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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
$74.9M +$13.4M +262,910 +23%
Morgan Stanley
2
Morgan Stanley
New York
$44.9M +$12.5M +244,094 +41%
UBS Group
3
UBS Group
Switzerland
$23.7M -$4.51M -88,300 -17%
RJA
4
Raymond James & Associates
Florida
$15.4M +$6.34M +124,269 +77%
RJFSA
5
Raymond James Financial Services Advisors
Florida
$13.3M +$1.71M +33,517 +16%
LPL Financial
6
LPL Financial
California
$9.95M +$1.94M +38,049 +26%
HAFS
7
Hapanowicz & Associates Financial Services
Pennsylvania
$8.92M +$8.34M +163,447 New
AIM
8
Astor Investment Management
Illinois
$7.18M -$1.53M -30,050 -18%
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$6.63M +$2.23M +43,654 +55%
Bank of America
10
Bank of America
North Carolina
$6.42M +$114K +2,229 +2%
PFA
11
Pinnacle Family Advisors
Missouri
$6.1M +$5.79M +113,373 New
Ameriprise
12
Ameriprise
Minnesota
$4.96M -$301K -5,908 -6%
Baird Financial Group
13
Baird Financial Group
Wisconsin
$4.73M -$41K -804 -0.9%
Envestnet Asset Management
14
Envestnet Asset Management
Illinois
$4.64M +$3.25M +63,601 +283%
HFS
15
HL Financial Services
Kentucky
$4.3M -$213K -4,165 -5%
Stifel Financial
16
Stifel Financial
Missouri
$3.99M +$71.2K +1,395 +2%
SG Americas Securities
17
SG Americas Securities
New York
$3.82M -$992K -19,439 -21%
LPT
18
Legacy Private Trust
Wisconsin
$3.79M +$3.13M +61,365 +679%
Janney Montgomery Scott
19
Janney Montgomery Scott
Pennsylvania
$3.04M +$348K +6,825 +14%
FAAS
20
First Allied Advisory Services
California
$1.71M +$102K +1,998 +7%
ICOA
21
Investment Centers of America
North Dakota
$1.62M +$52.6K +1,031 +4%
RIA
22
Regal Investment Advisors
Michigan
$1.47M +$1.4M +27,352 New
MIAN
23
Mariner Independent Advisor Network
Kansas
$1.43M +$1.35M +26,491 New
Commonwealth Equity Services
24
Commonwealth Equity Services
Massachusetts
$1.37M +$414K +8,120 +47%
LTFS
25
Ladenburg Thalmann Financial Services
Florida
$1.32M +$264K +5,165 +26%