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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
$15.5M – – –
LPL Financial
2
LPL Financial
California
$8.51M -$5.3M -47,070 -40%
Morgan Stanley
3
Morgan Stanley
New York
$7.65M -$2.48K -22 -0%
PFA
4
Plotkin Financial Advisors
Maryland
$7.37M -$11.7K -104 -0.2%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$7.26M +$700K +6,212 +11%
Susquehanna International Group
6
Susquehanna International Group
Pennsylvania
$5.24M +$3.16M +28,066 +178%
Truist Financial
7
Truist Financial
North Carolina
$5.07M +$376K +3,334 +9%
Commonwealth Equity Services
8
Commonwealth Equity Services
Massachusetts
$4.39M -$88.4K -785 -2%
RJFSA
9
Raymond James Financial Services Advisors
Florida
$3.67M +$94.7K +841 +3%
RJA
10
Raymond James & Associates
Florida
$3.13M +$118K +1,044 +4%
Bank of America
11
Bank of America
North Carolina
$2.81M +$121K +1,075 +5%
KAS
12
Kestra Advisory Services
Texas
$2.54M +$908K +8,066 +61%
Wells Fargo
13
Wells Fargo
California
$2.4M -$1M -8,888 -31%
SFPG
14
Stonebridge Financial Planning Group
Florida
$2.2M +$59.1K +525 +3%
KIG
15
Kowal Investment Group
Wisconsin
$2.01M -$154K -1,371 -8%
PAG
16
Private Advisor Group
New Jersey
$1.81M +$228K +2,021 +15%
CAN
17
Cetera Advisor Networks
California
$1.5M +$429K +3,808 +44%
Baird Financial Group
18
Baird Financial Group
Wisconsin
$1.42M +$52.3K +464 +4%
Cambridge Investment Research Advisors
19
Cambridge Investment Research Advisors
Iowa
$1.14M -$95.3K -846 -8%
FAM
20
Flaharty Asset Management
Florida
$1.1M -$501K -4,447 -33%
Cetera Investment Advisers
21
Cetera Investment Advisers
Illinois
$1.06M -$33.8K -300 -3%
IA
22
IFP Advisors
Florida
$1.05M -$56K -497 -5%
GSWM
23
Golden State Wealth Management
California
$1.03M -$33.8K -300 -3%
Citadel Advisors
24
Citadel Advisors
Florida
$958K -$105K -931 -10%
Rockefeller Capital Management
25
Rockefeller Capital Management
New York
$950K +$21.7K +193 +2%
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