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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
$12.5M -$498K -10,909 -4%
SG
2
Strid Group
Pennsylvania
$10.3M +$23.8K +522 +0.2%
LPL Financial
3
LPL Financial
California
$9.13M -$201K -4,391 -2%
Truist Financial
4
Truist Financial
North Carolina
$9.12M +$8.82M +193,061 New
Bank of America
5
Bank of America
North Carolina
$6.72M -$341K -7,458 -5%
Wells Fargo
6
Wells Fargo
California
$6.27M +$1.32M +28,954 +28%
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$4.69M +$680K +14,883 +18%
MI
8
Moneywise Inc
Virginia
$3.39M +$532K +11,644 +19%
RJA
9
Raymond James & Associates
Florida
$2.7M -$49.7K -1,087 -2%
LWS
10
Lucia Wealth Services
California
$2.41M -$370K -8,103 -14%
First Trust Advisors
11
First Trust Advisors
Illinois
$2.14M +$827K +18,102 +67%
BFEC
12
Benjamin F. Edwards & Company
Missouri
$2.05M +$132K +2,880 +7%
UBS Group
13
UBS Group
Switzerland
$2.04M -$65.6K -1,436 -3%
Stifel Financial
14
Stifel Financial
Missouri
$1.95M +$1.21M +26,506 +180%
Susquehanna International Group
15
Susquehanna International Group
Pennsylvania
$1.93M +$94.2K +2,062 +5%
AI
16
Atria Investments
North Carolina
$1.9M +$7.86K +172 +0.4%
KAS
17
Kestra Advisory Services
Texas
$1.8M +$1.74M +38,108 New
MA
18
MONECO Advisors
Connecticut
$1.63M +$248K +5,426 +19%
RJFSA
19
Raymond James Financial Services Advisors
Florida
$1.54M -$435K -9,533 -23%
IAIM
20
International Assets Investment Management
Florida
$1.28M -$244K -5,336 -14%
SPIA
21
Steward Partners Investment Advisory
New York
$1.1M -$4.34K -95 -0.4%
Goldman Sachs
22
Goldman Sachs
New York
$991K -$16.4K -359 -2%
Osaic Holdings
23
Osaic Holdings
Arizona
$983K +$163K +3,578 +21%
MML Investors Services
24
MML Investors Services
Massachusetts
$737K -$102K -2,231 -13%
Cambridge Investment Research Advisors
25
Cambridge Investment Research Advisors
Iowa
$673K -$48.1K -1,052 -7%
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