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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
$12.6M +$1.17M +35,609 +10%
Wells Fargo
2
Wells Fargo
California
$11.5M +$2.53M +76,989 +29%
LPL Financial
3
LPL Financial
California
$3.88M +$275K +8,389 +8%
RJA
4
Raymond James & Associates
Florida
$2.99M +$459K +13,988 +19%
CCA
5
Clearwater Capital Advisors
Illinois
$2.58M -$1.02K -31 -0%
KIA
6
KCM Investment Advisors
California
$1.93M -$167K -5,097 -8%
Bank of America
7
Bank of America
North Carolina
$1.71M +$8.95K +273 +0.5%
UBS Group
8
UBS Group
Switzerland
$1.38M +$91.2K +2,782 +7%
BFEC
9
Benjamin F. Edwards & Company
Missouri
$1.3M -$566K -17,272 -31%
KWM
10
Kingsview Wealth Management
Oregon
$840K +$823K +25,091 New
CS
11
Credit Suisse
Switzerland
$822K -$778K -23,724 -49%
HighTower Advisors
12
HighTower Advisors
Illinois
$752K +$92.7K +2,826 +14%
Jane Street
13
Jane Street
New York
$705K -$841K -25,642 -55%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$646K -$31.3K -954 -5%
MML Investors Services
15
MML Investors Services
Massachusetts
$559K +$538K +16,409 New
Commonwealth Equity Services
16
Commonwealth Equity Services
Massachusetts
$545K +$61.7K +1,881 +13%
CWM
17
Cornerstone Wealth Management
Missouri
$382K +$45.1K +1,375 +14%
RJFSA
18
Raymond James Financial Services Advisors
Florida
$361K +$354K +10,786 New
Goldman Sachs
19
Goldman Sachs
New York
$351K -$19.9K -608 -5%
IAA
20
Independent Advisor Alliance
North Carolina
$317K +$316K +9,633 New
Janney Montgomery Scott
21
Janney Montgomery Scott
Pennsylvania
$316K +$34.4K +1,050 +13%
Cambridge Investment Research Advisors
22
Cambridge Investment Research Advisors
Iowa
$300K -$45.3K -1,380 -13%
LI
23
LVZ Inc
Michigan
$279K +$274K +8,342 New
ONB
24
Old National Bancorp
Indiana
$268K -$48.9K -1,492 -16%
SWP
25
Stratos Wealth Partners
Ohio
$246K -$4.1K -125 -2%
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