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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
$19.3M +$2.27M +61,062 +14%
Bank of America
2
Bank of America
North Carolina
$12.4M +$1.28M +34,498 +12%
LPL Financial
3
LPL Financial
California
$9.16M +$46.6K +1,256 +0.5%
RJA
4
Raymond James & Associates
Florida
$3.98M +$838K +22,568 +28%
SAM
5
Shamrock Asset Management
Texas
$2.73M +$2.64M +71,052 New
TFA
6
Transamerica Financial Advisors
Florida
$2.62M -$224K -6,020 -8%
UBS Group
7
UBS Group
Switzerland
$2.38M +$26.5K +713 +1%
CCA
8
Clearwater Capital Advisors
Illinois
$2.32M +$80.4K +2,165 +4%
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$1.99M +$903K +24,310 +89%
First Trust Advisors
10
First Trust Advisors
Illinois
$1.51M +$153K +4,108 +12%
KWM
11
Kingsview Wealth Management
Oregon
$1.35M +$99.9K +2,691 +8%
Wells Fargo
12
Wells Fargo
California
$1.16M -$69.1K -1,861 -6%
RJFSA
13
Raymond James Financial Services Advisors
Florida
$861K +$247K +6,647 +42%
FAAS
14
First Allied Advisory Services
California
$735K +$503K +13,548 +245%
BFEC
15
Benjamin F. Edwards & Company
Missouri
$475K +$197K +5,302 +75%
Stifel Financial
16
Stifel Financial
Missouri
$460K +$23.5K +633 +6%
Cambridge Investment Research Advisors
17
Cambridge Investment Research Advisors
Iowa
$431K -$3.75M -101,075 -90%
CWM
18
Cornerstone Wealth Management
Missouri
$357K -$18.4K -496 -5%
SG Americas Securities
19
SG Americas Securities
New York
$327K -$186K -5,002 -37%
IA
20
IFP Advisors
Florida
$297K -$1.92M -51,636 -87%
JIP
21
Jaffetilchin Investment Partners
Florida
$278K -$377K -10,155 -58%
WA
22
WFG Advisors
Texas
$262K -$7.24K -195 -3%
PAG
23
Private Advisor Group
New Jersey
$216K +$208K +5,600 New
LTFS
24
Ladenburg Thalmann Financial Services
Florida
$187K -$29.5K -794 -14%
GWM
25
Geneos Wealth Management
Colorado
$116K – – –
1
2