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First Trust Small Cap Core AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
LPL Financial
1
LPL Financial
California
$60.2M +$4.91M +61,776 +9%
Morgan Stanley
2
Morgan Stanley
New York
$54.9M -$813K -10,217 -1%
Bank of America
3
Bank of America
North Carolina
$46.7M -$12.5M -157,511 -21%
Wells Fargo
4
Wells Fargo
California
$44.9M +$294K +3,696 +0.7%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$33.6M -$1.14M -14,317 -3%
UBS Group
6
UBS Group
Switzerland
$19.8M +$1.44M +18,162 +8%
HAFS
7
Hapanowicz & Associates Financial Services
Pennsylvania
$17.1M +$185K +2,329 +1%
RJA
8
Raymond James & Associates
Florida
$14.5M -$1.3M -16,374 -8%
Janney Montgomery Scott
9
Janney Montgomery Scott
Pennsylvania
$13.7M +$1.14M +14,307 +9%
RJFSA
10
Raymond James Financial Services Advisors
Florida
$10.5M -$440K -5,528 -4%
WAAG
11
Wealth Alliance Advisory Group
Kansas
$8.52M +$548K +6,883 +7%
KAS
12
Kestra Advisory Services
Texas
$7.49M +$508K +6,384 +7%
Cetera Investment Advisers
13
Cetera Investment Advisers
Illinois
$7.44M +$373K +4,683 +5%
Baird Financial Group
14
Baird Financial Group
Wisconsin
$6.69M -$357K -4,491 -5%
WP
15
WealthSource Partners
California
$6.38M +$85.2K +1,071 +1%
WWM
16
Western Wealth Management
Colorado
$6.14M -$5.98M -75,194 -49%
RIA
17
Regal Investment Advisors
Michigan
$5.82M +$131K +1,641 +2%
Cambridge Investment Research Advisors
18
Cambridge Investment Research Advisors
Iowa
$5.59M +$1.39M +17,486 +33%
DADC
19
D.A. Davidson & Co
Montana
$5.46M +$259K +3,252 +5%
SWAG
20
Spectrum Wealth Advisory Group
California
$5.36M -$148K -1,860 -3%
Commonwealth Equity Services
21
Commonwealth Equity Services
Massachusetts
$5.36M -$639K -8,035 -11%
Osaic Holdings
22
Osaic Holdings
Arizona
$5.28M -$1.73M -21,703 -24%
Stifel Financial
23
Stifel Financial
Missouri
$4.85M +$1.13M +14,261 +30%
CPIG
24
Chicago Partners Investment Group
Illinois
$4.62M +$11.3K +142 +0.3%
IA
25
IFG Advisory
Georgia
$4.56M +$786K +9,881 +20%