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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
$24.2M +$7.74K +193 +0%
Wells Fargo
2
Wells Fargo
California
$16.5M -$7.75M -193,460 -30%
UBS Group
3
UBS Group
Switzerland
$8.64M +$4.6M +114,775 +93%
Bank of America
4
Bank of America
North Carolina
$8.15M -$9.98M -248,971 -53%
LPL Financial
5
LPL Financial
California
$8.01M -$138K -3,452 -2%
FAIM
6
Financial Advocates Investment Management
Washington
$6.39M +$349K +8,713 +5%
RJA
7
Raymond James & Associates
Florida
$5.13M -$595K -14,854 -9%
First Trust Advisors
8
First Trust Advisors
Illinois
$3.49M +$476K +11,865 +14%
Carson Wealth (CWM LLC)
9
Carson Wealth (CWM LLC)
Nebraska
$2.95M +$84.8K +2,115 +3%
GIA
10
Gladstone Institutional Advisory
Florida
$2.95M +$3.26M +81,431 New
Susquehanna International Group
11
Susquehanna International Group
Pennsylvania
$2.45M +$2.2M +54,782 +431%
CCA
12
Clearwater Capital Advisors
Illinois
$2.43M -$35.3K -880 -1%
KWM
13
Kingsview Wealth Management
Oregon
$2.35M +$1.12M +27,863 +75%
KIA
14
KCM Investment Advisors
California
$2.32M -$74.2K -1,850 -3%
RJFSA
15
Raymond James Financial Services Advisors
Florida
$2.14M -$6.03M -150,530 -72%
Royal Bank of Canada
16
Royal Bank of Canada
Ontario, Canada
$2.02M -$433K -10,800 -16%
Goldman Sachs
17
Goldman Sachs
New York
$1.87M +$1.82M +45,419 +741%
TFA
18
Transamerica Financial Advisors
Florida
$1.81M +$82.9K +2,068 +4%
BFEC
19
Benjamin F. Edwards & Company
Missouri
$1.62M -$22K -549 -1%
LA
20
LexAurum Advisors
Kansas
$1.59M +$88.5K +2,208 +5%
MML Investors Services
21
MML Investors Services
Massachusetts
$1.51M +$222K +5,526 +15%
SWP
22
Stratos Wealth Partners
Ohio
$1.31M -$364K -9,074 -20%
Envestnet Asset Management
23
Envestnet Asset Management
Illinois
$1.07M +$1.18M +29,462 New
Jane Street
24
Jane Street
New York
$1.02M -$521K -13,004 -32%
Commonwealth Equity Services
25
Commonwealth Equity Services
Massachusetts
$892K +$311K +7,751 +46%
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