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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
$42.4M +$1.81M +30,351 +5%
Morgan Stanley
2
Morgan Stanley
New York
$38.7M -$662K -11,117 -2%
LPL Financial
3
LPL Financial
California
$26.6M +$4.77M +80,084 +25%
UBS Group
4
UBS Group
Switzerland
$24M +$2.44M +40,971 +13%
AOG
5
Alpha Omega Group
Virginia
$13.6M +$12.4M +208,740 New
FHC
6
First Heartland Consultants
Missouri
$11.7M +$10.7M +179,013 +139,854%
RJFSA
7
Raymond James Financial Services Advisors
Florida
$10.8M -$401K -6,729 -4%
KAS
8
Kestra Advisory Services
Texas
$9.72M +$470K +7,896 +6%
SL
9
Savior LLC
Massachusetts
$9.45M +$77.1K +1,294 +0.9%
BFEC
10
Benjamin F. Edwards & Company
Missouri
$9.43M -$2.96M -49,616 -26%
Bank of America
11
Bank of America
North Carolina
$6.92M -$5.37M -90,216 -46%
Envestnet Asset Management
12
Envestnet Asset Management
Illinois
$6.63M +$181K +3,032 +3%
RJA
13
Raymond James & Associates
Florida
$6.21M +$85.5K +1,435 +2%
First Trust Advisors
14
First Trust Advisors
Illinois
$5.28M -$200K -3,364 -4%
SAM
15
Synergy Asset Management
Washington
$4.79M +$4.37M +73,316 New
SWP
16
Stratos Wealth Partners
Ohio
$4.42M +$95.3K +1,600 +2%
Cetera Investment Advisers
17
Cetera Investment Advisers
Illinois
$4.07M +$1.33M +22,409 +56%
PAG
18
Private Advisor Group
New Jersey
$3.97M +$83K +1,393 +2%
HWM
19
Holloway Wealth Management
Florida
$3.93M – – –
Royal Bank of Canada
20
Royal Bank of Canada
Ontario, Canada
$3.74M +$137K +2,308 +4%
Osaic Holdings
21
Osaic Holdings
Arizona
$3.51M +$364K +6,111 +13%
KIA
22
KCM Investment Advisors
California
$2.95M -$104K -1,750 -4%
VRM
23
Vectors Research Management
New York
$2.87M +$126K +2,116 +5%
HC
24
HNP Capital
New York
$2.74M +$125K +2,101 +5%
CWM
25
Cornerstone Wealth Management
Missouri
$2.56M +$859K +14,419 +58%
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