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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
$69.3M +$340K +7,264 +0.5%
Wells Fargo
2
Wells Fargo
California
$56.6M +$867K +18,539 +2%
UBS Group
3
UBS Group
Switzerland
$49.2M +$46.9M +1,003,840 New
RJA
4
Raymond James & Associates
Florida
$22M +$1.02M +21,879 +5%
LPL Financial
5
LPL Financial
California
$20.6M +$4.2M +89,890 +27%
AIM
6
Astor Investment Management
Illinois
$18.6M +$3.63M +77,558 +26%
Bank of America
7
Bank of America
North Carolina
$14.5M -$4.08M -87,232 -23%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$12.3M +$5.6M +119,705 +91%
Janney Montgomery Scott
9
Janney Montgomery Scott
Pennsylvania
$11.4M +$515K +11,016 +5%
B
10
Baird
Wisconsin
$9.43M -$338K -7,233 -4%
HFS
11
HL Financial Services
Kentucky
$5M -$206K -4,398 -4%
Ameriprise
12
Ameriprise
Minnesota
$4.21M +$697K +14,911 +21%
Stifel Financial
13
Stifel Financial
Missouri
$3.79M +$261K +5,591 +8%
CA
14
Cetera Advisors
Colorado
$2.37M +$193K +4,135 +9%
Susquehanna International Group
15
Susquehanna International Group
Pennsylvania
$2.11M -$240K -5,130 -11%
Deutsche Bank
16
Deutsche Bank
Germany
$1.94M -$305K -6,520 -14%
PI
17
Placemark Investments
Illinois
$1.67M +$771K +16,498 +94%
ICOA
18
Investment Centers of America
North Dakota
$1.59M +$262K +5,597 +21%
Cambridge Investment Research Advisors
19
Cambridge Investment Research Advisors
Iowa
$1.56M -$4.25K -91 -0.3%
First Trust Advisors
20
First Trust Advisors
Illinois
$1.52M +$232K +4,952 +19%
Jane Street
21
Jane Street
New York
$1.39M +$1.09M +23,246 +457%
ACM
22
Aviance Capital Management
Florida
$1.36M +$1.3M +27,806 New
AIG
23
American International Group
New York
$1.24M +$783K +16,741 +194%
RJFSA
24
Raymond James Financial Services Advisors
Florida
$1.07M +$39K +834 +4%
LPT
25
Legacy Private Trust
Wisconsin
$1.04M +$324K +6,939 +49%
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