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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
$35.9M +$3.12M +73,684 +10%
Morgan Stanley
2
Morgan Stanley
New York
$25.7M +$3.18M +75,100 +15%
UBS
3
UBS
Switzerland
$17.9M +$2.51M +59,281 +17%
Raymond James & Associates
4
Raymond James & Associates
Florida
$15.9M +$3.04M +71,946 +25%
Bank of America
5
Bank of America
North Carolina
$13.8M +$1.62M +38,237 +14%
LPL Financial
6
LPL Financial
California
$13.3M +$2.16M +51,161 +21%
Cetera Advisor Networks
7
Cetera Advisor Networks
California
$11.8M +$11.4M +269,262 New
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$7.44M +$602K +14,237 +9%
Baird
9
Baird
Wisconsin
$5.72M +$93.5K +2,212 +2%
HL Financial Services
10
HL Financial Services
Kentucky
$4.29M -$25.5K -602 -0.6%
Deutsche Bank
11
Deutsche Bank
Germany
$4.18M +$2.72M +64,373 +207%
Janney Montgomery Scott
12
Janney Montgomery Scott
Pennsylvania
$3.05M +$2.94M +69,640 New
Stifel Nicolaus & Co
13
Stifel Nicolaus & Co
Missouri
$2.71M +$1M +23,723 +62%
First Trust Advisors
14
First Trust Advisors
Illinois
$2.05M -$2.81M -66,465 -59%
JP Morgan Chase
15
JP Morgan Chase
New York
$1.93M -$108K -2,551 -5%
Ameriprise
16
Ameriprise
Minnesota
$1.88M -$555K -13,116 -24%
D.A. Davidson & Co
17
D.A. Davidson & Co
Montana
$1.63M -$247K -5,849 -14%
3AM
18
3D Asset Management
Connecticut
$1.31M +$1.27M +30,000 New
Cetera Advisors
19
Cetera Advisors
Colorado
$1.3M +$1.4K +33 +0.1%
VFS
20
VSR Financial Services
Kansas
$1.25M +$72.1K +1,705 +6%
Cambridge Investment Research Advisors
21
Cambridge Investment Research Advisors
Iowa
$696K +$220K +5,196 +49%
BB&T Securities
22
BB&T Securities
Virginia
$624K -$296K -6,996 -33%
Commonwealth Equity Services
23
Commonwealth Equity Services
Massachusetts
$580K -$53.2K -1,259 -9%
Oppenheimer & Co
24
Oppenheimer & Co
New York
$567K +$250K +5,910 +84%
CS
25
Comerica Securities
Michigan
$527K +$121K +2,869 +31%