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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
$28.9M +$3.63M +86,850 +15%
LPL Financial
2
LPL Financial
California
$15.4M +$4.96M +118,826 +49%
Bank of America
3
Bank of America
North Carolina
$14.6M +$1.77M +42,311 +14%
UBS Group
4
UBS Group
Switzerland
$6.37M +$3.6M +86,153 +136%
Cambridge Investment Research Advisors
5
Cambridge Investment Research Advisors
Iowa
$6M +$5.42M +129,890 +1,144%
RJA
6
Raymond James & Associates
Florida
$4.01M +$636K +15,234 +19%
KWM
7
Kingsview Wealth Management
Oregon
$3.2M +$1.21M +29,055 +63%
SAM
8
Shamrock Asset Management
Texas
$2.74M -$2.86M -68,391 -52%
CCA
9
Clearwater Capital Advisors
Illinois
$2.32M -$243K -5,823 -10%
First Trust Advisors
10
First Trust Advisors
Illinois
$2.15M +$195K +4,671 +10%
TFA
11
Transamerica Financial Advisors
Florida
$2M -$550K -13,181 -22%
RJFSA
12
Raymond James Financial Services Advisors
Florida
$1.99M +$880K +21,085 +82%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$1.93M -$98.8K -2,367 -5%
BFEC
14
Benjamin F. Edwards & Company
Missouri
$1.33M -$523K -12,519 -29%
Wells Fargo
15
Wells Fargo
California
$1.22M -$21.1K -506 -2%
BCM
16
Breiter Capital Management
Florida
$747K +$734K +17,570 New
Stifel Financial
17
Stifel Financial
Missouri
$586K -$147K -3,523 -20%
NWP
18
Northstar Wealth Partners
Connecticut
$472K +$19.2K +459 +4%
FAAS
19
First Allied Advisory Services
California
$396K -$12.7K -303 -3%
CWM
20
Cornerstone Wealth Management
Missouri
$350K -$36K -863 -10%
IA
21
IFP Advisors
Florida
$320K -$8.31K -199 -3%
JIP
22
Jaffetilchin Investment Partners
Florida
$318K -$162K -3,889 -34%
CAN
23
Cetera Advisor Networks
California
$295K +$288K +6,901 New
UR
24
USCA RIA
Texas
$278K +$273K +6,528 New
Janney Montgomery Scott
25
Janney Montgomery Scott
Pennsylvania
$255K -$41.8K -1,000 -14%