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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
$14.9M +$6.3M +203,810 +74%
Morgan Stanley
2
Morgan Stanley
New York
$9.83M +$2.19M +70,838 +29%
Stifel Financial
3
Stifel Financial
Missouri
$4.36M +$151K +4,879 +4%
TFA
4
Transamerica Financial Advisors
Florida
$4.35M +$1.01M +32,696 +30%
LPL Financial
5
LPL Financial
California
$3.58M -$53.2K -1,721 -1%
CCA
6
Clearwater Capital Advisors
Illinois
$2.34M -$28.5K -920 -1%
KIA
7
KCM Investment Advisors
California
$1.71M +$172K +5,559 +11%
BFEC
8
Benjamin F. Edwards & Company
Missouri
$1.47M -$315K -10,194 -18%
Bank of America
9
Bank of America
North Carolina
$1.41M +$16.8K +543 +1%
RJA
10
Raymond James & Associates
Florida
$1.39M -$530K -17,118 -28%
Susquehanna International Group
11
Susquehanna International Group
Pennsylvania
$1.34M +$771K +24,936 +134%
RJFSA
12
Raymond James Financial Services Advisors
Florida
$1M +$12.4K +401 +1%
UBS Group
13
UBS Group
Switzerland
$999K -$275K -8,893 -22%
First Trust Advisors
14
First Trust Advisors
Illinois
$989K +$305K +9,853 +45%
Royal Bank of Canada
15
Royal Bank of Canada
Ontario, Canada
$626K -$198K -6,392 -24%
HighTower Advisors
16
HighTower Advisors
Illinois
$609K +$605K +19,569 New
Commonwealth Equity Services
17
Commonwealth Equity Services
Massachusetts
$457K -$3.4K -110 -0.7%
Goldman Sachs
18
Goldman Sachs
New York
$362K -$9.28K -300 -3%
MFS
19
MSI Financial Services
Massachusetts
$345K +$85.9K +2,776 +33%
CS
20
Credit Suisse
Switzerland
$343K +$342K +11,049 New
CWM
21
Cornerstone Wealth Management
Missouri
$308K +$313K +10,120 New
ONB
22
Old National Bancorp
Indiana
$294K – – –
Cambridge Investment Research Advisors
23
Cambridge Investment Research Advisors
Iowa
$283K -$43.6K -1,411 -13%
Janney Montgomery Scott
24
Janney Montgomery Scott
Pennsylvania
$257K +$256K +8,275 New
IA
25
IFP Advisors
Florida
$215K -$39.3K -1,272 -15%
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