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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
$33.1M +$4.43M +86,005 +16%
Morgan Stanley
2
Morgan Stanley
New York
$32.3M +$2.8M +54,504 +10%
LPL Financial
3
LPL Financial
California
$17.5M +$3.76M +72,974 +29%
UBS Group
4
UBS Group
Switzerland
$17.4M +$529K +10,279 +3%
Bank of America
5
Bank of America
North Carolina
$10.5M +$139K +2,704 +1%
BFEC
6
Benjamin F. Edwards & Company
Missouri
$10.4M -$457K -8,876 -4%
RJFSA
7
Raymond James Financial Services Advisors
Florida
$9.18M +$5.52M +107,284 +167%
SL
8
Savior LLC
Massachusetts
$7.66M -$2.18M -42,446 -23%
KAS
9
Kestra Advisory Services
Texas
$7.48M +$7.2M +139,850 New
FHC
10
First Heartland Consultants
Missouri
$6.84M -$5.84M -113,484 -100%
Ameriprise
11
Ameriprise
Minnesota
$5.28M -$179K -3,472 -3%
Envestnet Asset Management
12
Envestnet Asset Management
Illinois
$5.27M -$240K -4,667 -5%
RJA
13
Raymond James & Associates
Florida
$5M +$3.19M +61,932 +196%
First Trust Advisors
14
First Trust Advisors
Illinois
$4.5M +$3.09M +60,069 +249%
SWP
15
Stratos Wealth Partners
Ohio
$3.53M +$1.28M +24,818 +60%
KPWS
16
Kestra Private Wealth Services
Texas
$3.1M +$3M +58,265 New
PAG
17
Private Advisor Group
New Jersey
$3.06M +$235K +4,566 +8%
HWM
18
Holloway Wealth Management
Florida
$3.01M – – –
Royal Bank of Canada
19
Royal Bank of Canada
Ontario, Canada
$2.94M +$236K +4,589 +9%
KIA
20
KCM Investment Advisors
California
$2.51M -$123K -2,397 -5%
Osaic Holdings
21
Osaic Holdings
Arizona
$2.5M -$463K -8,995 -16%
HIS
22
Harvest Investment Services
Illinois
$2.35M +$2.26M +43,989 New
HC
23
HNP Capital
New York
$2.32M -$169K -3,285 -8%
VRM
24
Vectors Research Management
New York
$2.26M -$66.3K -1,288 -3%
Stifel Financial
25
Stifel Financial
Missouri
$2.23M -$44.5K -864 -2%
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