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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
$30.7M -$521K -8,756 -2%
UBS Group
2
UBS Group
Switzerland
$18.6M -$282K -4,745 -1%
Morgan Stanley
3
Morgan Stanley
New York
$17.4M +$542K +9,121 +3%
Wells Fargo
4
Wells Fargo
California
$14.6M -$1.52M -25,633 -9%
SL
5
Savior LLC
Massachusetts
$9.97M +$1.25K +21 +0%
RJFSA
6
Raymond James Financial Services Advisors
Florida
$4.22M -$118K -1,987 -3%
KWM
7
Kingsview Wealth Management
Oregon
$4.03M +$187K +3,145 +5%
BFEC
8
Benjamin F. Edwards & Company
Missouri
$3.9M +$237K +3,981 +6%
Cetera Investment Advisers
9
Cetera Investment Advisers
Illinois
$3.18M -$71K -1,194 -2%
Osaic Holdings
10
Osaic Holdings
Arizona
$3.16M -$1.21M -20,372 -28%
PAG
11
Private Advisor Group
New Jersey
$2.98M -$375K -6,307 -11%
Goldman Sachs
12
Goldman Sachs
New York
$2.97M – – –
RJA
13
Raymond James & Associates
Florida
$2.76M +$1.83M +30,693 +195%
Baird Financial Group
14
Baird Financial Group
Wisconsin
$2.68M +$110K +1,847 +4%
KIA
15
KCM Investment Advisors
California
$2.43M – – –
Stifel Financial
16
Stifel Financial
Missouri
$1.74M -$547K -9,204 -24%
MML Investors Services
17
MML Investors Services
Massachusetts
$1.69M +$956K +16,083 +131%
KAS
18
Kestra Advisory Services
Texas
$1.67M -$121K -2,035 -7%
PWM
19
Purus Wealth Management
California
$1.45M +$8.03K +135 +0.6%
AWS
20
Atria Wealth Solutions
New York
$1.38M +$232K +3,900 +20%
Susquehanna International Group
21
Susquehanna International Group
Pennsylvania
$1.37M +$1.37M +22,998 New
Envestnet Asset Management
22
Envestnet Asset Management
Illinois
$1.3M +$664K +11,172 +105%
MIM
23
MTM Investment Management
South Carolina
$1.11M -$2.97K -50 -0.3%
Royal Bank of Canada
24
Royal Bank of Canada
Ontario, Canada
$971K -$1.1M -18,553 -53%
Northwestern Mutual Wealth Management
25
Northwestern Mutual Wealth Management
Wisconsin
$952K +$268K +4,506 +39%
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