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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
$61.6M +$5.54M +116,217 +10%
Morgan Stanley
2
Morgan Stanley
New York
$51.1M +$11.5M +241,472 +30%
UBS
3
UBS
Switzerland
$47.4M +$12.5M +262,214 +37%
DWA
4
Dorsey Wright & Associates
California
$28.6M +$1.04M +21,807 +4%
AIA
5
Arrow Investment Advisors
Maryland
$20.4M +$1.04M +21,800 +5%
Raymond James & Associates
6
Raymond James & Associates
Florida
$20M +$303K +6,354 +2%
LPL Financial
7
LPL Financial
California
$16M +$50.7K +1,063 +0.3%
Cetera Advisor Networks
8
Cetera Advisor Networks
California
$15.9M +$2.21M +46,314 +17%
Bank of America
9
Bank of America
North Carolina
$13.6M -$2.56M -53,624 -16%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$11.9M -$1.55M -32,479 -12%
Janney Montgomery Scott
11
Janney Montgomery Scott
Pennsylvania
$10.2M +$6.41M +134,459 +179%
Baird
12
Baird
Wisconsin
$7.18M -$762K -15,965 -10%
HL Financial Services
13
HL Financial Services
Kentucky
$4.77M -$87.2K -1,828 -2%
Stifel Financial
14
Stifel Financial
Missouri
$3.18M +$3.11M +65,241 New
Jane Street
15
Jane Street
New York
$2.82M +$2.76M +57,887 New
Ameriprise
16
Ameriprise
Minnesota
$2.47M +$311K +6,526 +15%
Deutsche Bank
17
Deutsche Bank
Germany
$2.45M +$160K +3,352 +7%
JP Morgan Chase
18
JP Morgan Chase
New York
$1.97M -$976K -20,463 -34%
D.A. Davidson & Co
19
D.A. Davidson & Co
Montana
$1.78M +$34K +713 +2%
Cetera Advisors
20
Cetera Advisors
Colorado
$1.72M +$164K +3,445 +11%
Cambridge Investment Research Advisors
21
Cambridge Investment Research Advisors
Iowa
$1.64M +$655K +13,729 +69%
First Trust Advisors
22
First Trust Advisors
Illinois
$1.48M -$487K -10,202 -25%
Oppenheimer & Co
23
Oppenheimer & Co
New York
$1.48M +$74.2K +1,556 +5%
3AM
24
3D Asset Management
Connecticut
$1.46M +$1.91K +40 +0.1%
VFS
25
VSR Financial Services
Kansas
$1.46M +$144K +3,027 +11%