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First Trust Multi Cap Growth AlphaDEX Fund
FAD

Name Holding Trade Value Shares
Change 		Change in
Stake
RJFSA
1
Raymond James Financial Services Advisors
Florida
$15.6M -$1.91M -26,323 -11%
LPL Financial
2
LPL Financial
California
$9.83M -$1.78M -24,522 -16%
Morgan Stanley
3
Morgan Stanley
New York
$7M -$840K -11,563 -11%
Goldman Sachs
4
Goldman Sachs
New York
$5.12M +$977K +13,450 +24%
UBS Group
5
UBS Group
Switzerland
$4.69M -$390K -5,364 -8%
Royal Bank of Canada
6
Royal Bank of Canada
Ontario, Canada
$4.01M +$399K +5,495 +11%
BTS
7
BB&T Securities
Virginia
$3.1M -$10.6K -146 -0.4%
Wells Fargo
8
Wells Fargo
California
$2.99M -$135K -1,860 -4%
Citadel Advisors
9
Citadel Advisors
Florida
$2.91M +$345K +4,745 +14%
PAG
10
Private Advisor Group
New Jersey
$2.52M +$1.78M +24,483 +263%
Bank of America
11
Bank of America
North Carolina
$2.48M -$23.9K -329 -1%
DADC
12
D.A. Davidson & Co
Montana
$2.24M +$42.3K +582 +2%
Commonwealth Equity Services
13
Commonwealth Equity Services
Massachusetts
$2M -$730K -10,042 -27%
RFWA
14
RPg Family Wealth Advisory
Massachusetts
$1.85M +$40.6K +559 +2%
RJA
15
Raymond James & Associates
Florida
$1.78M -$118K -1,618 -6%
Cambridge Investment Research Advisors
16
Cambridge Investment Research Advisors
Iowa
$1.7M +$65.1K +896 +4%
Stifel Financial
17
Stifel Financial
Missouri
$1.36M -$32.2K -443 -2%
GSWM
18
Golden State Wealth Management
California
$1.02M -$2.18K -30 -0.2%
VWA
19
V Wealth Advisors
Kansas
$893K +$36.4K +501 +4%
NL
20
NWAM LLC
Washington
$825K +$89.2K +1,227 +12%
WI
21
Wintrust Investments
Illinois
$696K – – –
AG
22
Advisor Group
Arizona
$680K +$44.7K +615 +7%
LTFS
23
Ladenburg Thalmann Financial Services
Florida
$459K +$165K +2,273 +59%
VFA
24
Voya Financial Advisors
Connecticut
$349K +$73 +1 +0%
MML Investors Services
25
MML Investors Services
Massachusetts
$344K -$439K -6,041 -57%
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