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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
$29.6M +$4.04M +69,730 +15%
UBS Group
2
UBS Group
Switzerland
$17.9M -$110K -1,892 -0.6%
Morgan Stanley
3
Morgan Stanley
New York
$16M -$888K -15,346 -5%
Wells Fargo
4
Wells Fargo
California
$15.3M -$4.05M -69,905 -20%
SL
5
Savior LLC
Massachusetts
$9.45M -$18.3K -316 -0.2%
Osaic Holdings
6
Osaic Holdings
Arizona
$4.15M +$303K +5,242 +8%
RJFSA
7
Raymond James Financial Services Advisors
Florida
$4.11M +$650K +11,219 +18%
KWM
8
Kingsview Wealth Management
Oregon
$3.64M +$120K +2,065 +3%
BFEC
9
Benjamin F. Edwards & Company
Missouri
$3.47M +$1.77M +30,554 +99%
Cetera Investment Advisers
10
Cetera Investment Advisers
Illinois
$3.08M +$75.3K +1,300 +2%
Goldman Sachs
11
Goldman Sachs
New York
$2.82M – – –
Commonwealth Equity Services
12
Commonwealth Equity Services
Massachusetts
$2.49M -$177K -3,061 -6%
Baird Financial Group
13
Baird Financial Group
Wisconsin
$2.44M +$1.92M +33,184 +331%
Citadel Advisors
14
Citadel Advisors
Florida
$2.38M +$550K +9,496 +29%
KIA
15
KCM Investment Advisors
California
$2.3M +$13K +225 +0.6%
Stifel Financial
16
Stifel Financial
Missouri
$2.16M +$42.6K +735 +2%
Royal Bank of Canada
17
Royal Bank of Canada
Ontario, Canada
$1.97M +$1.2M +20,740 +147%
KAS
18
Kestra Advisory Services
Texas
$1.69M -$424K -7,321 -20%
PWM
19
Purus Wealth Management
California
$1.37M -$17.5K -302 -1%
AWS
20
Atria Wealth Solutions
New York
$1.09M +$11.7K +202 +1%
MIM
21
MTM Investment Management
South Carolina
$1.05M -$49.6K -856 -4%
RJA
22
Raymond James & Associates
Florida
$888K -$92K -1,589 -9%
EH
23
Equitable Holdings
New York
$878K -$9.15K -158 -1%
AWAG
24
ARS Wealth Advisors Group
Florida
$876K -$19.3K -333 -2%
MML Investors Services
25
MML Investors Services
Massachusetts
$693K -$36K -622 -5%
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