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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
$11.3M -$3.12M -41,654 -22%
LPL Financial
2
LPL Financial
California
$8.87M -$1.59M -21,231 -16%
PFA
3
Plotkin Financial Advisors
Maryland
$7.45M +$7.22M +96,363 New
Morgan Stanley
4
Morgan Stanley
New York
$7M -$69.3K -925 -1%
Goldman Sachs
5
Goldman Sachs
New York
$5.3M – – –
UBS Group
6
UBS Group
Switzerland
$4.76M +$5.84K +78 +0.1%
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$4.42M +$854K +11,408 +25%
Wells Fargo
8
Wells Fargo
California
$4.32M -$52K -694 -1%
Truist Financial
9
Truist Financial
North Carolina
$2.98M +$2.89M +38,574 New
Susquehanna International Group
10
Susquehanna International Group
Pennsylvania
$2.75M +$2.42M +32,367 +1,009%
PAG
11
Private Advisor Group
New Jersey
$2.39M -$23.4K -312 -1%
Bank of America
12
Bank of America
North Carolina
$2.32M -$439K -5,861 -16%
DADC
13
D.A. Davidson & Co
Montana
$2.28M -$55.5K -741 -2%
Citadel Advisors
14
Citadel Advisors
Florida
$2.22M +$1.72M +22,954 +399%
SFPG
15
Stonebridge Financial Planning Group
Florida
$2.05M +$1.98M +26,479 New
RFWA
16
RPg Family Wealth Advisory
Massachusetts
$1.99M +$101K +1,348 +6%
Commonwealth Equity Services
17
Commonwealth Equity Services
Massachusetts
$1.9M -$94.4K -1,260 -5%
RJA
18
Raymond James & Associates
Florida
$1.87M +$97.7K +1,305 +6%
NL
19
NWAM LLC
Washington
$1.09M +$163K +2,183 +18%
VWA
20
V Wealth Advisors
Kansas
$1M – – –
FAAS
21
First Allied Advisory Services
California
$927K +$30.5K +407 +3%
Cambridge Investment Research Advisors
22
Cambridge Investment Research Advisors
Iowa
$883K -$941K -12,567 -52%
AG
23
Advisor Group
Arizona
$841K +$4.79K +64 +0.6%
IA
24
IFP Advisors
Florida
$750K -$87.5K -1,168 -11%
LI
25
LVZ Inc
Michigan
$577K +$1.12K +15 +0.2%
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