Dark
Light
System
Security
FIRST TRUST EXCH TRADED FUND 2 FINLS ALPHADEX ETF
FIRST TRUST EXCH TRADED FUND 2 FINLS ALPHADEX ETF. Institutional holdings reported to the SEC.

Institutional Holders (2016Q2)
Portfolio Summary: 94 Institutional holders with a total value of $449,503,713.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 4,193,452 96,952,000 21.57%
2 WELLS FARGO & COMPANY/MN 3,306,881 76,456,000 17.01%
3 UBS Group AG 2,031,612 46,971,000 10.45%
4 BANK OF AMERICA CORP /DE/ 1,483,814 34,306,000 7.63%
5 GOLDMAN SACHS GROUP INC 1,467,488 33,928,000 7.55%
6 Astor Investment Management LLC 1,054,547 24,381,000 5.42%
7 AVIANCE CAPITAL MANAGEMENT, LLC 421,908 9,755,000 2.17%
8 ROYAL BANK OF CANADA 415,527 9,606,000 2.14%
9 LPL Financial LLC 420,947 9,581,000 2.13%
10 ENVESTNET ASSET MANAGEMENT INC 404,272 9,347,000 2.08%
11 Orion Porfolio Solutions, LLC 363,000 8,393,000 1.87%
12 AMERIPRISE FINANCIAL INC 340,274 7,904,000 1.76%
13 UNITED CAPITAL FINANCIAL ADVISORS, LLC 288,437 6,634,000 1.48%
14 SignalPoint Asset Management, LLC 229,690 5,310,000 1.18%
15 SUSQUEHANNA INTERNATIONAL GROUP, LLP 217,176 5,021,000 1.12%
16 HOCHMAN COLE INVESTMENT ADVISORS, INC. 185,162 4,281,000 0.95%
17 Janney Montgomery Scott LLC 177,103 4,105,000 0.91%
18 RAYMOND JAMES & ASSOCIATES 169,807 3,926,000 0.87%
19 ADVISOR GROUP, INC. 156,880 3,624,000 0.81%
20 Raymond James Financial Services Advisors, Inc. 153,249 3,543,000 0.79%
21 Tower Research Capital LLC (TRC) 121,047 2,799,000 0.62%
22 IMA Advisory Services, Inc. 99,665 2,304,000 0.51%
23 JANE STREET GROUP, LLC 98,730 2,283,000 0.51%
24 HOWE & RUSLING INC 91,333 2,112,000 0.47%
25 Cetera Advisor Networks LLC 83,732 1,933,000 0.43%
26 SUNTRUST BANKS INC 77,748 1,797,000 0.40%
27 STIFEL FINANCIAL CORP 76,657 1,773,000 0.39%
28 Commonwealth Equity Services, Inc 71,744 1,659,000 0.37%
29 HL FINANCIAL SERVICES LLC 69,091 1,597,000 0.36%
30 JPMORGAN CHASE & CO 68,518 1,584,000 0.35%
31 CITADEL ADVISORS LLC 65,372 1,511,000 0.34%
32 OPPENHEIMER & CO INC 63,750 1,474,000 0.33%
33 Virtu KCG Holdings LLC 59,909 1,385,000 0.31%
34 OLD NATIONAL BANCORP /IN/ 59,428 1,374,000 0.31%
35 Atria Investments, Inc 56,304 1,304,000 0.29%
36 First Heartland Consultants, Inc. 52,820 1,221,000 0.27%
37 D.A. DAVIDSON & CO. 52,534 1,214,000 0.27%
38 BB&T SECURITIES, LLC 47,257 1,092,000 0.24%
39 Cambridge Investment Research Advisors, Inc. 45,516 1,052,000 0.23%
40 BSC PRIVATE WEALTH MANAGEMENT, LLC 44,307 1,008,000 0.22%
41 IFC Holdings Incorporated/FL 38,088 878,000 0.20%
42 INVESTMENT CENTERS OF AMERICA INC 37,787 873,000 0.19%
43 BENJAMIN F. EDWARDS & COMPANY, INC. 32,792 758,000 0.17%
44 MSI Financial Services Inc 30,956 716,000 0.16%
45 WAYNE HUMMER INVESTMENTS L.L.C. 68,468 643,000 0.14%
46 Private Advisor Group, LLC 25,669 584,000 0.13%
47 First Allied Advisory Services, Inc. 24,930 572,000 0.13%
48 B. Riley Wealth Advisors, Inc. 23,140 536,000 0.12%
49 IFP ADVISORS, INC 22,616 523,000 0.12%
50 LADENBURG THALMANN FINANCIAL SERVICES INC. 19,990 468,000 0.10%
Page 1 of 2

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.