AIG
32
American International Group
New York
$310K +$42.1K +996 +16%
Ladenburg Thalmann Financial Services
33
Ladenburg Thalmann Financial Services
Florida
$301K +$169 +4 +0.1%
First Allied Advisory Services
34
First Allied Advisory Services
California
$256K +$252K +5,969 New
Goldman Sachs
35
Goldman Sachs
New York
$235K +$226K +5,354 New
Synovus Financial
36
Synovus Financial
Georgia
$218K – – –
Baker Avenue Asset Management
37
Baker Avenue Asset Management
California
$217K +$209K +4,950 New
Envestnet Asset Management
38
Envestnet Asset Management
Illinois
$194K +$5.2K +123 +3%
Benjamin F. Edwards & Company
39
Benjamin F. Edwards & Company
Missouri
$119K -$10.6K -250 -8%
NES
40
New England Securities
New York
$107K +$103K +2,439 New
WA
41
WFG Advisors
Texas
$61K -$27.6K -652 -32%
Citigroup
42
Citigroup
New York
$54K – – –
Raymond James Financial Services Advisors
43
Raymond James Financial Services Advisors
Florida
– -$2.82M -71,256 Closed
Susquehanna International Group
44
Susquehanna International Group
Pennsylvania
– -$2.61M -66,121 Closed
Comerica Bank
45
Comerica Bank
Texas
– -$219K -5,523 Closed
FHC
46
First Heartland Consultants
Missouri
– -$153K -3,860 Closed