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First Trust Small Cap Core AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Fidelity Investments
101
Fidelity Investments
Massachusetts
$43K +$25.8K +317 +117%
HR
102
Howe & Rusling
New York
$35K – – –
Rockefeller Capital Management
103
Rockefeller Capital Management
New York
$30K +$8.21K +101 +32%
Global Retirement Partners
104
Global Retirement Partners
California
$24K +$9.75K +120 +69%
CFD
105
Creative Financial Designs
Indiana
$21K +$81 +1 +0.3%
PMFA
106
Plante Moran Financial Advisors
Michigan
$21K +$23.2K +285 New
TD Waterhouse Canada
107
TD Waterhouse Canada
Ontario, Canada
$18.7K – – –
BWP
108
Baldwin Wealth Partners
Massachusetts
$18K – – –
HCP
109
Hexagon Capital Partners
Arkansas
$14K – – –
AIP
110
Almanack Investment Partners
Pennsylvania
$12K +$13K +160 New
CWC
111
Carolinas Wealth Consulting
North Carolina
$11K – – –
TFA
112
Transamerica Financial Advisors
Florida
$8K -$3.25K -40 -27%
KA
113
Kozak & Associates
Colorado
$8K +$81 +1 +0.9%
KFI
114
Key Financial Inc
Pennsylvania
$7K +$7.88K +97 New
ACK
115
Andrew C. Karlinski
$6K – – –
M1FG
116
Mach-1 Financial Group
Arkansas
$6K – – –
SPWG
117
Sage Private Wealth Group
Illinois
$6K – – –
CFGS
118
Concourse Financial Group Securities
Alabama
$5K – – –
TSWM
119
Tyler-Stone Wealth Management
Ohio
$5K – – –
Larson Financial Group
120
Larson Financial Group
Missouri
$2K – – –
MCC
121
Money Concepts Capital
Florida
$2K +$2.28K +28 New
PA
122
PSI Advisors
Florida
$1K – – –
Citadel Advisors
123
Citadel Advisors
Florida
– -$2.23M -29,157 Closed
FHC
124
First Heartland Consultants
Missouri
– -$585K -7,643 Closed
Stratos Wealth Partners
125
Stratos Wealth Partners
Ohio
– -$506K -6,602 Closed