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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
$13.1M -$713K -7,096 -5%
LPL Financial
2
LPL Financial
California
$10.2M -$873K -8,681 -7%
Morgan Stanley
3
Morgan Stanley
New York
$5.68M -$2.32M -23,099 -27%
PFA
4
Plotkin Financial Advisors
Maryland
$4.9M -$506K -5,033 -9%
Commonwealth Equity Services
5
Commonwealth Equity Services
Massachusetts
$4.71M -$368K -3,663 -7%
Royal Bank of Canada
6
Royal Bank of Canada
Ontario, Canada
$4.71M +$1.09M +10,807 +27%
Truist Financial
7
Truist Financial
North Carolina
$4.14M -$388K -3,858 -8%
RJFSA
8
Raymond James Financial Services Advisors
Florida
$3.64M +$131K +1,306 +3%
Osaic Holdings
9
Osaic Holdings
Arizona
$2.57M +$2.22M +22,060 +370%
Bank of America
10
Bank of America
North Carolina
$2.54M +$84.3K +838 +3%
Susquehanna International Group
11
Susquehanna International Group
Pennsylvania
$2.36M +$2.38M +23,700 +1,157%
RJA
12
Raymond James & Associates
Florida
$2.11M -$146K -1,451 -6%
KIG
13
Kowal Investment Group
Wisconsin
$2.05M +$692K +6,883 +44%
Wells Fargo
14
Wells Fargo
California
$1.65M +$24K +239 +1%
Baird Financial Group
15
Baird Financial Group
Wisconsin
$1.57M +$455K +4,525 +36%
SFPG
16
Stonebridge Financial Planning Group
Florida
$1.48M -$315K -3,128 -16%
PAG
17
Private Advisor Group
New Jersey
$1.41M -$60.3K -600 -4%
6F
18
626 Financial
Michigan
$1.06M -$2.71K -27 -0.2%
Cambridge Investment Research Advisors
19
Cambridge Investment Research Advisors
Iowa
$1.01M +$201K +1,999 +22%
Envestnet Asset Management
20
Envestnet Asset Management
Illinois
$929K +$670K +6,661 +191%
VWA
21
V Wealth Advisors
Kansas
$852K +$23.2K +231 +3%
UBS Group
22
UBS Group
Switzerland
$632K -$184K -1,829 -21%
AR
23
Apeiron RIA
Texas
$589K +$39.4K +392 +7%
Stifel Financial
24
Stifel Financial
Missouri
$563K +$43.3K +431 +8%
IA
25
IFP Advisors
Florida
$562K – – –
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