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FIRST TRUST MID CAP VALUE ALPHADEX FUND
FIRST TRUST MID CAP VALUE ALPHADEX FUND. Institutional holdings reported to the SEC.

Institutional Holders (2017Q1)
Portfolio Summary: 19 Institutional holders with a total value of $41,318,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 372,289 12,450,000 30.13%
2 Cetera Advisor Networks LLC 258,465 8,647,000 20.93%
3 MORGAN STANLEY 215,760 7,215,000 17.46%
4 BENJAMIN F. EDWARDS & COMPANY, INC. 87,902 2,939,000 7.11%
5 LPL Financial LLC 82,571 2,734,000 6.62%
6 RAYMOND JAMES & ASSOCIATES 63,679 2,129,000 5.15%
7 Commonwealth Equity Services, Inc 59,571 1,992,000 4.82%
8 BANK OF AMERICA CORP /DE/ 53,320 1,783,000 4.32%
9 ROYAL BANK OF CANADA 13,173 441,000 1.07%
10 Cambridge Investment Research Advisors, Inc. 12,086 404,000 0.98%
11 AMERIPRISE FINANCIAL INC 8,215 275,000 0.67%
12 WFG Advisors, LP 3,737 125,000 0.30%
13 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,626 88,000 0.21%
14 D.A. DAVIDSON & CO. 1,795 60,000 0.15%
15 PNC FINANCIAL SERVICES GROUP, INC. 387 13,000 0.03%
16 Portfolio Solutions, LLC 270 9,000 0.02%
17 Tower Research Capital LLC (TRC) 201 7,000 0.02%
18 CITIGROUP INC 222 7,000 0.02%
19 Parallax Volatility Advisers, L.P. 1 0 0.00%

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.