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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
$11.1M – – –
RJFSA
2
Raymond James Financial Services Advisors
Florida
$9.12M +$160K +1,620 +2%
Commonwealth Equity Services
3
Commonwealth Equity Services
Massachusetts
$8.14M +$634K +6,408 +9%
LPL Financial
4
LPL Financial
California
$6.93M +$1.02M +10,299 +19%
Morgan Stanley
5
Morgan Stanley
New York
$6.04M +$27.3K +276 +0.5%
GFA
6
Gallagher Fiduciary Advisors
Illinois
$5.1M +$216K +2,181 +5%
PFA
7
Plotkin Financial Advisors
Maryland
$4.88M -$305K -3,085 -6%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$4.46M -$391K -3,952 -9%
Truist Financial
9
Truist Financial
North Carolina
$4.29M -$31.8K -322 -0.8%
Susquehanna International Group
10
Susquehanna International Group
Pennsylvania
$4.04M +$1.17M +11,806 +45%
Citadel Advisors
11
Citadel Advisors
Florida
$3.22M +$898K +9,088 +42%
KIG
12
Kowal Investment Group
Wisconsin
$2.9M -$139K -1,411 -5%
HI
13
Harbour Investments
Wisconsin
$2.87M +$130K +1,317 +5%
Bank of America
14
Bank of America
North Carolina
$2.83M +$33.2K +336 +1%
DADC
15
D.A. Davidson & Co
Montana
$2.23M -$295K -2,981 -12%
RJA
16
Raymond James & Associates
Florida
$2.09M -$30.8K -312 -2%
Wells Fargo
17
Wells Fargo
California
$1.64M -$214K -2,162 -12%
PAG
18
Private Advisor Group
New Jersey
$1.5M +$297 +3 +0%
SFPG
19
Stonebridge Financial Planning Group
Florida
$1.42M -$39K -395 -3%
6F
20
626 Financial
Michigan
$1.19M – – –
Baird Financial Group
21
Baird Financial Group
Wisconsin
$1.19M -$246K -2,489 -18%
VWA
22
V Wealth Advisors
Kansas
$1M -$12K -121 -1%
UBS Group
23
UBS Group
Switzerland
$804K -$52.2K -528 -6%
IA
24
IFP Advisors
Florida
$765K -$13.1K -132 -2%
Osaic Holdings
25
Osaic Holdings
Arizona
$651K -$234K -2,369 -28%
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