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First Trust Small Cap Growth AlphaDEX Fund
FYC

Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$16M +$1.57M +43,875 +11%
Bank of America
2
Bank of America
North Carolina
$10.4M +$87.6K +2,447 +0.9%
LPL Financial
3
LPL Financial
California
$8.52M +$1.04M +29,122 +14%
Cambridge Investment Research Advisors
4
Cambridge Investment Research Advisors
Iowa
$4.09M +$1.67M +46,554 +71%
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$3.63M +$3.57M +99,787 New
RJA
6
Raymond James & Associates
Florida
$2.94M +$1.3M +36,316 +82%
TFA
7
Transamerica Financial Advisors
Florida
$2.7M -$541K -15,128 -17%
UBS Group
8
UBS Group
Switzerland
$2.23M +$147K +4,117 +7%
IA
9
IFP Advisors
Florida
$2.16M +$1.85M +51,586 +663%
CCA
10
Clearwater Capital Advisors
Illinois
$2.06M +$66.4K +1,855 +3%
First Trust Advisors
11
First Trust Advisors
Illinois
$1.28M +$215K +6,004 +21%
KWM
12
Kingsview Wealth Management
Oregon
$1.18M +$1.16M +32,395 New
Wells Fargo
13
Wells Fargo
California
$1.17M -$35.3K -985 -3%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$999K -$104K -2,895 -10%
Ameriprise
15
Ameriprise
Minnesota
$720K +$707K +19,764 New
JIP
16
Jaffetilchin Investment Partners
Florida
$633K -$252K -7,027 -29%
IAA
17
Independent Advisor Alliance
North Carolina
$584K +$590K +16,475 New
RJFSA
18
Raymond James Financial Services Advisors
Florida
$574K +$289K +8,075 +105%
SG Americas Securities
19
SG Americas Securities
New York
$492K -$1.31M -36,494 -73%
Stifel Financial
20
Stifel Financial
Missouri
$415K -$56.2K -1,569 -12%
CWM
21
Cornerstone Wealth Management
Missouri
$352K -$7.73K -216 -2%
BFEC
22
Benjamin F. Edwards & Company
Missouri
$257K -$1.22M -33,977 -83%
WA
23
WFG Advisors
Texas
$255K -$4.65K -130 -2%
HFS
24
HL Financial Services
Kentucky
$230K -$67K -1,871 -23%
LTFS
25
Ladenburg Thalmann Financial Services
Florida
$206K +$12.2K +342 +6%
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