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First Trust Multi Cap Growth AlphaDEX Fund
FAD

Name Holding Trade Value Shares
Change 		Change in
Stake
Goldman Sachs
1
Goldman Sachs
New York
$11.2M +$5.14M +61,432 +90%
LPL Financial
2
LPL Financial
California
$10.6M +$1.81M +21,596 +21%
Royal Bank of Canada
3
Royal Bank of Canada
Ontario, Canada
$7.64M +$1.34M +16,015 +22%
Morgan Stanley
4
Morgan Stanley
New York
$7.62M -$171K -2,046 -2%
UBS Group
5
UBS Group
Switzerland
$4.34M -$367K -4,386 -8%
Susquehanna International Group
6
Susquehanna International Group
Pennsylvania
$4.31M +$1.54M +18,391 +59%
RJFSA
7
Raymond James Financial Services Advisors
Florida
$3.97M +$179K +2,135 +5%
PFA
8
Plotkin Financial Advisors
Maryland
$3.49M -$4.19M -50,022 -55%
Truist Financial
9
Truist Financial
North Carolina
$3.09M -$44K -526 -1%
PAG
10
Private Advisor Group
New Jersey
$2.77M -$41K -490 -1%
Wells Fargo
11
Wells Fargo
California
$2.52M +$17.2K +206 +0.7%
Commonwealth Equity Services
12
Commonwealth Equity Services
Massachusetts
$1.99M -$73.3K -876 -4%
RJA
13
Raymond James & Associates
Florida
$1.97M -$63.9K -763 -3%
Bank of America
14
Bank of America
North Carolina
$1.94M -$496K -5,928 -21%
Citadel Advisors
15
Citadel Advisors
Florida
$1.85M -$1.06M -12,654 -37%
SFPG
16
Stonebridge Financial Planning Group
Florida
$1.66M -$95.3K -1,139 -6%
Cambridge Investment Research Advisors
17
Cambridge Investment Research Advisors
Iowa
$872K -$76.1K -909 -8%
KAS
18
Kestra Advisory Services
Texas
$867K +$843K +10,071 New
Osaic Holdings
19
Osaic Holdings
Arizona
$833K -$458K -5,477 -36%
IA
20
IFP Advisors
Florida
$817K -$1.67K -20 -0.2%
FAAS
21
First Allied Advisory Services
California
$774K -$70.6K -844 -9%
GSWM
22
Golden State Wealth Management
California
$773K +$752K +8,982 New
Rockefeller Capital Management
23
Rockefeller Capital Management
New York
$683K +$56.8K +679 +9%
CAN
24
Cetera Advisor Networks
California
$615K +$26.9K +321 +5%
VFA
25
Voya Financial Advisors
Connecticut
$495K +$84 +1 +0%
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