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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
$13.5M – – –
Morgan Stanley
2
Morgan Stanley
New York
$11.4M +$2.01M +21,154 +24%
LPL Financial
3
LPL Financial
California
$9.39M -$3.12M -32,894 -27%
Royal Bank of Canada
4
Royal Bank of Canada
Ontario, Canada
$7.82M -$1.27M -13,359 -15%
PFA
5
Plotkin Financial Advisors
Maryland
$6.59M +$2.17M +22,887 +56%
Commonwealth Equity Services
6
Commonwealth Equity Services
Massachusetts
$5.25M +$2.61M +27,491 +119%
Truist Financial
7
Truist Financial
North Carolina
$3.93M +$188K +1,976 +6%
Wells Fargo
8
Wells Fargo
California
$3.05M +$8.92K +94 +0.3%
RJFSA
9
Raymond James Financial Services Advisors
Florida
$2.97M -$1.67M -17,540 -38%
RJA
10
Raymond James & Associates
Florida
$2.52M +$128K +1,344 +6%
Bank of America
11
Bank of America
North Carolina
$2.28M -$48.3K -509 -2%
KIG
12
Kowal Investment Group
Wisconsin
$2.12M +$1.83M +19,271 New
FAM
13
Flaharty Asset Management
Florida
$2M +$1.83M +19,297 New
SFPG
14
Stonebridge Financial Planning Group
Florida
$1.85M -$14.2K -150 -0.8%
UBS Group
15
UBS Group
Switzerland
$1.79M -$3.14M -33,097 -66%
KAS
16
Kestra Advisory Services
Texas
$1.69M +$581K +6,123 +61%
IA
17
Insight Advisors
Pennsylvania
$1.66M +$1.52M +16,012 New
PAG
18
Private Advisor Group
New Jersey
$1.5M -$1.68M -17,712 -55%
Osaic Holdings
19
Osaic Holdings
Arizona
$1.17M +$146K +1,534 +16%
Cambridge Investment Research Advisors
20
Cambridge Investment Research Advisors
Iowa
$1.03M -$23.5K -248 -2%
IA
21
IFP Advisors
Florida
$965K -$18.1K -191 -2%
CAN
22
Cetera Advisor Networks
California
$956K +$196K +2,063 +29%
Cetera Investment Advisers
23
Cetera Investment Advisers
Illinois
$954K +$873K +9,199 New
GSWM
24
Golden State Wealth Management
California
$932K – – –
Rockefeller Capital Management
25
Rockefeller Capital Management
New York
$808K -$13.9K -146 -2%
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