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First Trust Small Cap Core AlphaDEX Fund
FYX

Name Holding Trade Value Shares
Change 		Change in
Stake
Wells Fargo
1
Wells Fargo
California
$30M -$7.53M -152,999 -22%
Morgan Stanley
2
Morgan Stanley
New York
$20.7M +$2.07M +41,983 +12%
UBS Group
3
UBS Group
Switzerland
$20.6M -$2.91M -59,025 -13%
RJA
4
Raymond James & Associates
Florida
$14.6M +$2.15M +43,700 +19%
HAFS
5
Hapanowicz & Associates Financial Services
Pennsylvania
$12M -$1.42M -28,833 -12%
Royal Bank of Canada
6
Royal Bank of Canada
Ontario, Canada
$11.6M -$258K -5,233 -2%
LPL Financial
7
LPL Financial
California
$9.88M -$1.38M -27,945 -13%
RJFSA
8
Raymond James Financial Services Advisors
Florida
$7.71M -$6.74M -136,969 -49%
Bank of America
9
Bank of America
North Carolina
$6.42M -$56.7K -1,151 -1%
Janney Montgomery Scott
10
Janney Montgomery Scott
Pennsylvania
$6.11M +$3.83M +77,868 +225%
FWM
11
Frontier Wealth Management
Missouri
$4.14M -$66.5K -1,350 -2%
Baird Financial Group
12
Baird Financial Group
Wisconsin
$4.08M -$2.94M -59,661 -44%
Osaic Holdings
13
Osaic Holdings
Arizona
$3.78M -$539K -10,941 -14%
RIA
14
Regal Investment Advisors
Michigan
$3.39M +$3.08M +62,498 New
Susquehanna International Group
15
Susquehanna International Group
Pennsylvania
$2.78M -$2.46M -49,956 -49%
HWM
16
Holloway Wealth Management
Florida
$2.46M – – –
Commonwealth Equity Services
17
Commonwealth Equity Services
Massachusetts
$2.43M -$122K -2,474 -5%
IA
18
IFG Advisory
Georgia
$2.27M +$500K +10,164 +32%
PNC
19
Park National Corp
Ohio
$2.14M +$82.7K +1,680 +4%
Cambridge Investment Research Advisors
20
Cambridge Investment Research Advisors
Iowa
$1.76M -$28.3K -574 -2%
CPIG
21
Chicago Partners Investment Group
Illinois
$1.71M +$231K +4,689 +18%
OAM
22
Occidental Asset Management
California
$1.7M +$1.54M +31,242 New
Citadel Advisors
23
Citadel Advisors
Florida
$1.61M -$4.09M -83,008 -74%
UR
24
USCA RIA
Texas
$1.41M +$22.2K +450 +2%
TRCT
25
Tower Research Capital (TRC)
New York
$1.37M -$533K -10,823 -30%
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