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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
$11.7M -$357K -9,371 -3%
SG
2
Strid Group
Pennsylvania
$9.18M +$235K +6,169 +3%
LPL Financial
3
LPL Financial
California
$8.38M -$1.08M -28,341 -13%
Bank of America
4
Bank of America
North Carolina
$6.34M -$1.49M -39,202 -21%
SL
5
Savior LLC
Massachusetts
$4.68M +$4.21M +110,350 New
Wells Fargo
6
Wells Fargo
California
$4.4M -$1.17M -30,587 -23%
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$3.58M +$2.14M +56,255 +201%
MI
8
Moneywise Inc
Virginia
$2.55M +$1.9M +49,762 +484%
LWS
9
Lucia Wealth Services
California
$2.51M +$1.67M +43,744 +284%
RJA
10
Raymond James & Associates
Florida
$2.47M -$1.89M -49,507 -46%
UBS Group
11
UBS Group
Switzerland
$1.89M +$3.01K +79 +0.2%
FAIM
12
Financial Advocates Investment Management
Washington
$1.88M +$22.5K +590 +1%
RJFSA
13
Raymond James Financial Services Advisors
Florida
$1.79M -$388K -10,176 -19%
BFEC
14
Benjamin F. Edwards & Company
Missouri
$1.71M +$730K +19,140 +90%
AI
15
Atria Investments
North Carolina
$1.7M +$1.53M +40,024 New
Susquehanna International Group
16
Susquehanna International Group
Pennsylvania
$1.64M -$999K -26,209 -40%
IAIM
17
International Assets Investment Management
Florida
$1.38M -$13.3K -348 -0.9%
MA
18
MONECO Advisors
Connecticut
$1.24M +$224K +5,878 +25%
Citadel Advisors
19
Citadel Advisors
Florida
$1.18M +$341K +8,945 +48%
First Trust Advisors
20
First Trust Advisors
Illinois
$1.15M +$1.03M +27,143 New
SPIA
21
Steward Partners Investment Advisory
New York
$996K -$114 -3 -0%
Goldman Sachs
22
Goldman Sachs
New York
$905K -$362K -9,500 -31%
MML Investors Services
23
MML Investors Services
Massachusetts
$756K -$12.1K -318 -2%
Osaic Holdings
24
Osaic Holdings
Arizona
$736K +$32.4K +849 +5%
SPC
25
Sigma Planning Corp
Michigan
$705K -$20K -525 -3%
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