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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
$16.8M – – –
LPL Financial
2
LPL Financial
California
$13.4M -$2.13M -19,162 -14%
Morgan Stanley
3
Morgan Stanley
New York
$9.55M -$2.48M -22,382 -21%
KAS
4
Kestra Advisory Services
Texas
$8.92M -$1.71M -15,389 -16%
PFA
5
Plotkin Financial Advisors
Maryland
$6.57M -$30.4K -274 -0.5%
Commonwealth Equity Services
6
Commonwealth Equity Services
Massachusetts
$6.19M +$2.15M +19,337 +54%
Truist Financial
7
Truist Financial
North Carolina
$5.51M +$108K +976 +2%
Citadel Advisors
8
Citadel Advisors
Florida
$5.2M +$5.14M +46,299 New
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$4.56M -$475K -4,278 -10%
RJFSA
10
Raymond James Financial Services Advisors
Florida
$4.31M +$224K +2,022 +6%
Bank of America
11
Bank of America
North Carolina
$3.02M +$293K +2,640 +11%
RJA
12
Raymond James & Associates
Florida
$2.75M -$182K -1,641 -6%
SFPG
13
Stonebridge Financial Planning Group
Florida
$2.16M +$34.1K +307 +2%
Wells Fargo
14
Wells Fargo
California
$2M -$3.14M -28,341 -61%
PAG
15
Private Advisor Group
New Jersey
$1.8M -$524K -4,722 -23%
KIG
16
Kowal Investment Group
Wisconsin
$1.75M -$34.1K -307 -2%
Baird Financial Group
17
Baird Financial Group
Wisconsin
$1.42M +$99.3K +895 +8%
WWM
18
Western Wealth Management
Colorado
$1.35M +$1.34M +12,035 New
6F
19
626 Financial
Michigan
$1.31M +$8.1K +73 +0.6%
CAN
20
Cetera Advisor Networks
California
$1.06M +$110K +990 +12%
Cambridge Investment Research Advisors
21
Cambridge Investment Research Advisors
Iowa
$1.02M -$332K -2,993 -25%
VWA
22
V Wealth Advisors
Kansas
$1.02M +$441K +3,977 +78%
UBS Group
23
UBS Group
Switzerland
$981K +$184K +1,659 +23%
GSWM
24
Golden State Wealth Management
California
$923K – – –
MCC
25
Money Concepts Capital
Florida
$850K +$840K +7,574 New
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