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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
$66.8M -$2.56M -55,786 -4%
Morgan Stanley
2
Morgan Stanley
New York
$48.7M -$13.9M -304,206 -22%
LPL Financial
3
LPL Financial
California
$34.2M +$16.6M +363,349 +84%
UBS Group
4
UBS Group
Switzerland
$28.4M -$2.29M -50,085 -7%
AIM
5
Astor Investment Management
Illinois
$23.4M -$3.31M -72,334 -12%
RJA
6
Raymond James & Associates
Florida
$20.7M -$2.18M -47,669 -9%
RJFSA
7
Raymond James Financial Services Advisors
Florida
$17.7M +$3.43M +74,972 +23%
ACM
8
Aviance Capital Management
Florida
$10.5M +$25.6K +560 +0.2%
Baird Financial Group
9
Baird Financial Group
Wisconsin
$9.76M -$428K -9,354 -4%
AGA
10
Accuvest Global Advisors
Utah
$8.4M -$541K -11,805 -6%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$7.85M -$961K -20,973 -11%
Bank of America
12
Bank of America
North Carolina
$6.77M -$102K -2,225 -1%
Envestnet Asset Management
13
Envestnet Asset Management
Illinois
$6.36M +$360K +7,862 +6%
HFS
14
HL Financial Services
Kentucky
$4.25M -$1.13M -24,663 -20%
Goldman Sachs
15
Goldman Sachs
New York
$4M +$976K +21,313 +31%
LPT
16
Legacy Private Trust
Wisconsin
$3.97M +$811K +17,715 +25%
Stifel Financial
17
Stifel Financial
Missouri
$3.73M +$59.1K +1,291 +2%
Citadel Advisors
18
Citadel Advisors
Florida
$3.52M +$1.65M +35,944 +82%
Ameriprise
19
Ameriprise
Minnesota
$3.43M +$1.01M +21,989 +40%
Susquehanna International Group
20
Susquehanna International Group
Pennsylvania
$2.8M -$947K -20,675 -25%
Janney Montgomery Scott
21
Janney Montgomery Scott
Pennsylvania
$2.1M -$5.37M -117,132 -71%
VKH
22
Virtu KCG Holdings
New York
$1.99M +$909K +19,846 +78%
ICOA
23
Investment Centers of America
North Dakota
$1.48M +$58.2K +1,271 +4%
Cambridge Investment Research Advisors
24
Cambridge Investment Research Advisors
Iowa
$1.16M -$375K -8,189 -24%
PNC
25
Park National Corp
Ohio
$1.08M -$641 -14 -0.1%