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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
$49.9M -$16.9M -405,779 -27%
Morgan Stanley
2
Morgan Stanley
New York
$28.6M -$19.4M -466,978 -42%
UBS Group
3
UBS Group
Switzerland
$24.5M -$4.09M -98,477 -15%
LPL Financial
4
LPL Financial
California
$16.8M -$17M -409,956 -52%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$13.7M +$5.25M +126,335 +71%
AIM
6
Astor Investment Management
Illinois
$10.2M -$12.6M -303,537 -57%
Baird Financial Group
7
Baird Financial Group
Wisconsin
$10.2M +$196K +4,715 +2%
RJFSA
8
Raymond James Financial Services Advisors
Florida
$9.48M -$7.95M -191,344 -48%
Bank of America
9
Bank of America
North Carolina
$4.93M -$1.83M -43,947 -29%
Envestnet Asset Management
10
Envestnet Asset Management
Illinois
$4.5M -$1.84M -44,166 -31%
ACM
11
Aviance Capital Management
Florida
$4.39M -$5.87M -141,183 -59%
Goldman Sachs
12
Goldman Sachs
New York
$3.85M -$214K -5,158 -6%
HFS
13
HL Financial Services
Kentucky
$3.79M -$502K -12,067 -13%
Susquehanna International Group
14
Susquehanna International Group
Pennsylvania
$3.55M +$644K +15,496 +24%
Stifel Financial
15
Stifel Financial
Missouri
$3.42M -$360K -8,667 -10%
RJA
16
Raymond James & Associates
Florida
$3.21M -$16.5M -397,294 -85%
Ameriprise
17
Ameriprise
Minnesota
$2.76M -$665K -16,003 -21%
Jane Street
18
Jane Street
New York
$2.73M +$1.9M +45,774 +309%
Janney Montgomery Scott
19
Janney Montgomery Scott
Pennsylvania
$2.2M +$52.4K +1,261 +3%
ICOA
20
Investment Centers of America
North Dakota
$1.63M +$118K +2,845 +8%
Cambridge Investment Research Advisors
21
Cambridge Investment Research Advisors
Iowa
$1.14M -$47.5K -1,143 -4%
VKH
22
Virtu KCG Holdings
New York
$1.12M -$843K -20,275 -45%
PNC
23
Park National Corp
Ohio
$1.11M
AIG
24
American International Group
New York
$1.1M +$57.5K +1,384 +6%
FAAS
25
First Allied Advisory Services
California
$970K +$206K +4,952 +30%