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First Trust Mid Cap Growth AlphaDEX Fund
FNY

Name Holding Trade Value Shares
Change 		Change in
Stake
Wells Fargo
1
Wells Fargo
California
$15.3M +$233K +7,963 +2%
Morgan Stanley
2
Morgan Stanley
New York
$13.6M -$2.98M -101,996 -18%
TFA
3
Transamerica Financial Advisors
Florida
$12.7M -$65.3K -2,235 -0.5%
LPL Financial
4
LPL Financial
California
$10.8M +$5.05M +172,785 +84%
Stifel Financial
5
Stifel Financial
Missouri
$7.3M +$198K +6,792 +3%
BTS
6
BB&T Securities
Virginia
$3.74M -$93.4K -3,199 -2%
Susquehanna International Group
7
Susquehanna International Group
Pennsylvania
$1.95M +$1.97M +67,598 New
VFS
8
VSR Financial Services
Kansas
$1.8M +$1.82M +62,466 New
Bank of America
9
Bank of America
North Carolina
$1.6M +$402K +13,751 +33%
UBS Group
10
UBS Group
Switzerland
$1.5M -$575K -19,681 -27%
BFEC
11
Benjamin F. Edwards & Company
Missouri
$1.47M -$140K -4,810 -9%
RJA
12
Raymond James & Associates
Florida
$1.32M +$978K +33,494 +273%
KIA
13
KCM Investment Advisors
California
$976K +$142K +4,851 +17%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$931K +$50.4K +1,726 +6%
Cambridge Investment Research Advisors
15
Cambridge Investment Research Advisors
Iowa
$571K -$69.2K -2,369 -11%
First Trust Advisors
16
First Trust Advisors
Illinois
$543K +$550K +18,837 New
Goldman Sachs
17
Goldman Sachs
New York
$361K -$204K -6,991 -36%
IH
18
IFC Holdings
Florida
$360K +$118K +4,031 +48%
CIM
19
Confluence Investment Management
Missouri
$357K -$148K -5,076 -29%
Commonwealth Equity Services
20
Commonwealth Equity Services
Massachusetts
$357K -$3.71K -127 -1%
JIP
21
Jaffetilchin Investment Partners
Florida
$290K +$65.5K +2,242 +29%
ONB
22
Old National Bancorp
Indiana
$274K -$260K -8,904 -48%
CPIG
23
Chicago Partners Investment Group
Illinois
$257K +$260K +8,904 New
Janney Montgomery Scott
24
Janney Montgomery Scott
Pennsylvania
$235K +$238K +8,160 New
IA
25
IFP Advisors
Florida
$233K +$236K +8,074 New
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