USCA RIA’s First Trust Small Cap Growth AlphaDEX Fund FYC Stock Holding History

USCA RIA’s Portfolio FYC Stock Details FYC Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2020 Q1	–	Sell	-19,365	Closed	-$904K	–	435
2019 Q4	$904K	Buy	19,365 +1,878	+11%	+$84.6K	0.08%	256
2019 Q3	$767K	Buy	17,487 +1,357	+8%	+$61.7K	0.08%	258
2019 Q2	$751K	Buy	16,130 +2,493	+18%	+$114K	0.08%	254
2019 Q1	$629K	Buy	13,637 +2,070	+18%	+$92.6K	0.07%	258
2018 Q4	$464K	Buy	11,567 +116	+1%	+$5.2K	0.06%	266
2018 Q3	$599K	Buy	11,451 +482	+4%	+$24.6K	0.06%	291
2018 Q2	$532K	Buy	10,969 +642	+6%	+$29.8K	0.06%	291
2018 Q1	$448K	Buy	10,327 +3,799	+58%	+$165K	0.05%	312
2017 Q4	$278K	Buy	+6,528	New	+$273K	0.03%	368

Other funds holding FYC

Morgan Stanley New York $1.89T AUM 35.08% 1-Year Est. Return

LPL Financial San Diego, California $445B AUM 25.58% 1-Year Est. Return

Strid Group Newtown Square, Pennsylvania $901M AUM 21.04% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.55T AUM 33.47% 1-Year Est. Return

Wells Fargo San Francisco, California $617B AUM 30.33% 1-Year Est. Return

Cambridge Investment Research Advisors Fairfield, Iowa $44.6B AUM 28.94% 1-Year Est. Return

RJA

Raymond James & Associates St Petersburg, Florida $164B AUM 33.91% 1-Year Est. Return

Susquehanna International Group Bala Cynwyd, Pennsylvania $1.28T AUM 58.89% 1-Year Est. Return

RJFSA

Raymond James Financial Services Advisors St. Petersburg, Florida $75.1B AUM 31.89% 1-Year Est. Return

UBS Group Zurich, Switzerland $786B AUM 40.34% 1-Year Est. Return

USCA RIA's FYC Position: Q1 2020 in Review

USCA RIA sold out of First Trust Small Cap Growth AlphaDEX Fund (FYC) in Q1 2020, closing a stake of 19,365 shares — an estimated $904K sold.

USCA RIA first reported a position in FYC in Q4 2017 and held it in 9 quarters. The position peaked at $904K in Q4 2019. 60 funds tracked by Wall St. Rank hold FYC as of Q1 2020.

USCA RIA reported no remaining First Trust Small Cap Growth AlphaDEX Fund position as of Q1 2020 after selling out during the quarter.
USCA RIA sold 19,365 First Trust Small Cap Growth AlphaDEX Fund shares in Q1 2020, an estimated $904K.
USCA RIA first reported a position in First Trust Small Cap Growth AlphaDEX Fund in Q4 2017 and held it in 9 quarters.
USCA RIA's First Trust Small Cap Growth AlphaDEX Fund position peaked at $904K in Q4 2019.
60 funds tracked by Wall St. Rank held First Trust Small Cap Growth AlphaDEX Fund as of Q1 2020.

Based on USCA RIA's 13F filing for Q1 2020, filed 13 Apr 2020.