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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
$9.95M -$3.67M -38,008 -27%
RJFSA
2
Raymond James Financial Services Advisors
Florida
$7.08M +$3.3M +34,194 +85%
Commonwealth Equity Services
3
Commonwealth Equity Services
Massachusetts
$6.36M +$1.39M +14,430 +27%
Morgan Stanley
4
Morgan Stanley
New York
$5.42M +$90.5K +937 +2%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$5.04M -$823K -8,523 -14%
LPL Financial
6
LPL Financial
California
$4.86M -$3.94M -40,812 -44%
PFA
7
Plotkin Financial Advisors
Maryland
$4.79M -$228K -2,358 -4%
Truist Financial
8
Truist Financial
North Carolina
$4.12M -$25.8K -267 -0.6%
RJA
9
Raymond James & Associates
Florida
$3.87M +$1.71M +17,736 +77%
F
10
F3Logic
Minnesota
$3.39M +$3.45M +35,744 New
GBS
11
Gallagher Benefit Services
Illinois
$3.39M +$3.45M +35,744 New
Susquehanna International Group
12
Susquehanna International Group
Pennsylvania
$3.06M -$71.8K -743 -2%
KIG
13
Kowal Investment Group
Wisconsin
$2.93M +$665K +6,880 +29%
Bank of America
14
Bank of America
North Carolina
$2.45M -$48.4K -501 -2%
Wells Fargo
15
Wells Fargo
California
$2.27M +$372K +3,854 +19%
Baird Financial Group
16
Baird Financial Group
Wisconsin
$1.72M +$213K +2,206 +14%
SFPG
17
Stonebridge Financial Planning Group
Florida
$1.45M -$35.7K -370 -2%
Osaic Holdings
18
Osaic Holdings
Arizona
$1.37M +$244K +2,525 +21%
6F
19
626 Financial
Michigan
$1.09M – – –
VWA
20
V Wealth Advisors
Kansas
$1.03M +$97 +1 +0%
UBS Group
21
UBS Group
Switzerland
$769K +$78K +807 +11%
MCC
22
Money Concepts Capital
Florida
$749K +$763K +7,897 New
Envestnet Asset Management
23
Envestnet Asset Management
Illinois
$601K +$84.4K +874 +16%
Cambridge Investment Research Advisors
24
Cambridge Investment Research Advisors
Iowa
$583K -$274K -2,832 -32%
AR
25
Apeiron RIA
Texas
$580K +$6.09K +63 +1%
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