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First Trust Multi Cap Growth AlphaDEX Fund
FAD

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$6.81M +$564K +8,812 +9%
LPL Financial
2
LPL Financial
California
$5.48M +$2.26M +35,234 +73%
AG
3
Advisor Group
Arizona
$5.02M +$292K +4,553 +6%
Bank of America
4
Bank of America
North Carolina
$4.6M +$1.12M +17,492 +33%
Baird Financial Group
5
Baird Financial Group
Wisconsin
$3.63M -$147K -2,289 -4%
UBS Group
6
UBS Group
Switzerland
$3.44M +$172K +2,679 +5%
Wells Fargo
7
Wells Fargo
California
$2.93M -$1.52M -23,727 -35%
IA
8
IFP Advisors
Florida
$2.84M +$141K +2,195 +5%
RJFSA
9
Raymond James Financial Services Advisors
Florida
$2.52M +$488K +7,616 +25%
Susquehanna International Group
10
Susquehanna International Group
Pennsylvania
$2.46M +$1.06M +16,525 +80%
Commonwealth Equity Services
11
Commonwealth Equity Services
Massachusetts
$2.05M +$119K +1,857 +6%
BTS
12
BB&T Securities
Virginia
$1.85M +$139K +2,173 +8%
RFWA
13
RPg Family Wealth Advisory
Massachusetts
$1.53M -$9.67K -151 -0.6%
RJA
14
Raymond James & Associates
Florida
$1.24M -$118K -1,839 -9%
KWM
15
Kingsview Wealth Management
Oregon
$990K – – –
IH
16
IFC Holdings
Florida
$805K -$11.7K -182 -1%
Stifel Financial
17
Stifel Financial
Missouri
$782K +$49.9K +780 +7%
WI
18
Wintrust Investments
Illinois
$621K -$28.6K -446 -5%
VWA
19
V Wealth Advisors
Kansas
$534K +$73K +1,140 +17%
PAG
20
Private Advisor Group
New Jersey
$505K – – –
MML Investors Services
21
MML Investors Services
Massachusetts
$393K +$384K +5,991 New
BIG
22
Bellwether Investment Group
Tennessee
$368K +$47.8K +746 +15%
Royal Bank of Canada
23
Royal Bank of Canada
Ontario, Canada
$358K -$144K -2,253 -29%
VFA
24
Voya Financial Advisors
Connecticut
$277K – – –
WSTAM
25
Wilbanks Smith & Thomas Asset Management
Virginia
$243K – – –
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