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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
$90.1M -$1.66M -17,223 -2%
Morgan Stanley
2
Morgan Stanley
New York
$70M -$5.51M -57,360 -7%
Bank of America
3
Bank of America
North Carolina
$60.1M +$4.88M +50,783 +9%
LPL Financial
4
LPL Financial
California
$55.4M +$5.1M +53,099 +10%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$45.4M +$1.17M +12,138 +3%
UBS Group
6
UBS Group
Switzerland
$20.6M +$536K +5,575 +3%
Raymond James & Associates
7
Raymond James & Associates
Florida
$19.3M +$953K +9,910 +5%
HAFS
8
Hapanowicz & Associates Financial Services
Pennsylvania
$17.8M +$617K +6,420 +4%
Janney Montgomery Scott
9
Janney Montgomery Scott
Pennsylvania
$17.2M +$1.77M +18,445 +12%
Raymond James Financial Services Advisors
10
Raymond James Financial Services Advisors
Florida
$15M +$2.28M +23,705 +18%
Kestra Advisory Services
11
Kestra Advisory Services
Texas
$12.2M +$2.83M +29,461 +31%
Cambridge Investment Research Advisors
12
Cambridge Investment Research Advisors
Iowa
$11.3M +$1.88M +19,555 +20%
Baird Financial Group
13
Baird Financial Group
Wisconsin
$10.3M -$209K -2,177 -2%
Commonwealth Equity Services
14
Commonwealth Equity Services
Massachusetts
$8.37M +$761K +7,918 +10%
Osaic Holdings
15
Osaic Holdings
Arizona
$8.23M -$1.6M -16,625 -16%
Western Wealth Management
16
Western Wealth Management
Colorado
$8.12M +$8.05M +83,727 New
Cetera Investment Advisers
17
Cetera Investment Advisers
Illinois
$7.19M +$138K +1,435 +2%
HWM
18
Holloway Wealth Management
Florida
$7.14M – – –
Private Advisor Group
19
Private Advisor Group
New Jersey
$7.05M +$170K +1,767 +2%
RIA
20
Regal Investment Advisors
Michigan
$6.22M +$102K +1,056 +2%
WP
21
WealthSource Partners
California
$5.83M -$17.7K -184 -0.3%
AIA
22
Arrow Investment Advisors
Maryland
$5.65M -$359K -3,738 -6%
SWAG
23
Spectrum Wealth Advisory Group
California
$5.65M +$202K +2,097 +4%
Stratos Wealth Partners
24
Stratos Wealth Partners
Ohio
$5.39M -$993K -10,330 -16%
FHC
25
First Heartland Consultants
Missouri
$4.87M +$926K +9,628 +24%