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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
$6.34M -$716K -10,485 -10%
LPL Financial
2
LPL Financial
California
$6.07M +$406K +5,947 +7%
Bank of America
3
Bank of America
North Carolina
$5.03M +$271K +3,965 +6%
UBS Group
4
UBS Group
Switzerland
$3.8M +$234K +3,422 +7%
RJFSA
5
Raymond James Financial Services Advisors
Florida
$2.97M +$362K +5,303 +14%
IA
6
IFP Advisors
Florida
$2.84M – – –
Wells Fargo
7
Wells Fargo
California
$2.49M -$548K -8,021 -18%
BTS
8
BB&T Securities
Virginia
$2.23M +$319K +4,669 +17%
Commonwealth Equity Services
9
Commonwealth Equity Services
Massachusetts
$2.13M +$1.37K +20 +0.1%
AG
10
Advisor Group
Arizona
$1.69M -$3.52M -51,603 -68%
RFWA
11
RPg Family Wealth Advisory
Massachusetts
$1.53M -$55.6K -814 -3%
KWM
12
Kingsview Wealth Management
Oregon
$1.38M +$356K +5,218 +35%
RJA
13
Raymond James & Associates
Florida
$1.23M -$50.6K -741 -4%
Stifel Financial
14
Stifel Financial
Missouri
$880K +$71.3K +1,044 +9%
Susquehanna International Group
15
Susquehanna International Group
Pennsylvania
$826K -$1.71M -25,105 -67%
MML Investors Services
16
MML Investors Services
Massachusetts
$783K +$378K +5,537 +92%
WI
17
Wintrust Investments
Illinois
$626K -$17.3K -253 -3%
VWA
18
V Wealth Advisors
Kansas
$607K +$91.9K +1,346 +17%
Jane Street
19
Jane Street
New York
$390K +$392K +5,745 New
Royal Bank of Canada
20
Royal Bank of Canada
Ontario, Canada
$341K -$29.8K -437 -8%
VFA
21
Voya Financial Advisors
Connecticut
$281K – – –
DADC
22
D.A. Davidson & Co
Montana
$259K +$31K +454 +14%
WSTAM
23
Wilbanks Smith & Thomas Asset Management
Virginia
$251K – – –
FAAS
24
First Allied Advisory Services
California
$251K +$253K +3,703 New
MC
25
Moors & Cabot
Massachusetts
$241K +$68 +1 +0%
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