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First Trust Small Cap Core AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Wells Fargo
1
Wells Fargo
California
$29.5M +$28.9M +745,265 New
Morgan Stanley
2
Morgan Stanley
New York
$20.2M +$19.8M +512,074 New
UBS
3
UBS
Switzerland
$13.8M +$13.5M +348,298 New
Raymond James & Associates
4
Raymond James & Associates
Florida
$11.5M +$11.3M +290,755 New
Bank of America
5
Bank of America
North Carolina
$11M +$10.7M +277,321 New
LPL Financial
6
LPL Financial
California
$9.69M +$9.49M +245,168 New
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$6.15M +$6.02M +155,567 New
Baird
8
Baird
Wisconsin
$5.08M +$4.97M +128,418 New
First Trust Advisors
9
First Trust Advisors
Illinois
$4.48M +$4.39M +113,263 New
HL Financial Services
10
HL Financial Services
Kentucky
$3.89M +$3.81M +98,454 New
Raymond James Financial Services Advisors
11
Raymond James Financial Services Advisors
Florida
$2.82M +$2.76M +71,256 New
Susquehanna International Group
12
Susquehanna International Group
Pennsylvania
$2.61M +$2.56M +66,121 New
Ameriprise
13
Ameriprise
Minnesota
$2.19M +$2.16M +55,739 New
JP Morgan Chase
14
JP Morgan Chase
New York
$1.84M +$1.8M +46,616 New
Knight Capital Group
15
Knight Capital Group
$1.71M +$1.68M +43,274 New
D.A. Davidson & Co
16
D.A. Davidson & Co
Montana
$1.7M +$1.66M +42,985 New
Stifel Nicolaus & Co
17
Stifel Nicolaus & Co
Missouri
$1.5M +$1.47M +38,026 New
Deutsche Bank
18
Deutsche Bank
Germany
$1.23M +$1.21M +31,165 New
Cetera Advisors
19
Cetera Advisors
Colorado
$1.17M +$1.14M +29,479 New
VFS
20
VSR Financial Services
Kansas
$1.06M +$1.04M +26,920 New
BB&T Securities
21
BB&T Securities
Virginia
$840K +$822K +21,243 New
Commonwealth Equity Services
22
Commonwealth Equity Services
Massachusetts
$573K +$561K +14,491 New
Cambridge Investment Research Advisors
23
Cambridge Investment Research Advisors
Iowa
$422K +$414K +10,686 New
CS
24
Comerica Securities
Michigan
$362K +$354K +9,154 New
Peapack-Gladstone Financial Corp
25
Peapack-Gladstone Financial Corp
New Jersey
$356K +$348K +9,000 New