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First Trust Small Cap Core AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Benjamin F. Edwards & Company
76
Benjamin F. Edwards & Company
Missouri
$12K – – –
Fifth Third Bancorp
77
Fifth Third Bancorp
Ohio
$11K – – –
TI
78
tru Independence
Oregon
$8K +$6.64K +135 +750%
PFBT
79
Parkside Financial Bank & Trust
Missouri
$4K – – –
Sowell Financial Services
80
Sowell Financial Services
Arkansas
$3K – – –
WEC
81
Winslow Evans & Crocker
Massachusetts
$2K -$49 -1 -3%
AF
82
Advisornet Financial
Minnesota
$2K – – –
Jane Street
83
Jane Street
New York
– -$1.1M -26,859 Closed
AE Wealth Management
84
AE Wealth Management
Kansas
– -$476K -11,584 Closed
TFA
85
Teamwork Financial Advisors
Texas
– -$475K -11,559 Closed
TSS
86
Two Sigma Securities
New York
– -$446K -10,837 Closed
SWM
87
SeaCrest Wealth Management
New York
– -$418K -10,153 Closed
Simplicity Solutions
88
Simplicity Solutions
Minnesota
– -$407K -9,904 Closed
GIA
89
Gladstone Institutional Advisory
Florida
– -$327K -7,941 Closed
PWA
90
Peterson Wealth Advisors
Utah
– -$320K -7,788 Closed
RFN
91
RDA Financial Network
Iowa
– -$231K -5,615 Closed
WAP
92
Wealthcare Advisory Partners
Pennsylvania
– -$140K -3,396 Closed
Advisory Services Network
93
Advisory Services Network
Georgia
– -$65K -1,578 Closed
AIC
94
Ameritas Investment Company
Nebraska
– -$50K -1,223 Closed
Fidelity Investments
95
Fidelity Investments
Massachusetts
– -$6K -143 Closed
NFG
96
Next Financial Group
Texas
– -$4K -107 Closed