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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
$54.9M -$5.07M -82,628 -8%
Morgan Stanley
2
Morgan Stanley
New York
$36.9M -$1.88M -30,616 -5%
UBS Group
3
UBS Group
Switzerland
$29M +$487K +7,936 +2%
RJFSA
4
Raymond James Financial Services Advisors
Florida
$28M +$773K +12,606 +3%
LPL Financial
5
LPL Financial
California
$17.4M +$310K +5,057 +2%
Royal Bank of Canada
6
Royal Bank of Canada
Ontario, Canada
$16.4M +$2.47M +40,242 +18%
RJA
7
Raymond James & Associates
Florida
$11.8M +$1.54M +25,198 +15%
Baird Financial Group
8
Baird Financial Group
Wisconsin
$9.79M +$4.81M +78,456 +97%
Bank of America
9
Bank of America
North Carolina
$8.42M -$279K -4,558 -3%
HAFS
10
Hapanowicz & Associates Financial Services
Pennsylvania
$7.28M +$104K +1,693 +1%
PCM
11
Peak Capital Management
Colorado
$4.83M +$5.06M +82,546 New
DADC
12
D.A. Davidson & Co
Montana
$4.26M +$145K +2,365 +4%
Envestnet Asset Management
13
Envestnet Asset Management
Illinois
$4.25M +$175K +2,853 +4%
AG
14
Advisor Group
Arizona
$4.15M -$5.27K -86 -0.1%
Commonwealth Equity Services
15
Commonwealth Equity Services
Massachusetts
$4.05M +$607K +9,904 +18%
CS
16
Credit Suisse
Switzerland
$3.56M -$829K -13,528 -19%
Janney Montgomery Scott
17
Janney Montgomery Scott
Pennsylvania
$3.27M -$149K -2,424 -4%
RIA
18
Regal Investment Advisors
Michigan
$3.17M +$127K +2,078 +4%
Cambridge Investment Research Advisors
19
Cambridge Investment Research Advisors
Iowa
$3.09M -$34K -555 -1%
CWS
20
Cypress Wealth Services
California
$2.49M +$43.1K +703 +2%
LTFS
21
Ladenburg Thalmann Financial Services
Florida
$2.35M -$24.2K -395 -1%
FAAS
22
First Allied Advisory Services
California
$2.13M +$3.92K +64 +0.2%
GIA
23
Gladstone Institutional Advisory
Florida
$2.1M +$711K +11,600 +51%
BTS
24
BB&T Securities
Virginia
$2.1M +$164K +2,668 +8%
US Bancorp
25
US Bancorp
Minnesota
$1.95M -$324K -5,285 -14%