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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
$24.8M -$4.67M -107,704 -16%
Bank of America
2
Bank of America
North Carolina
$14.4M -$493K -11,361 -3%
LPL Financial
3
LPL Financial
California
$12.1M -$3.66M -84,306 -23%
RJA
4
Raymond James & Associates
Florida
$11.9M +$7.83M +180,523 +191%
Cambridge Investment Research Advisors
5
Cambridge Investment Research Advisors
Iowa
$6.56M +$432K +9,955 +7%
UBS Group
6
UBS Group
Switzerland
$6.27M -$230K -5,290 -4%
KWM
7
Kingsview Wealth Management
Oregon
$2.94M -$324K -7,475 -10%
SAM
8
Shamrock Asset Management
Texas
$2.57M -$399K -9,203 -14%
First Trust Advisors
9
First Trust Advisors
Illinois
$2.49M +$287K +6,621 +13%
CCA
10
Clearwater Capital Advisors
Illinois
$2.3M -$68.2K -1,571 -3%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$2.04M +$68.1K +1,570 +3%
TFA
12
Transamerica Financial Advisors
Florida
$1.93M -$117K -2,692 -6%
BFEC
13
Benjamin F. Edwards & Company
Missouri
$1.91M +$559K +12,872 +41%
RJFSA
14
Raymond James Financial Services Advisors
Florida
$1.75M -$281K -6,479 -14%
SPIA
15
Steward Partners Investment Advisory
New York
$1.31M +$1.31M +30,211 New
Wells Fargo
16
Wells Fargo
California
$1.25M +$5.17K +119 +0.4%
MML Investors Services
17
MML Investors Services
Massachusetts
$937K +$938K +21,612 New
JIP
18
Jaffetilchin Investment Partners
Florida
$804K +$480K +11,067 +148%
BCM
19
Breiter Capital Management
Florida
$767K +$5.08K +117 +0.7%
Stifel Financial
20
Stifel Financial
Missouri
$728K +$130K +2,991 +22%
CWM
21
Cornerstone Wealth Management
Missouri
$600K +$265K +6,104 +75%
UR
22
USCA RIA
Texas
$448K +$165K +3,799 +58%
FAAS
23
First Allied Advisory Services
California
$422K +$19.3K +444 +5%
Commonwealth Equity Services
24
Commonwealth Equity Services
Massachusetts
$376K +$151K +3,482 +67%
CAN
25
Cetera Advisor Networks
California
$340K +$40K +922 +13%