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First Trust Mid Cap Growth AlphaDEX Fund
FNY

Name Holding Trade Value Shares
Change 		Change in
Stake
LPL Financial
1
LPL Financial
California
$33.5M -$5.24M -79,174 -14%
Wells Fargo
2
Wells Fargo
California
$26.5M -$14.9M -224,810 -36%
UBS Group
3
UBS Group
Switzerland
$24M -$2.95M -44,562 -11%
Morgan Stanley
4
Morgan Stanley
New York
$20.9M -$6.1M -92,216 -23%
SL
5
Savior LLC
Massachusetts
$11.1M +$509K +7,690 +5%
AOG
6
Alpha Omega Group
Virginia
$6.38M +$30.2K +457 +0.5%
PAG
7
Private Advisor Group
New Jersey
$4.67M +$231K +3,489 +5%
RJFSA
8
Raymond James Financial Services Advisors
Florida
$4.07M -$3.08M -46,557 -43%
Goldman Sachs
9
Goldman Sachs
New York
$3.41M +$1.29M +19,447 +61%
Cetera Investment Advisers
10
Cetera Investment Advisers
Illinois
$3.28M +$116K +1,749 +4%
Commonwealth Equity Services
11
Commonwealth Equity Services
Massachusetts
$3.26M +$639K +9,655 +25%
KWM
12
Kingsview Wealth Management
Oregon
$3.02M +$27.5K +416 +0.9%
Stifel Financial
13
Stifel Financial
Missouri
$2.99M +$91.9K +1,389 +3%
KIA
14
KCM Investment Advisors
California
$2.83M – – –
VRM
15
Vectors Research Management
New York
$2.74M -$2.13M -32,137 -44%
HC
16
HNP Capital
New York
$2.7M -$2.1M -31,757 -44%
BFEC
17
Benjamin F. Edwards & Company
Missouri
$2.46M -$4.71M -71,181 -66%
KAS
18
Kestra Advisory Services
Texas
$2.45M -$550K -8,314 -18%
Osaic Holdings
19
Osaic Holdings
Arizona
$2.22M +$544K +8,217 +33%
Royal Bank of Canada
20
Royal Bank of Canada
Ontario, Canada
$1.99M +$999K +15,107 +103%
DAS
21
Dynamic Advisor Solutions
Arizona
$1.79M +$95.4K +1,442 +6%
Susquehanna International Group
22
Susquehanna International Group
Pennsylvania
$1.68M +$1.03M +15,560 +162%
PWM
23
Purus Wealth Management
California
$1.66M -$992 -15 -0.1%
RJA
24
Raymond James & Associates
Florida
$1.5M -$3.89M -58,775 -72%
AWS
25
Atria Wealth Solutions
New York
$1.4M +$1.39M +21,053 New
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