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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
$65.6M +$16.8M +281,866 +36%
Morgan Stanley
2
Morgan Stanley
New York
$52.3M +$4.11M +68,692 +9%
Raymond James Financial Services Advisors
3
Raymond James Financial Services Advisors
Florida
$16.3M +$2.09M +34,913 +15%
UBS Group
4
UBS Group
Switzerland
$16.3M -$306K -5,123 -2%
LPL Financial
5
LPL Financial
California
$12.4M +$1.05M +17,630 +9%
HAFS
6
Hapanowicz & Associates Financial Services
Pennsylvania
$11.4M -$55K -920 -0.5%
Bank of America
7
Bank of America
North Carolina
$9.16M -$1.77M -29,643 -17%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$7.97M +$486K +8,134 +7%
Baird Financial Group
9
Baird Financial Group
Wisconsin
$6.9M +$276K +4,611 +4%
First Allied Advisory Services
10
First Allied Advisory Services
California
$6.54M +$4.58M +76,664 +253%
PFA
11
Pinnacle Family Advisors
Missouri
$6.15M +$5.73M +95,822 +2,087%
Janney Montgomery Scott
12
Janney Montgomery Scott
Pennsylvania
$6.09M -$76K -1,271 -1%
Raymond James & Associates
13
Raymond James & Associates
Florida
$5.51M +$1.03M +17,159 +24%
HL Financial Services
14
HL Financial Services
Kentucky
$4.82M -$249K -4,165 -5%
Envestnet Asset Management
15
Envestnet Asset Management
Illinois
$4.62M +$250K +4,180 +6%
LPT
16
Legacy Private Trust
Wisconsin
$4.41M -$201K -3,368 -4%
Cambridge Investment Research Advisors
17
Cambridge Investment Research Advisors
Iowa
$3.46M +$1.84M +30,806 +119%
Colony Group
18
Colony Group
Massachusetts
$3.44M +$3.36M +56,219 New
Advisor Group
19
Advisor Group
Arizona
$3.17M +$344K +5,760 +12%
RIA
20
Regal Investment Advisors
Michigan
$2.69M -$24.4K -409 -0.9%
Ladenburg Thalmann Financial Services
21
Ladenburg Thalmann Financial Services
Florida
$2.35M -$74.8K -1,251 -3%
D.A. Davidson & Co
22
D.A. Davidson & Co
Montana
$2.34M +$536K +8,974 +31%
Commonwealth Equity Services
23
Commonwealth Equity Services
Massachusetts
$2.05M +$310K +5,189 +18%
HighTower Advisors
24
HighTower Advisors
Illinois
$2.04M -$224K -3,751 -10%
CCA
25
Clearwater Capital Advisors
Illinois
$1.97M +$54.8K +917 +3%