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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
$17.3M +$3.03M +86,220 +22%
Wells Fargo
2
Wells Fargo
California
$12.8M +$300K +8,547 +3%
Bank of America
3
Bank of America
North Carolina
$7.33M +$5.11M +145,348 +263%
LPL Financial
4
LPL Financial
California
$4.53M +$281K +7,992 +7%
CCA
5
Clearwater Capital Advisors
Illinois
$2.89M +$15.5K +442 +0.6%
RJA
6
Raymond James & Associates
Florida
$2.63M -$835K -23,761 -25%
KIA
7
KCM Investment Advisors
California
$2.29M +$18.4K +525 +0.8%
UBS Group
8
UBS Group
Switzerland
$1.82M +$142K +4,039 +9%
BFEC
9
Benjamin F. Edwards & Company
Missouri
$1.48M -$953K -27,124 -40%
KWM
10
Kingsview Wealth Management
Oregon
$1.07M +$151K +4,288 +17%
HighTower Advisors
11
HighTower Advisors
Illinois
$882K +$29.4K +838 +4%
MML Investors Services
12
MML Investors Services
Massachusetts
$845K +$812K +23,118 New
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$686K -$132K -3,769 -17%
Commonwealth Equity Services
14
Commonwealth Equity Services
Massachusetts
$651K +$35 +1 +0%
CS
15
Credit Suisse
Switzerland
$579K – – –
Janney Montgomery Scott
16
Janney Montgomery Scott
Pennsylvania
$520K +$186K +5,300 +59%
RJFSA
17
Raymond James Financial Services Advisors
Florida
$500K -$10K -285 -2%
CWM
18
Cornerstone Wealth Management
Missouri
$339K -$30.5K -869 -9%
LI
19
LVZ Inc
Michigan
$337K +$29.1K +828 +10%
Goldman Sachs
20
Goldman Sachs
New York
$312K -$40.9K -1,163 -12%
SWP
21
Stratos Wealth Partners
Ohio
$304K +$8.82K +251 +3%
IA
22
IFP Advisors
Florida
$257K +$20K +570 +9%
Stifel Financial
23
Stifel Financial
Missouri
$254K -$65K -1,851 -21%
Cambridge Investment Research Advisors
24
Cambridge Investment Research Advisors
Iowa
$244K -$14.6K -416 -6%
PNC Financial Services Group
25
PNC Financial Services Group
Pennsylvania
$107K +$8.43K +240 +9%
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