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First Trust Small Cap Core AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$63.2M +$10.7M +226,196 +19%
Wells Fargo
2
Wells Fargo
California
$51M -$236K -4,987 -0.4%
UBS
3
UBS
Switzerland
$37M -$4.55M -96,237 -10%
Raymond James & Associates
4
Raymond James & Associates
Florida
$19.2M +$372K +7,861 +2%
Bank of America
5
Bank of America
North Carolina
$17.2M -$2.4M -50,750 -12%
LPL Financial
6
LPL Financial
California
$14.5M +$186K +3,924 +1%
AIM
7
Astor Investment Management
Illinois
$13.5M +$4.11M +86,943 +41%
Janney Montgomery Scott
8
Janney Montgomery Scott
Pennsylvania
$9.97M +$119K +2,509 +1%
Baird
9
Baird
Wisconsin
$8.96M +$627K +13,268 +7%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$5.87M +$2.3M +48,662 +59%
HL Financial Services
11
HL Financial Services
Kentucky
$4.78M +$256K +5,417 +5%
Stifel Financial
12
Stifel Financial
Missouri
$3.22M +$140K +2,965 +4%
Ameriprise
13
Ameriprise
Minnesota
$3.12M +$403K +8,515 +14%
Susquehanna International Group
14
Susquehanna International Group
Pennsylvania
$2.16M +$1.62M +34,349 +247%
Deutsche Bank
15
Deutsche Bank
Germany
$2.06M -$23.3K -493 -1%
Cetera Advisors
16
Cetera Advisors
Colorado
$1.99M +$206K +4,365 +11%
D.A. Davidson & Co
17
D.A. Davidson & Co
Montana
$1.68M +$36.5K +771 +2%
Credit Suisse
18
Credit Suisse
Switzerland
$1.45M -$1.57M -33,183 -51%
Cambridge Investment Research Advisors
19
Cambridge Investment Research Advisors
Iowa
$1.43M +$95.7K +2,024 +7%
ICOA
20
Investment Centers of America
North Dakota
$1.21M -$152K -3,222 -11%
First Trust Advisors
21
First Trust Advisors
Illinois
$1.17M -$365K -7,712 -23%
JP Morgan Chase
22
JP Morgan Chase
New York
$1.08M -$209K -4,415 -15%
Cetera Advisor Networks
23
Cetera Advisor Networks
California
$1.02M -$2.07M -43,707 -66%
Raymond James Financial Services Advisors
24
Raymond James Financial Services Advisors
Florida
$943K +$117K +2,475 +13%
Placemark Investments
25
Placemark Investments
Illinois
$788K +$202K +4,269 +32%