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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
$56.2M +$7.34M +150,549 +15%
Morgan Stanley
2
Morgan Stanley
New York
$29.4M -$116K -2,380 -0.4%
UBS Group
3
UBS Group
Switzerland
$26.3M -$277K -5,683 -1%
RJFSA
4
Raymond James Financial Services Advisors
Florida
$10.7M +$144K +2,943 +1%
AIM
5
Astor Investment Management
Illinois
$8.14M -$1.69M -34,574 -17%
RJA
6
Raymond James & Associates
Florida
$8.09M +$5.09M +104,329 +180%
LPL Financial
7
LPL Financial
California
$7.19M -$799K -16,381 -10%
Bank of America
8
Bank of America
North Carolina
$5.83M +$658K +13,493 +13%
Ameriprise
9
Ameriprise
Minnesota
$4.89M -$456K -9,356 -9%
SG Americas Securities
10
SG Americas Securities
New York
$4.5M +$2.96M +60,667 +204%
Baird Financial Group
11
Baird Financial Group
Wisconsin
$4.41M -$377K -7,730 -8%
Goldman Sachs
12
Goldman Sachs
New York
$4.25M +$3.46K +71 +0.1%
HFS
13
HL Financial Services
Kentucky
$4.19M -$23.7K -486 -0.6%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$3.96M -$1.53M -31,272 -28%
Stifel Financial
15
Stifel Financial
Missouri
$3.61M +$202K +4,145 +6%
ACM
16
Aviance Capital Management
Florida
$2.81M -$1.15M -23,542 -29%
Janney Montgomery Scott
17
Janney Montgomery Scott
Pennsylvania
$2.48M +$2.42M +49,682 New
CAN
18
Cetera Advisor Networks
California
$2M +$909K +18,632 +86%
Susquehanna International Group
19
Susquehanna International Group
Pennsylvania
$1.75M -$1.98M -40,631 -54%
FAAS
20
First Allied Advisory Services
California
$1.48M +$165K +3,385 +13%
ICOA
21
Investment Centers of America
North Dakota
$1.44M +$29K +594 +2%
SI
22
Stephens Inc
Arkansas
$1.31M +$779K +15,962 +154%
PNC
23
Park National Corp
Ohio
$1.12M -$70.3K -1,440 -6%
Envestnet Asset Management
24
Envestnet Asset Management
Illinois
$1.12M -$3.66M -75,038 -77%
CCA
25
Clearwater Capital Advisors
Illinois
$1.11M -$29.6K -607 -3%