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First Trust Mid Cap Growth AlphaDEX Fund
FNY

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$9.18M -$4.22M -155,136 -33%
Wells Fargo
2
Wells Fargo
California
$8.35M -$6.57M -241,254 -45%
LPL Financial
3
LPL Financial
California
$5.65M -$4.94M -181,562 -48%
Stifel Financial
4
Stifel Financial
Missouri
$3.92M -$3.19M -117,266 -46%
UBS Group
5
UBS Group
Switzerland
$2.9M +$1.32M +48,395 +93%
TFA
6
Transamerica Financial Advisors
Florida
$2.69M -$9.47M -348,086 -79%
Susquehanna International Group
7
Susquehanna International Group
Pennsylvania
$1.94M -$16.6K -610 -0.9%
BFEC
8
Benjamin F. Edwards & Company
Missouri
$1.56M +$81.7K +3,002 +6%
CWM
9
Cornerstone Wealth Management
Missouri
$1.47M +$800K +29,401 New
Bank of America
10
Bank of America
North Carolina
$1.38M -$205K -7,522 -14%
RJFSA
11
Raymond James Financial Services Advisors
Florida
$1.03M +$975K +35,835 New
KIA
12
KCM Investment Advisors
California
$995K +$16.3K +600 +2%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$961K +$27K +991 +3%
RJA
14
Raymond James & Associates
Florida
$763K -$526K -19,337 -42%
Jane Street
15
Jane Street
New York
$598K +$564K +20,708 New
Goldman Sachs
16
Goldman Sachs
New York
$361K – – –
CIM
17
Confluence Investment Management
Missouri
$356K -$1.09K -40 -0.3%
Commonwealth Equity Services
18
Commonwealth Equity Services
Massachusetts
$346K -$10K -368 -3%
Cambridge Investment Research Advisors
19
Cambridge Investment Research Advisors
Iowa
$298K -$258K -9,483 -48%
ONB
20
Old National Bancorp
Indiana
$274K – – –
Janney Montgomery Scott
21
Janney Montgomery Scott
Pennsylvania
$260K +$23.1K +850 +10%
First Trust Advisors
22
First Trust Advisors
Illinois
$229K -$296K -10,892 -58%
MFS
23
MSI Financial Services
Massachusetts
$225K +$167K +6,148 +373%
IH
24
IFC Holdings
Florida
$223K -$130K -4,772 -38%
IA
25
IFP Advisors
Florida
$221K -$79.4K -2,918 -36%
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