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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
$10.3M – – –
RJFSA
2
Raymond James Financial Services Advisors
Florida
$8.3M +$992K +10,115 +14%
Commonwealth Equity Services
3
Commonwealth Equity Services
Massachusetts
$6.93M +$355K +3,623 +5%
Morgan Stanley
4
Morgan Stanley
New York
$5.58M -$16.6K -169 -0.3%
LPL Financial
5
LPL Financial
California
$5.42M +$399K +4,071 +8%
PFA
6
Plotkin Financial Advisors
Maryland
$4.83M -$121K -1,232 -2%
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$4.52M -$682K -6,962 -13%
GFA
8
Gallagher Fiduciary Advisors
Illinois
$4.52M +$4.53M +46,178 New
Truist Financial
9
Truist Financial
North Carolina
$4.02M -$236K -2,403 -6%
KIG
10
Kowal Investment Group
Wisconsin
$2.83M -$196K -1,995 -6%
Bank of America
11
Bank of America
North Carolina
$2.6M +$65.7K +670 +3%
Susquehanna International Group
12
Susquehanna International Group
Pennsylvania
$2.59M -$567K -5,789 -18%
HI
13
Harbour Investments
Wisconsin
$2.53M +$2.52M +25,755 +20,440%
DADC
14
D.A. Davidson & Co
Montana
$2.36M +$2.37M +24,141 New
Citadel Advisors
15
Citadel Advisors
Florida
$2.1M +$2.1M +21,456 New
RJA
16
Raymond James & Associates
Florida
$1.97M -$2.03M -20,672 -51%
Wells Fargo
17
Wells Fargo
California
$1.73M -$609K -6,217 -26%
PAG
18
Private Advisor Group
New Jersey
$1.4M -$196 -2 -0%
SFPG
19
Stonebridge Financial Planning Group
Florida
$1.36M -$142K -1,453 -10%
Baird Financial Group
20
Baird Financial Group
Wisconsin
$1.35M -$433K -4,418 -24%
6F
21
626 Financial
Michigan
$1.11M -$14.3K -146 -1%
VWA
22
V Wealth Advisors
Kansas
$943K -$124K -1,262 -12%
Osaic Holdings
23
Osaic Holdings
Arizona
$836K -$584K -5,961 -41%
UBS Group
24
UBS Group
Switzerland
$798K +$3.43K +35 +0.4%
AR
25
Apeiron RIA
Texas
$612K +$14.2K +145 +2%
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