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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
$12.8M – – –
LPL Financial
2
LPL Financial
California
$8.25M -$1.87M -19,025 -17%
Royal Bank of Canada
3
Royal Bank of Canada
Ontario, Canada
$5.53M +$1M +10,224 +20%
Morgan Stanley
4
Morgan Stanley
New York
$5.04M -$569K -5,805 -9%
PFA
5
Plotkin Financial Advisors
Maryland
$4.74M -$56.7K -578 -1%
Commonwealth Equity Services
6
Commonwealth Equity Services
Massachusetts
$4.72M +$116K +1,186 +2%
Truist Financial
7
Truist Financial
North Carolina
$3.92M -$152K -1,546 -3%
RJFSA
8
Raymond James Financial Services Advisors
Florida
$3.63M +$72.3K +737 +2%
Susquehanna International Group
9
Susquehanna International Group
Pennsylvania
$2.96M +$712K +7,260 +28%
Bank of America
10
Bank of America
North Carolina
$2.36M -$142K -1,445 -5%
KIG
11
Kowal Investment Group
Wisconsin
$2.15M +$151K +1,541 +7%
RJA
12
Raymond James & Associates
Florida
$2.06M +$2.45K +25 +0.1%
Wells Fargo
13
Wells Fargo
California
$1.8M +$194K +1,974 +11%
PAG
14
Private Advisor Group
New Jersey
$1.5M +$135K +1,381 +9%
Baird Financial Group
15
Baird Financial Group
Wisconsin
$1.43M -$117K -1,190 -7%
SFPG
16
Stonebridge Financial Planning Group
Florida
$1.4M -$47.5K -484 -3%
Osaic Holdings
17
Osaic Holdings
Arizona
$1.07M -$1.57M -16,045 -57%
6F
18
626 Financial
Michigan
$1.03M -$16.2K -165 -1%
VWA
19
V Wealth Advisors
Kansas
$976K +$155K +1,581 +17%
Citadel Advisors
20
Citadel Advisors
Florida
$937K +$1.03M +10,460 New
Cambridge Investment Research Advisors
21
Cambridge Investment Research Advisors
Iowa
$805K -$206K -2,097 -19%
UBS Group
22
UBS Group
Switzerland
$654K +$38.6K +394 +6%
IA
23
IFP Advisors
Florida
$560K -$2.45K -25 -0.3%
AR
24
Apeiron RIA
Texas
$550K +$16K +163 +3%
Stifel Financial
25
Stifel Financial
Missouri
$549K -$1.57K -16 -0.3%
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