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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
$18.7M -$2.06M -45,815 -10%
First Trust Advisors
2
First Trust Advisors
Illinois
$17.7M -$139K -3,086 -0.8%
Bank of America
3
Bank of America
North Carolina
$17.1M +$369K +8,193 +2%
LPL Financial
4
LPL Financial
California
$13.2M -$1.62M -36,040 -11%
Wells Fargo
5
Wells Fargo
California
$8.17M -$1.93M -42,811 -20%
RJA
6
Raymond James & Associates
Florida
$7.79M -$3.94M -87,516 -34%
UBS Group
7
UBS Group
Switzerland
$7.26M -$590K -13,091 -8%
BFEC
8
Benjamin F. Edwards & Company
Missouri
$7.25M -$721K -15,999 -9%
Cambridge Investment Research Advisors
9
Cambridge Investment Research Advisors
Iowa
$6.37M +$240K +5,315 +4%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$3.83M +$658K +14,594 +22%
RJFSA
11
Raymond James Financial Services Advisors
Florida
$3.05M +$738K +16,377 +33%
CS
12
Credit Suisse
Switzerland
$2.74M -$245K -5,444 -8%
MML Investors Services
13
MML Investors Services
Massachusetts
$2.51M -$267K -5,921 -10%
DADC
14
D.A. Davidson & Co
Montana
$2.17M -$30.5K -677 -1%
PAG
15
Private Advisory Group
Washington
$2.06M +$1.99M +44,070 New
Citadel Advisors
16
Citadel Advisors
Florida
$1.75M +$1.22M +27,128 +263%
GIA
17
Gladstone Institutional Advisory
Florida
$1.68M -$1.02M -22,564 -39%
Stifel Financial
18
Stifel Financial
Missouri
$1.62M +$396K +8,792 +34%
Goldman Sachs
19
Goldman Sachs
New York
$1.44M – – –
Janney Montgomery Scott
20
Janney Montgomery Scott
Pennsylvania
$1.42M -$198K -4,382 -13%
JAWM
21
J. Arnold Wealth Management
Ohio
$1.25M +$1.21M +26,871 New
Commonwealth Equity Services
22
Commonwealth Equity Services
Massachusetts
$1.18M -$185K -4,094 -14%
AAS
23
Avantax Advisory Services
Texas
$1.16M +$247K +5,480 +28%
CCA
24
Clearwater Capital Advisors
Illinois
$1.15M -$9.92K -220 -0.9%
SPIA
25
Steward Partners Investment Advisory
New York
$1.1M -$112K -2,492 -10%
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