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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
$30.5M +$4.88M +105,198 +20%
Morgan Stanley
2
Morgan Stanley
New York
$28.8M -$9.38M -202,245 -25%
UBS Group
3
UBS Group
Switzerland
$16.8M +$2.53M +54,626 +18%
LPL Financial
4
LPL Financial
California
$10.2M +$1.2M +25,811 +14%
Bank of America
5
Bank of America
North Carolina
$9.23M -$46.3K -998 -0.5%
RJA
6
Raymond James & Associates
Florida
$6.42M -$68.2K -1,471 -1%
Ameriprise
7
Ameriprise
Minnesota
$5.28M +$249K +5,360 +5%
First Trust Advisors
8
First Trust Advisors
Illinois
$5.25M -$160K -3,450 -3%
Envestnet Asset Management
9
Envestnet Asset Management
Illinois
$5.18M +$242K +5,219 +5%
RJFSA
10
Raymond James Financial Services Advisors
Florida
$4.35M +$1.63M +35,036 +63%
GIA
11
Gladstone Institutional Advisory
Florida
$3.29M -$1.38M -29,700 -30%
Cetera Investment Advisers
12
Cetera Investment Advisers
Illinois
$3.02M +$94.7K +2,042 +3%
MML Investors Services
13
MML Investors Services
Massachusetts
$2.83M -$49.5K -1,066 -2%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$2.58M -$614K -13,234 -20%
KIA
15
KCM Investment Advisors
California
$2.56M -$193K -4,170 -7%
FAAS
16
First Allied Advisory Services
California
$2.27M +$336K +7,250 +18%
BFEC
17
Benjamin F. Edwards & Company
Missouri
$1.93M -$1.85M -39,872 -50%
JAWM
18
J. Arnold Wealth Management
Ohio
$1.88M +$1.82M +39,240 New
Citadel Advisors
19
Citadel Advisors
Florida
$1.86M -$196K -4,232 -10%
Commonwealth Equity Services
20
Commonwealth Equity Services
Massachusetts
$1.83M +$17.5K +378 +1%
CAN
21
Cetera Advisor Networks
California
$1.74M +$146K +3,154 +10%
SWP
22
Stratos Wealth Partners
Ohio
$1.65M -$46.3K -999 -3%
Susquehanna International Group
23
Susquehanna International Group
Pennsylvania
$1.64M -$249K -5,358 -14%
SPC
24
Sigma Planning Corp
Michigan
$1.58M -$1.01M -21,671 -40%
NFG
25
Next Financial Group
Texas
$1.57M +$464K +9,997 +44%
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