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First Trust Small Cap Growth AlphaDEX Fund
FYC

Name Holding Trade Value Shares
Change 		Change in
Stake
LPL Financial
1
LPL Financial
California
$36.5M +$17.3M +246,045 +89%
Wells Fargo
2
Wells Fargo
California
$32.3M +$21.1M +299,128 +181%
Morgan Stanley
3
Morgan Stanley
New York
$27.5M +$7.47M +106,136 +37%
Truist Financial
4
Truist Financial
North Carolina
$21.3M +$9.17M +130,278 +74%
First Trust Advisors
5
First Trust Advisors
Illinois
$17.7M -$1.34M -19,034 -7%
JAWM
6
J. Arnold Wealth Management
Ohio
$15M +$15M +213,147 +7,992%
RJFSA
7
Raymond James Financial Services Advisors
Florida
$14.1M +$9.72M +138,112 +213%
BFEC
8
Benjamin F. Edwards & Company
Missouri
$9.95M +$1.27M +18,003 +14%
RJA
9
Raymond James & Associates
Florida
$9.28M +$5.39M +76,582 +135%
Bank of America
10
Bank of America
North Carolina
$8.6M -$655K -9,301 -7%
Stifel Financial
11
Stifel Financial
Missouri
$8.41M +$969K +13,766 +13%
PFA
12
Plotkin Financial Advisors
Maryland
$6.7M +$6.76M +96,105 New
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$6.44M -$1.05M -14,922 -14%
UBS Group
14
UBS Group
Switzerland
$6.3M +$2.29M +32,560 +56%
MI
15
Moneywise Inc
Virginia
$5.66M -$29K -412 -0.5%
CAG
16
Csenge Advisory Group
Florida
$5.19M +$5.19M +73,797 New
SG
17
Strid Group
Pennsylvania
$3.71M -$492K -6,988 -12%
MIAN
18
Mariner Independent Advisor Network
Kansas
$3.54M +$54.3K +772 +2%
SPIA
19
Steward Partners Investment Advisory
New York
$3.34M -$247K -3,515 -7%
IAIM
20
International Assets Investment Management
Florida
$3.2M +$2.11M +30,026 +100%
Osaic Holdings
21
Osaic Holdings
Arizona
$3.18M +$709K +10,077 +28%
AI
22
Atria Investments
North Carolina
$3M +$270K +3,841 +10%
Cambridge Investment Research Advisors
23
Cambridge Investment Research Advisors
Iowa
$2.86M +$1.74M +24,784 +152%
MA
24
MONECO Advisors
Connecticut
$2.75M -$38.7K -550 -1%
SPC
25
Sigma Planning Corp
Michigan
$2.37M +$2.16M +30,687 +929%
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