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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
$17.8M +$1.34M +24,681 +9%
LPL Financial
2
LPL Financial
California
$17.1M +$4.58M +84,207 +44%
First Trust Advisors
3
First Trust Advisors
Illinois
$16.8M +$12.3M +227,143 +502%
Truist Financial
4
Truist Financial
North Carolina
$10.9M -$928K -17,070 -9%
Wells Fargo
5
Wells Fargo
California
$10.2M +$1.76M +32,448 +24%
Bank of America
6
Bank of America
North Carolina
$8.19M -$509K -9,361 -7%
BFEC
7
Benjamin F. Edwards & Company
Missouri
$7.7M +$4.43M +81,504 +188%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$6.62M +$445K +8,188 +8%
Stifel Financial
9
Stifel Financial
Missouri
$6.59M +$3.57M +65,713 +160%
MI
10
Moneywise Inc
Virginia
$5.04M +$544K +10,001 +14%
RJFSA
11
Raymond James Financial Services Advisors
Florida
$4M +$1.75M +32,256 +99%
SG
12
Strid Group
Pennsylvania
$3.71M -$8.52M -156,699 -72%
UBS Group
13
UBS Group
Switzerland
$3.57M +$796K +14,638 +34%
RJA
14
Raymond James & Associates
Florida
$3.5M -$29K -533 -0.9%
SPIA
15
Steward Partners Investment Advisory
New York
$3.18M +$1.53M +28,104 +120%
MIAN
16
Mariner Independent Advisor Network
Kansas
$3.09M +$2.72M +50,084 New
KAS
17
Kestra Advisory Services
Texas
$2.79M +$374K +6,887 +18%
MA
18
MONECO Advisors
Connecticut
$2.69M +$296K +5,447 +16%
AI
19
Atria Investments
North Carolina
$2.42M -$54.5K -1,003 -2%
SMF
20
Sterling Manor Financial
New York
$2.31M +$2.04M +37,469 New
Osaic Holdings
21
Osaic Holdings
Arizona
$2.19M +$792K +14,578 +70%
IAIM
22
International Assets Investment Management
Florida
$1.5M -$181K -3,333 -10%
Susquehanna International Group
23
Susquehanna International Group
Pennsylvania
$1.1M -$1.24M -22,891 -56%
MIM
24
MTM Investment Management
South Carolina
$1.09M +$962K +17,702 New
PNC Financial Services Group
25
PNC Financial Services Group
Pennsylvania
$1.03M +$222K +4,077 +32%
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