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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
$9.27M -$4.98M -116,819 -29%
LPL Financial
2
LPL Financial
California
$7.36M -$2.41M -56,575 -20%
SG
3
Strid Group
Pennsylvania
$6.85M +$8.96M +210,188 New
Bank of America
4
Bank of America
North Carolina
$6.16M -$7.56M -177,494 -48%
Wells Fargo
5
Wells Fargo
California
$4.38M -$1.73M -40,628 -23%
Cambridge Investment Research Advisors
6
Cambridge Investment Research Advisors
Iowa
$3.89M -$731K -17,148 -13%
RJA
7
Raymond James & Associates
Florida
$3.52M -$2.52M -59,217 -35%
Susquehanna International Group
8
Susquehanna International Group
Pennsylvania
$2.13M +$2.77M +64,941 New
RJFSA
9
Raymond James Financial Services Advisors
Florida
$1.71M -$559K -13,109 -20%
UBS Group
10
UBS Group
Switzerland
$1.45M -$4.73M -111,102 -71%
FAIM
11
Financial Advocates Investment Management
Washington
$1.43M +$1.86M +43,735 New
IAIM
12
International Assets Investment Management
Florida
$1.08M +$1.66M +39,033 New
Goldman Sachs
13
Goldman Sachs
New York
$1.01M
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$915K -$2.3M -53,946 -66%
SPIA
15
Steward Partners Investment Advisory
New York
$765K -$7.12K -167 -0.7%
MA
16
MONECO Advisors
Connecticut
$757K +$990K +23,228 New
Jane Street
17
Jane Street
New York
$749K +$979K +22,982 New
BFEC
18
Benjamin F. Edwards & Company
Missouri
$694K -$5.71M -133,971 -86%
Citadel Advisors
19
Citadel Advisors
Florida
$614K -$797K -18,705 -50%
MML Investors Services
20
MML Investors Services
Massachusetts
$591K -$1.52M -35,720 -66%
AAS
21
Avantax Advisory Services
Texas
$566K -$321K -7,524 -30%
SPC
22
Sigma Planning Corp
Michigan
$559K -$218K -5,112 -23%
Commonwealth Equity Services
23
Commonwealth Equity Services
Massachusetts
$550K -$359K -8,422 -33%
Osaic Holdings
24
Osaic Holdings
Arizona
$539K +$702K +16,481 New
TRCT
25
Tower Research Capital (TRC)
New York
$530K +$315K +7,399 +83%