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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
$18.8M +$2.49M +20,010 +15%
LPL Financial
2
LPL Financial
California
$17.5M +$2.52M +20,253 +17%
Morgan Stanley
3
Morgan Stanley
New York
$13.5M -$2.41M -19,341 -15%
KAS
4
Kestra Advisory Services
Texas
$11.9M +$7.76M +62,316 +191%
PFA
5
Plotkin Financial Advisors
Maryland
$7.38M -$238K -1,914 -3%
Truist Financial
6
Truist Financial
North Carolina
$6.04M +$100K +807 +2%
Wells Fargo
7
Wells Fargo
California
$5.8M -$2.62M -21,037 -31%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$5.64M -$938K -7,538 -14%
RJFSA
9
Raymond James Financial Services Advisors
Florida
$4.57M +$413K +3,322 +10%
Commonwealth Equity Services
10
Commonwealth Equity Services
Massachusetts
$4.5M +$47.9K +385 +1%
Susquehanna International Group
11
Susquehanna International Group
Pennsylvania
$3.92M +$1.4M +11,223 +56%
RJA
12
Raymond James & Associates
Florida
$3.28M -$56.1K -451 -2%
Bank of America
13
Bank of America
North Carolina
$3.05M -$114K -912 -4%
PAG
14
Private Advisor Group
New Jersey
$2.6M -$604K -4,856 -19%
SFPG
15
Stonebridge Financial Planning Group
Florida
$2M +$84.1K +676 +4%
KIG
16
Kowal Investment Group
Wisconsin
$1.99M -$43.8K -352 -2%
Osaic Holdings
17
Osaic Holdings
Arizona
$1.8M +$1.01M +8,132 +130%
Cambridge Investment Research Advisors
18
Cambridge Investment Research Advisors
Iowa
$1.52M +$428K +3,441 +40%
Baird Financial Group
19
Baird Financial Group
Wisconsin
$1.47M -$2.27M -18,253 -61%
6F
20
626 Financial
Michigan
$1.46M +$1.44M +11,588 New
IA
21
IFP Advisors
Florida
$1.08M -$13.4K -108 -1%
CAN
22
Cetera Advisor Networks
California
$1.06M -$392K -3,146 -27%
GSWM
23
Golden State Wealth Management
California
$1.03M -$3.73K -30 -0.4%
Cetera Investment Advisers
24
Cetera Investment Advisers
Illinois
$897K -$218K -1,750 -20%
UBS Group
25
UBS Group
Switzerland
$890K -$182K -1,465 -17%
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