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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
$24.9M -$2.89M -47,554 -9%
Wells Fargo
2
Wells Fargo
California
$20.2M -$1.64M -27,087 -7%
UBS Group
3
UBS Group
Switzerland
$17.3M -$2.62M -43,146 -12%
Morgan Stanley
4
Morgan Stanley
New York
$15.8M -$1.48M -24,383 -8%
SL
5
Savior LLC
Massachusetts
$9.14M +$209K +3,436 +2%
AOG
6
Alpha Omega Group
Virginia
$5.44M +$233K +3,845 +4%
PAG
7
Private Advisor Group
New Jersey
$4.05M +$248K +4,080 +6%
Osaic Holdings
8
Osaic Holdings
Arizona
$3.56M +$1.96M +32,281 +98%
RJFSA
9
Raymond James Financial Services Advisors
Florida
$3.31M -$25.4K -418 -0.7%
KWM
10
Kingsview Wealth Management
Oregon
$3.09M +$680K +11,195 +25%
Cetera Investment Advisers
11
Cetera Investment Advisers
Illinois
$2.98M +$325K +5,361 +11%
Goldman Sachs
12
Goldman Sachs
New York
$2.73M -$69.6K -1,147 -2%
Commonwealth Equity Services
13
Commonwealth Equity Services
Massachusetts
$2.64M -$37.8K -622 -1%
KIA
14
KCM Investment Advisors
California
$2.25M -$78.9K -1,300 -3%
Royal Bank of Canada
15
Royal Bank of Canada
Ontario, Canada
$2.13M +$564K +9,284 +31%
Stifel Financial
16
Stifel Financial
Missouri
$2.09M -$408K -6,715 -15%
Citadel Advisors
17
Citadel Advisors
Florida
$1.94M +$1.04M +17,200 +94%
KAS
18
Kestra Advisory Services
Texas
$1.91M -$110K -1,810 -5%
VRM
19
Vectors Research Management
New York
$1.89M -$395K -6,513 -16%
HC
20
HNP Capital
New York
$1.86M -$396K -6,520 -16%
PPG
21
Peak Planning Group
Colorado
$1.45M +$1.62M +26,606 New
PWM
22
Purus Wealth Management
California
$1.34M -$22K -363 -1%
BFEC
23
Benjamin F. Edwards & Company
Missouri
$1.33M -$768K -12,656 -34%
MIM
24
MTM Investment Management
South Carolina
$1.08M – – –
AWS
25
Atria Wealth Solutions
New York
$1.05M -$106K -1,750 -8%
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