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FIRST TRUST EUROPE ALPHADEX FUND
FIRST TRUST EUROPE ALPHADEX FUND. Institutional holdings reported to the SEC.

Institutional Holders (2016Q1)
Portfolio Summary: 59 Institutional holders with a total value of $191,141,755.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 2,317,377 67,227,000 35.17%
2 UBS Group AG 1,002,474 29,082,000 15.21%
3 WELLS FARGO & COMPANY/MN 709,121 20,572,000 10.76%
4 LPL Financial LLC 488,534 13,874,000 7.26%
5 SANDERS MORRIS HARRIS INC/FA 319,500 9,269,000 4.85%
6 BANK OF AMERICA CORP /DE/ 214,685 6,228,000 3.26%
7 RAYMOND JAMES & ASSOCIATES 202,210 5,866,000 3.07%
8 ROYAL BANK OF CANADA 153,652 4,457,000 2.33%
9 Raymond James Financial Services Advisors, Inc. 148,854 4,318,000 2.26%
10 JANE STREET GROUP, LLC 117,691 3,414,000 1.79%
11 IMA Advisory Services, Inc. 111,466 3,162,000 1.65% SH
12 AMERICAN INTERNATIONAL GROUP, INC. 74,317 2,156,000 1.13%
13 Commonwealth Equity Services, Inc 64,340 1,867,000 0.98%
14 CITADEL ADVISORS LLC 45,647 1,324,000 0.69%
15 BB&T SECURITIES, LLC 45,162 1,310,000 0.69%
16 SignalPoint Asset Management, LLC 44,418 1,289,000 0.67%
17 SUSQUEHANNA INTERNATIONAL GROUP, LLP 44,323 1,286,000 0.67%
18 LADENBURG THALMANN FINANCIAL SERVICES INC. 43,597 1,265,000 0.66%
19 MSI Financial Services Inc 36,476 1,058,000 0.55%
20 AMERIPRISE FINANCIAL INC 32,429 941,000 0.49%
21 First Allied Advisory Services, Inc. 32,293 939,000 0.49%
22 OPPENHEIMER & CO INC 29,834 865,000 0.45%
23 STIFEL FINANCIAL CORP 29,624 859,000 0.45%
24 Beaumont Financial Partners, LLC 24,502 758,000 0.40%
25 CITIGROUP INC 21,391 621,000 0.32%
26 Janney Montgomery Scott LLC 21,154 614,000 0.32%
27 ENVESTNET ASSET MANAGEMENT INC 17,643 512,000 0.27%
28 STEPHENS INC /AR/ 15,334 445,000 0.23%
29 M&T BANK CORP 15,304 444,000 0.23%
30 D.A. DAVIDSON & CO. 12,820 371,000 0.19%
31 Cetera Advisor Networks LLC 11,550 336,000 0.18%
32 MANUFACTURERS LIFE INSURANCE COMPANY, THE 11,111 324,000 0.17%
33 CORNERSTONE WEALTH MANAGEMENT, LLC 17,262 316,000 0.17%
34 Cambridge Investment Research Advisors, Inc. 9,267 269,000 0.14%
35 Cetera Advisors LLC 8,970 264,000 0.14%
36 HL FINANCIAL SERVICES LLC 9,038 262,000 0.14%
37 Yorktown Management & Research Co Inc 9,000 261,000 0.14%
38 INVESTMENT CENTERS OF AMERICA INC 8,547 248,000 0.13%
39 FLOW TRADERS U.S. LLC 8,039 233,000 0.12%
40 Sigma Planning Corp 7,877 229,000 0.12%
41 SUNTRUST BANKS INC 7,572 219,000 0.11%
42 Ashfield Capital Partners, LLC 7,500 218,000 0.11%
43 JPMORGAN CHASE & CO 7,390 214,000 0.11%
44 First Heartland Consultants, Inc. 7,295 212,000 0.11%
45 REGIONS FINANCIAL CORP 6,997 203,000 0.11%
46 Winslow, Evans & Crocker, Inc. 6,307 182,966 0.10%
47 WFG Advisors, LP 5,583 162,000 0.08%
48 NEXT Financial Group, Inc 5,420 157,000 0.08%
49 SECURITY NATIONAL TRUST CO 4,682 136,000 0.07%
50 PNC FINANCIAL SERVICES GROUP, INC. 4,088 119,000 0.06%
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From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.