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First Trust Small Cap Growth AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$24.4M +$3.56M +91,723 +18%
Bank of America
2
Bank of America
North Carolina
$12.4M -$742K -19,094 -6%
LPL Financial
3
LPL Financial
California
$10M +$218K +5,604 +2%
SAM
4
Shamrock Asset Management
Texas
$5.47M +$2.4M +61,740 +87%
RJA
5
Raymond James & Associates
Florida
$3.26M -$940K -24,192 -23%
UBS Group
6
UBS Group
Switzerland
$2.62M +$66.4K +1,710 +3%
CCA
7
Clearwater Capital Advisors
Illinois
$2.5M +$6.41K +165 +0.3%
TFA
8
Transamerica Financial Advisors
Florida
$2.48M -$301K -7,759 -11%
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$1.97M -$152K -3,903 -8%
KWM
10
Kingsview Wealth Management
Oregon
$1.91M +$436K +11,221 +32%
First Trust Advisors
11
First Trust Advisors
Illinois
$1.9M +$263K +6,777 +17%
BFEC
12
Benjamin F. Edwards & Company
Missouri
$1.8M +$1.22M +31,419 +254%
Wells Fargo
13
Wells Fargo
California
$1.21M -$38.4K -988 -3%
RJFSA
14
Raymond James Financial Services Advisors
Florida
$1.06M +$134K +3,440 +15%
Citadel Advisors
15
Citadel Advisors
Florida
$967K +$912K +23,483 New
Susquehanna International Group
16
Susquehanna International Group
Pennsylvania
$821K +$774K +19,932 New
Stifel Financial
17
Stifel Financial
Missouri
$716K +$206K +5,315 +44%
MML Investors Services
18
MML Investors Services
Massachusetts
$647K +$610K +15,706 New
VF
19
Virtu Financial
New York
$582K +$549K +14,124 New
Cambridge Investment Research Advisors
20
Cambridge Investment Research Advisors
Iowa
$468K +$6.21K +160 +1%
JIP
21
Jaffetilchin Investment Partners
Florida
$468K +$161K +4,148 +57%
NWP
22
Northstar Wealth Partners
Connecticut
$434K +$408K +10,496 New
FAAS
23
First Allied Advisory Services
California
$396K -$368K -9,466 -50%
CWM
24
Cornerstone Wealth Management
Missouri
$374K -$13.8K -356 -4%
IA
25
IFP Advisors
Florida
$318K