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First Trust Small Cap Growth AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
APWM
51
Atlas Private Wealth Management
New York
$10K – – –
US Bancorp
52
US Bancorp
Minnesota
$8K -$2.43K -57 -19%
CHC
53
City Holding Co
West Virginia
$7K – – –
MA
54
MUFG Americas
New York
$7K +$8.52K +200 New
LWM
55
Liberty Wealth Management
California
$5K – – –
OIA
56
Optimum Investment Advisors
Illinois
$4K -$63.6K -1,492 -93%
OPS
57
Orion Portfolio Solutions
Nebraska
$3K +$4.26K +100 New
TFA
58
Transamerica Financial Advisors
Florida
$1K -$66.7K -1,564 -98%
SFS
59
Sowell Financial Services
Arkansas
$1K +$43 +1 +6%
First Trust Advisors
60
First Trust Advisors
Illinois
– -$17.7M -380,164 Closed
CS
61
Credit Suisse
Switzerland
– -$2.74M -58,759 Closed
DADC
62
D.A. Davidson & Co
Montana
– -$2.17M -46,414 Closed
PAG
63
Private Advisory Group
Washington
– -$2.06M -44,070 Closed
JAWM
64
J. Arnold Wealth Management
Ohio
– -$1.25M -26,871 Closed
UR
65
USCA RIA
Texas
– -$904K -19,365 Closed
PFA
66
Plotkin Financial Advisors
Maryland
– -$646K -13,832 Closed
IWC
67
Integrated Wealth Concepts
Massachusetts
– -$482K -10,328 Closed
MIAN
68
Mariner Independent Advisor Network
Kansas
– -$481K -10,305 Closed
WS
69
Wedbush Securities
California
– -$406K -8,705 Closed
ASN
70
Advisory Services Network
Georgia
– -$361K -7,727 Closed
FAAS
71
First Allied Advisory Services
California
– -$327K -7,026 Closed
IA
72
IFG Advisory
Georgia
– -$324K -6,960 Closed
BAM
73
Belpointe Asset Management
Nevada
– -$263K -5,645 Closed
CA
74
Cetera Advisors
Colorado
– -$254K -5,478 Closed
QWM
75
QP Wealth Management
New Jersey
– -$248K -5,272 Closed