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First Trust Small Cap Core AlphaDEX Fund
FYX

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$58.1M +$6.26M +132,186 +13%
Wells Fargo
2
Wells Fargo
California
$56.1M -$5.82M -122,825 -10%
U
3
UBS
Switzerland
$45.2M -$2.49M -52,480 -5%
Bank of America
4
Bank of America
North Carolina
$21.4M +$7.33M +154,622 +55%
RJA
5
Raymond James & Associates
Florida
$20.6M +$490K +10,337 +3%
LPL Financial
6
LPL Financial
California
$16M -$139K -2,929 -0.9%
Janney Montgomery Scott
7
Janney Montgomery Scott
Pennsylvania
$10.8M +$465K +9,804 +5%
AIM
8
Astor Investment Management
Illinois
$10.5M +$9.1M +192,036 +865%
B
9
Baird
Wisconsin
$9.16M +$1.85M +38,965 +26%
HFS
10
HL Financial Services
Kentucky
$4.96M +$146K +3,089 +3%
SG Americas Securities
11
SG Americas Securities
New York
$4.49M +$4.33M +91,396 New
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$4.04M -$7.67M -161,804 -66%
Stifel Financial
13
Stifel Financial
Missouri
$3.38M +$166K +3,505 +5%
CAN
14
Cetera Advisor Networks
California
$3.27M -$12.3M -259,077 -80%
CS
15
Credit Suisse
Switzerland
$3.22M +$2.78M +58,580 +840%
Ameriprise
16
Ameriprise
Minnesota
$3.07M +$558K +11,768 +23%
Deutsche Bank
17
Deutsche Bank
Germany
$2.29M -$176K -3,708 -7%
CA
18
Cetera Advisors
Colorado
$1.95M +$216K +4,557 +13%
DADC
19
D.A. Davidson & Co
Montana
$1.8M -$142 -3 -0%
First Trust Advisors
20
First Trust Advisors
Illinois
$1.66M +$162K +3,416 +11%
ICOA
21
Investment Centers of America
North Dakota
$1.49M +$1.43M +30,177 New
3AM
22
3D Asset Management
Connecticut
$1.48M +$1.85K +39 +0.1%
Cambridge Investment Research Advisors
23
Cambridge Investment Research Advisors
Iowa
$1.47M -$179K -3,773 -11%
JP Morgan Chase
24
JP Morgan Chase
New York
$1.4M -$564K -11,892 -29%
RJFSA
25
Raymond James Financial Services Advisors
Florida
$911K +$151K +3,195 +21%
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