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First Trust Small Cap Growth AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
LPL Financial
1
LPL Financial
California
$191M +$16.2M +143,449 +11%
Raymond James Financial
2
Raymond James Financial
Florida
$82.8M +$11.9M +105,020 +19%
Morgan Stanley
3
Morgan Stanley
New York
$77.2M +$23.9M +211,723 +54%
Wells Fargo
4
Wells Fargo
California
$60.1M +$3.25M +28,777 +6%
Cetera Investment Advisers
5
Cetera Investment Advisers
Illinois
$39.9M +$2.66M +23,532 +8%
Bank of America
6
Bank of America
North Carolina
$31.7M +$486K +4,301 +2%
Stifel Financial
7
Stifel Financial
Missouri
$25M +$11.1K +98 +0%
Envestnet Asset Management
8
Envestnet Asset Management
Illinois
$24.6M +$861K +7,626 +4%
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$22.4M +$507K +4,488 +3%
EA
10
Eclectic Associates
California
$20.2M -$108K -955 -0.6%
Osaic Holdings
11
Osaic Holdings
Arizona
$19.9M +$6.07M +53,792 +52%
UBS Group
12
UBS Group
Switzerland
$19.7M -$2.23M -19,752 -11%
Baird Financial Group
13
Baird Financial Group
Wisconsin
$15.8M +$5.77M +51,154 +70%
Northwestern Mutual Wealth Management
14
Northwestern Mutual Wealth Management
Wisconsin
$14.4M +$5.87M +52,001 +85%
NWWA
15
New Wave Wealth Advisors
Arkansas
$13M +$105K +927 +0.9%
MML Investors Services
16
MML Investors Services
Massachusetts
$12.8M +$1.41M +12,482 +14%
PNC Financial Services Group
17
PNC Financial Services Group
Pennsylvania
$12.7M +$831K +7,359 +8%
IAS
18
Integrity Advisory Solutions
Texas
$12.7M +$201K +1,779 +2%
CIA
19
Concurrent Investment Advisors
Florida
$12.6M -$153K -1,356 -1%
Cambridge Investment Research Advisors
20
Cambridge Investment Research Advisors
Iowa
$12.2M +$471K +4,172 +5%
IA
21
IFP Advisors
Florida
$11.6M +$449K +3,974 +5%
IWC
22
Integrated Wealth Concepts
Massachusetts
$11.5M +$4.62M +40,926 +83%
BFC
23
Bedel Financial Consulting
Indiana
$9.94M +$97K +859 +1%
RIS
24
Richmond Investment Services
Wisconsin
$9.82M -$7.88M -69,794 -47%
MYIA
25
Mount Yale Investment Advisors
Colorado
$9.61M +$8.52M +75,497 New