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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
$30.9M +$6.62M +145,710 +28%
Wells Fargo
2
Wells Fargo
California
$30M +$1.99M +43,867 +7%
Bank of America
3
Bank of America
North Carolina
$21.9M +$8.03M +176,898 +60%
LPL Financial
4
LPL Financial
California
$10.4M +$922K +20,306 +10%
RJFSA
5
Raymond James Financial Services Advisors
Florida
$9.7M +$7.48M +164,784 +368%
FAIM
6
Financial Advocates Investment Management
Washington
$7.76M +$43.1K +949 +0.6%
RJA
7
Raymond James & Associates
Florida
$7.24M -$3.82M -84,209 -35%
UBS Group
8
UBS Group
Switzerland
$5.73M +$1.97M +43,426 +54%
FAAS
9
First Allied Advisory Services
California
$4.27M +$1.11M +24,414 +36%
First Trust Advisors
10
First Trust Advisors
Illinois
$3.91M +$3.83M +84,424 New
Carson Wealth (CWM LLC)
11
Carson Wealth (CWM LLC)
Nebraska
$3.67M +$3.6M +79,330 New
SFS
12
Sowell Financial Services
Arkansas
$3.55M +$3.08M +67,898 New
CCA
13
Clearwater Capital Advisors
Illinois
$3.15M -$73.6K -1,620 -2%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$3.08M +$2.02M +44,511 +202%
KIA
15
KCM Investment Advisors
California
$3.05M -$7.95K -175 -0.3%
TFA
16
Transamerica Financial Advisors
Florida
$2.22M +$2.17M +47,705 +24,216%
BFEC
17
Benjamin F. Edwards & Company
Missouri
$2.1M -$105K -2,316 -5%
SWP
18
Stratos Wealth Partners
Ohio
$2.09M +$1.68M +37,084 +458%
LA
19
LexAurum Advisors
Kansas
$1.93M +$211K +4,652 +13%
Jane Street
20
Jane Street
New York
$1.9M +$1.87M +41,126 New
KWM
21
Kingsview Wealth Management
Oregon
$1.71M +$228K +5,017 +16%
MML Investors Services
22
MML Investors Services
Massachusetts
$1.68M +$920K +20,247 +126%
MWM
23
Merriman Wealth Management
Washington
$1.55M +$20.6K +454 +1%
HighTower Advisors
24
HighTower Advisors
Illinois
$1.11M -$16.2K -357 -1%
US Bancorp
25
US Bancorp
Minnesota
$932K +$915K +20,142 New
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