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First Trust Small Cap Growth AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
TFA
101
Transamerica Financial Advisors
Florida
$7K – – –
FFA
102
Farther Finance Advisors
California
$5.64K -$1.1M -14,589 -99%
Citigroup
103
Citigroup
New York
$4.47K – – –
CA
104
Continuum Advisory
Idaho
$3.37K – – –
S
105
SignatureFD
Georgia
$826 – – –
SWM
106
Spire Wealth Management
Virginia
$640 – – –
IAA
107
Independent Advisor Alliance
North Carolina
– -$6.23M -80,454 Closed
FIS
108
Fischer Investment Strategies
California
– -$3.95M -51,020 Closed
FFS
109
Founders Financial Securities
Maryland
– -$1.72M -22,276 Closed
FFN
110
Focus Financial Network
Minnesota
– -$1.02M -13,178 Closed
OC
111
Oppenheimer & Co
New York
– -$419K -5,409 Closed
Wealth Enhancement Advisory Services
112
Wealth Enhancement Advisory Services
Minnesota
– -$350K -4,519 Closed
WE
113
Wealth Effects
Massachusetts
– -$303K -3,907 Closed
HighTower Advisors
114
HighTower Advisors
Illinois
– -$264K -3,406 Closed
SF
115
Synovus Financial
Georgia
– -$214K -2,761 Closed
FT
116
Fiduciary Trust
Massachusetts
– -$203K -2,621 Closed
PFA
117
Plotkin Financial Advisors
Maryland
– -$200K -2,583 Closed
CFGS
118
Concourse Financial Group Securities
Alabama
– -$32.4K -405 Closed
PA
119
PSI Advisors
Florida
– -$23.9K -309 Closed
TCG
120
Transcendent Capital Group
Oklahoma
– -$1.94K -25 Closed