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First Trust Small Cap Core AlphaDEX Fund
FYX

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$73.1M +$2.79M +29,063 +4%
Wells Fargo
2
Wells Fargo
California
$61.7M +$3.92M +40,832 +7%
LPL Financial
3
LPL Financial
California
$52M +$1.73M +18,035 +4%
Bank of America
4
Bank of America
North Carolina
$45.1M +$140K +1,465 +0.3%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$38.3M -$1.23M -12,841 -3%
Janney Montgomery Scott
6
Janney Montgomery Scott
Pennsylvania
$26.6M -$2.39M -24,946 -9%
HAFS
7
Hapanowicz & Associates Financial Services
Pennsylvania
$24.6M +$680K +7,091 +3%
RJA
8
Raymond James & Associates
Florida
$21M +$40.2K +419 +0.2%
UBS Group
9
UBS Group
Switzerland
$20.2M -$300K -3,125 -2%
RJFSA
10
Raymond James Financial Services Advisors
Florida
$20.1M +$505K +5,266 +3%
WAAG
11
Wealth Alliance Advisory Group
Kansas
$12.4M +$185K +1,928 +2%
MLRA
12
Main Line Retirement Advisors
Montana
$11.8M +$641K +6,685 +6%
Cambridge Investment Research Advisors
13
Cambridge Investment Research Advisors
Iowa
$9.74M +$1.63M +17,032 +21%
Cetera Investment Advisers
14
Cetera Investment Advisers
Illinois
$9.62M -$5.27M -54,942 -36%
JP Morgan Chase
15
JP Morgan Chase
New York
$8.62M +$2.05M +21,401 +33%
Commonwealth Equity Services
16
Commonwealth Equity Services
Massachusetts
$7.95M +$1.36M +14,156 +22%
Baird Financial Group
17
Baird Financial Group
Wisconsin
$7.95M -$65.4K -682 -0.8%
CPIG
18
Chicago Partners Investment Group
Illinois
$6.83M +$157K +1,635 +2%
KAS
19
Kestra Advisory Services
Texas
$6.2M -$1.07M -11,128 -15%
Osaic Holdings
20
Osaic Holdings
Arizona
$6.13M -$140K -1,458 -2%
GCA
21
Genesee Capital Advisors
New York
$6.01M +$43.1K +449 +0.7%
VAS
22
Vestmark Advisory Solutions
Massachusetts
$5.79M -$89.2K -930 -2%
Stifel Financial
23
Stifel Financial
Missouri
$5.58M +$1.05M +10,925 +24%
IA
24
IFG Advisory
Georgia
$4.52M -$637K -6,641 -13%
DADC
25
D.A. Davidson & Co
Montana
$4.42M -$24.2K -252 -0.6%
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