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First Trust Multi Cap Growth AlphaDEX Fund
FAD

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$13.3M -$543K -3,857 -4%
LPL Financial
2
LPL Financial
California
$12.3M +$851K +6,038 +7%
Raymond James Financial
3
Raymond James Financial
Florida
$11.3M +$11.5M +81,826 New
Commonwealth Equity Services
4
Commonwealth Equity Services
Massachusetts
$8.7M -$144K -1,025 -2%
Goldman Sachs
5
Goldman Sachs
New York
$6.91M -$694K -4,927 -9%
PFA
6
Plotkin Financial Advisors
Maryland
$6.35M -$41.8K -297 -0.6%
Truist Financial
7
Truist Financial
North Carolina
$5.38M +$93.1K +661 +2%
Bank of America
8
Bank of America
North Carolina
$3.96M -$87.2K -619 -2%
Wells Fargo
9
Wells Fargo
California
$3.56M +$41.4K +294 +1%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$3.34M -$315K -2,239 -8%
WMP
11
Wealth Management Partners
Arizona
$3.07M +$48.3K +343 +2%
PAG
12
Private Advisor Group
New Jersey
$2.28M -$25.9K -184 -1%
UBS Group
13
UBS Group
Switzerland
$2.05M +$32.8K +233 +2%
Baird Financial Group
14
Baird Financial Group
Wisconsin
$2.02M +$14.7K +104 +0.7%
SAM
15
Synergy Asset Management
Washington
$1.92M – – –
GWM
16
Geneos Wealth Management
Colorado
$1.89M +$139K +988 +8%
FTS
17
Fifth Third Securities
Ohio
$1.53M +$110K +778 +8%
RFWA
18
RPg Family Wealth Advisory
Massachusetts
$1.53M +$8.88K +63 +0.6%
SFPG
19
Stonebridge Financial Planning Group
Florida
$1.48M -$35.8K -254 -2%
Cetera Investment Advisers
20
Cetera Investment Advisers
Illinois
$1.47M -$68.5K -486 -4%
6F
21
626 Financial
Michigan
$1.32M – – –
Stifel Financial
22
Stifel Financial
Missouri
$1.12M +$198K +1,402 +21%
Cambridge Investment Research Advisors
23
Cambridge Investment Research Advisors
Iowa
$974K +$248K +1,760 +33%
IA
24
IFP Advisors
Florida
$961K -$5.64K -40 -0.6%
PWS
25
Proactive Wealth Strategies
Georgia
$735K +$1.69K +12 +0.2%
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