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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
$78.1M +$6.35M +129,332 +9%
Wells Fargo
2
Wells Fargo
California
$62.7M +$4.19M +85,401 +7%
UBS Group
3
UBS Group
Switzerland
$51.9M +$1.11M +22,607 +2%
Raymond James & Associates
4
Raymond James & Associates
Florida
$25M +$2.19M +44,544 +10%
AIM
5
Astor Investment Management
Illinois
$24.1M +$4.76M +96,996 +26%
LPL Financial
6
LPL Financial
California
$23.6M +$2.31M +47,041 +11%
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$18M +$5.21M +105,977 +42%
Janney Montgomery Scott
8
Janney Montgomery Scott
Pennsylvania
$12.4M +$575K +11,710 +5%
Baird
9
Baird
Wisconsin
$11.3M +$1.57M +31,933 +17%
Bank of America
10
Bank of America
North Carolina
$8.78M -$6.04M -123,031 -41%
Stifel Financial
11
Stifel Financial
Missouri
$5.64M +$1.68M +34,267 +44%
HL Financial Services
12
HL Financial Services
Kentucky
$5.6M +$428K +8,715 +9%
Envestnet Asset Management
13
Envestnet Asset Management
Illinois
$5.51M +$4.96M +100,957 +1,263%
AGA
14
Accuvest Global Advisors
Utah
$5.09M +$4.94M +100,610 New
ACM
15
Aviance Capital Management
Florida
$5.05M +$3.54M +72,065 +259%
Ameriprise
16
Ameriprise
Minnesota
$4.62M +$257K +5,239 +6%
LPT
17
Legacy Private Trust
Wisconsin
$3.93M +$2.77M +56,438 +266%
Goldman Sachs
18
Goldman Sachs
New York
$2.96M +$2.41M +49,067 +519%
VFS
19
VSR Financial Services
Kansas
$2.61M +$2.02M +41,156 +396%
Cetera Advisors
20
Cetera Advisors
Colorado
$2.4M -$40.3K -820 -2%
Cambridge Investment Research Advisors
21
Cambridge Investment Research Advisors
Iowa
$2.24M +$614K +12,499 +39%
JP Morgan Chase
22
JP Morgan Chase
New York
$2.24M +$1.23M +25,037 +130%
BB&T Securities
23
BB&T Securities
Virginia
$1.88M +$1.45M +29,570 +387%
ICOA
24
Investment Centers of America
North Dakota
$1.78M +$129K +2,623 +8%
D.A. Davidson & Co
25
D.A. Davidson & Co
Montana
$1.76M +$1.58M +32,167 +1,180%
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