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First Trust Multi Cap Growth AlphaDEX Fund
FAD

Name Holding Trade Value Shares
Change 		Change in
Stake
LPL Financial
1
LPL Financial
California
$7.93M -$142K -2,001 -2%
PFA
2
Plotkin Financial Advisors
Maryland
$7.06M -$211K -2,972 -3%
Morgan Stanley
3
Morgan Stanley
New York
$7.06M -$234K -3,290 -4%
Royal Bank of Canada
4
Royal Bank of Canada
Ontario, Canada
$5.67M +$255K +3,585 +5%
Goldman Sachs
5
Goldman Sachs
New York
$5.35M – – –
UBS Group
6
UBS Group
Switzerland
$4.27M -$633K -8,913 -14%
RJFSA
7
Raymond James Financial Services Advisors
Florida
$3.43M +$1.05M +14,793 +51%
Truist Financial
8
Truist Financial
North Carolina
$2.84M -$116K -1,632 -4%
Citadel Advisors
9
Citadel Advisors
Florida
$2.65M +$412K +5,809 +21%
PAG
10
Private Advisor Group
New Jersey
$2.55M +$27.1K +381 +1%
Susquehanna International Group
11
Susquehanna International Group
Pennsylvania
$2.44M +$1.7M +23,964 +324%
Wells Fargo
12
Wells Fargo
California
$2.27M -$307K -4,327 -13%
Bank of America
13
Bank of America
North Carolina
$2.22M -$263K -3,704 -12%
Commonwealth Equity Services
14
Commonwealth Equity Services
Massachusetts
$1.87M +$110K +1,555 +7%
RJA
15
Raymond James & Associates
Florida
$1.85M -$28.4K -400 -2%
SFPG
16
Stonebridge Financial Planning Group
Florida
$1.51M -$35.8K -504 -3%
Osaic Holdings
17
Osaic Holdings
Arizona
$1.19M +$144K +2,033 +15%
VWA
18
V Wealth Advisors
Kansas
$1.07M -$10.8K -152 -1%
Cambridge Investment Research Advisors
19
Cambridge Investment Research Advisors
Iowa
$861K -$72.7K -1,024 -8%
FAAS
20
First Allied Advisory Services
California
$767K -$3.55K -50 -0.5%
IA
21
IFP Advisors
Florida
$725K -$14.5K -204 -2%
Rockefeller Capital Management
22
Rockefeller Capital Management
New York
$566K +$137K +1,934 +36%
CAN
23
Cetera Advisor Networks
California
$532K +$485K +6,825 New
VFA
24
Voya Financial Advisors
Connecticut
$440K +$4.54K +64 +1%
Janney Montgomery Scott
25
Janney Montgomery Scott
Pennsylvania
$399K +$364K +5,121 New
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