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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
$26.2M -$3.2M -73,558 -12%
Wells Fargo
2
Wells Fargo
California
$25.4M -$205K -4,715 -0.9%
UBS Group
3
UBS Group
Switzerland
$15.1M -$185K -4,258 -1%
LPL Financial
4
LPL Financial
California
$12.1M -$98.7K -2,269 -0.9%
BFEC
5
Benjamin F. Edwards & Company
Missouri
$9.69M -$528K -12,129 -6%
Bank of America
6
Bank of America
North Carolina
$9.25M -$1.98M -45,605 -19%
SL
7
Savior LLC
Massachusetts
$8.88M +$5.37M +123,436 +198%
FHC
8
First Heartland Consultants
Missouri
$5.43M +$4.94M +113,612 New
Envestnet Asset Management
9
Envestnet Asset Management
Illinois
$4.93M -$397K -9,117 -8%
Ameriprise
10
Ameriprise
Minnesota
$4.87M +$267K +6,146 +6%
RJFSA
11
Raymond James Financial Services Advisors
Florida
$3.07M +$2.79M +64,211 New
Osaic Holdings
12
Osaic Holdings
Arizona
$2.7M +$1.44M +32,975 +140%
PAG
13
Private Advisor Group
New Jersey
$2.62M +$90.4K +2,077 +4%
Cetera Investment Advisers
14
Cetera Investment Advisers
Illinois
$2.51M -$695K -15,975 -23%
HWM
15
Holloway Wealth Management
Florida
$2.42M – – –
Royal Bank of Canada
16
Royal Bank of Canada
Ontario, Canada
$2.41M +$249K +5,724 +13%
KIA
17
KCM Investment Advisors
California
$2.36M -$28.3K -650 -1%
SPC
18
Sigma Planning Corp
Michigan
$2.23M +$619K +14,220 +44%
HC
19
HNP Capital
New York
$2.08M +$1.87M +43,061 New
VRM
20
Vectors Research Management
New York
$2.06M +$6.48K +149 +0.3%
Stifel Financial
21
Stifel Financial
Missouri
$2.03M -$67K -1,540 -3%
MML Investors Services
22
MML Investors Services
Massachusetts
$1.99M -$858K -19,711 -32%
SWP
23
Stratos Wealth Partners
Ohio
$1.97M +$237K +5,441 +15%
FAAS
24
First Allied Advisory Services
California
$1.81M -$636K -14,611 -28%
RJA
25
Raymond James & Associates
Florida
$1.51M -$3.52M -80,979 -72%
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