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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
$30M -$1.93M -33,574 -6%
Morgan Stanley
2
Morgan Stanley
New York
$27.2M +$5.12M +88,824 +23%
TIM
3
Total Investment Management
Arizona
$21M +$20.5M +355,700 New
UBS Group
4
UBS Group
Switzerland
$20.5M -$1.53M -26,481 -7%
HAFS
5
Hapanowicz & Associates Financial Services
Pennsylvania
$12.6M -$204K -3,540 -2%
RJA
6
Raymond James & Associates
Florida
$11.8M -$3.71M -64,328 -24%
LPL Financial
7
LPL Financial
California
$10.2M -$336K -5,840 -3%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$9.93M -$2.45M -42,518 -20%
Janney Montgomery Scott
9
Janney Montgomery Scott
Pennsylvania
$8.11M +$1.6M +27,705 +25%
Bank of America
10
Bank of America
North Carolina
$7.43M +$577K +10,020 +8%
RJFSA
11
Raymond James Financial Services Advisors
Florida
$6.36M -$1.86M -32,228 -23%
Baird Financial Group
12
Baird Financial Group
Wisconsin
$4.45M +$97.5K +1,692 +2%
FWM
13
Frontier Wealth Management
Missouri
$4.37M -$36.8K -638 -0.8%
Osaic Holdings
14
Osaic Holdings
Arizona
$3.7M -$325K -5,636 -8%
Susquehanna International Group
15
Susquehanna International Group
Pennsylvania
$3.5M +$539K +9,354 +18%
Commonwealth Equity Services
16
Commonwealth Equity Services
Massachusetts
$3.08M +$482K +8,361 +19%
HWM
17
Holloway Wealth Management
Florida
$2.86M
IA
18
IFG Advisory
Georgia
$2.64M +$221K +3,830 +9%
DADC
19
D.A. Davidson & Co
Montana
$2.54M +$1.56M +27,083 +161%
KAS
20
Kestra Advisory Services
Texas
$2.52M +$2.45M +42,464 New
PNC
21
Park National Corp
Ohio
$2.16M -$118K -2,050 -5%
CPIG
22
Chicago Partners Investment Group
Illinois
$2.08M +$165K +2,862 +9%
OAM
23
Occidental Asset Management
California
$1.85M +$46.3K +803 +3%
Cambridge Investment Research Advisors
24
Cambridge Investment Research Advisors
Iowa
$1.66M -$226K -3,923 -12%
FAAS
25
First Allied Advisory Services
California
$1.55M +$188K +3,271 +14%