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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
$14.1M – – –
LPL Financial
2
LPL Financial
California
$12.8M +$3.05M +27,738 +31%
Morgan Stanley
3
Morgan Stanley
New York
$6.93M -$5.03M -45,746 -42%
PFA
4
Plotkin Financial Advisors
Maryland
$6.69M -$190K -1,730 -3%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$5.9M -$2.3M -20,877 -28%
Truist Financial
6
Truist Financial
North Carolina
$4.23M +$129K +1,175 +3%
Commonwealth Equity Services
7
Commonwealth Equity Services
Massachusetts
$4.07M -$1.44M -13,093 -26%
RJFSA
8
Raymond James Financial Services Advisors
Florida
$3.24M +$142K +1,294 +5%
Wells Fargo
9
Wells Fargo
California
$3.13M -$49.2K -447 -2%
RJA
10
Raymond James & Associates
Florida
$2.72M +$92.1K +837 +3%
Bank of America
11
Bank of America
North Carolina
$2.43M +$50.4K +458 +2%
SFPG
12
Stonebridge Financial Planning Group
Florida
$2.01M +$19.3K +175 +1%
KIG
13
Kowal Investment Group
Wisconsin
$1.97M -$122K -1,105 -6%
Susquehanna International Group
14
Susquehanna International Group
Pennsylvania
$1.71M +$1.51M +13,759 +683%
Osaic Holdings
15
Osaic Holdings
Arizona
$1.65M +$442K +4,018 +36%
FAM
16
Flaharty Asset Management
Florida
$1.48M -$622K -5,653 -29%
KAS
17
Kestra Advisory Services
Texas
$1.42M -$336K -3,057 -19%
PAG
18
Private Advisor Group
New Jersey
$1.42M -$156K -1,420 -10%
6F
19
626 Financial
Michigan
$1.31M +$1.28M +11,661 New
Baird Financial Group
20
Baird Financial Group
Wisconsin
$1.24M +$1.03M +9,336 +443%
Cambridge Investment Research Advisors
21
Cambridge Investment Research Advisors
Iowa
$1.12M +$51.6K +469 +5%
UBS Group
22
UBS Group
Switzerland
$1.06M -$826K -7,512 -43%
IA
23
IFP Advisors
Florida
$1M -$2.75K -25 -0.3%
Cetera Investment Advisers
24
Cetera Investment Advisers
Illinois
$996K – – –
GSWM
25
Golden State Wealth Management
California
$969K -$3.3K -30 -0.3%
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