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First Trust Small Cap Growth AlphaDEX Fund
FYC

Name Holding Trade Value Shares
Change 		Change in
Stake
PNC Financial Services Group
26
PNC Financial Services Group
Pennsylvania
$2.29M +$141K +1,877 +7%
KWM
27
Kingsview Wealth Management
Oregon
$2.14M +$11K +147 +0.5%
NA
28
NewEdge Advisors
Louisiana
$2.02M +$190K +2,533 +10%
IA
29
IFP Advisors
Florida
$2.01M +$1.76M +23,431 +1,065%
Envestnet Asset Management
30
Envestnet Asset Management
Illinois
$1.7M -$36.2K -483 -2%
MIM
31
MTM Investment Management
South Carolina
$1.52M – – –
MML Investors Services
32
MML Investors Services
Massachusetts
$1.31M +$613K +8,176 +87%
KAS
33
Kestra Advisory Services
Texas
$1.28M -$117K -1,559 -8%
Susquehanna International Group
34
Susquehanna International Group
Pennsylvania
$1.22M -$61.8K -824 -5%
SG
35
Strid Group
Pennsylvania
$1.19M -$21.1K -282 -2%
GSC
36
G&S Capital
Colorado
$1.18M +$1.18M +15,767 New
SPC
37
Sigma Planning Corp
Michigan
$1.17M -$498K -6,640 -30%
WFA
38
WMG Financial Advisors
Tennessee
$1.01M +$1.01M +13,472 New
GIA
39
Gladstone Institutional Advisory
Florida
$870K -$35.8K -477 -4%
TRCT
40
Tower Research Capital (TRC)
New York
$869K +$793K +10,579 +982%
CCA
41
Clearwater Capital Advisors
Illinois
$854K -$82.5K -1,100 -9%
NFG
42
Next Financial Group
Texas
$749K +$53.4K +712 +8%
HA
43
HFG Advisors
Ohio
$744K +$748K +9,982 New
WS
44
Wedbush Securities
California
$714K +$51.1K +681 +8%
AWM
45
AE Wealth Management
Kansas
$671K +$675K +8,996 New
Commonwealth Equity Services
46
Commonwealth Equity Services
Massachusetts
$631K +$19.1K +255 +3%
IF
47
Intrua Financial
Texas
$600K +$15K +200 +3%
CAN
48
Claraphi Advisory Network
United States
$573K +$576K +7,687 New
TA
49
TKG Advisors
Indiana
$559K +$562K +7,492 New
Janney Montgomery Scott
50
Janney Montgomery Scott
Pennsylvania
$479K – – –
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