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First Trust Small Cap Growth AlphaDEX Fund
FYC

Name Holding Trade Value Shares
Change 		Change in
Stake
First Trust Advisors
1
First Trust Advisors
Illinois
$25.1M +$26.7M +444,816 New
LPL Financial
2
LPL Financial
California
$21.8M -$3.28M -54,637 -12%
JAWM
3
J. Arnold Wealth Management
Ohio
$11.2M +$11.9M +198,184 New
Morgan Stanley
4
Morgan Stanley
New York
$8.95M -$1.32M -21,974 -12%
RJFSA
5
Raymond James Financial Services Advisors
Florida
$8.18M -$661K -11,001 -7%
Bank of America
6
Bank of America
North Carolina
$8.1M +$335K +5,580 +4%
Royal Bank of Canada
7
Royal Bank of Canada
Ontario, Canada
$7.36M +$1.41M +23,449 +22%
IA
8
IFP Advisors
Florida
$6.15M +$395K +6,575 +6%
Wells Fargo
9
Wells Fargo
California
$3.73M -$3.97M -66,115 -50%
PNC Financial Services Group
10
PNC Financial Services Group
Pennsylvania
$3.57M +$141K +2,349 +4%
Envestnet Asset Management
11
Envestnet Asset Management
Illinois
$3.27M +$8.65K +144 +0.2%
MI
12
Moneywise Inc
Virginia
$3.14M -$60K -999 -2%
RJA
13
Raymond James & Associates
Florida
$3.09M -$65.9K -1,097 -2%
Osaic Holdings
14
Osaic Holdings
Arizona
$2.61M +$471K +7,837 +20%
BFC
15
Bedel Financial Consulting
Indiana
$2.55M +$91.6K +1,525 +3%
MA
16
MONECO Advisors
Connecticut
$2.49M -$179K -2,984 -6%
KWM
17
Kingsview Wealth Management
Oregon
$2.31M +$123K +2,052 +5%
IWP
18
IAG Wealth Partners
Wisconsin
$2.28M -$69.8K -1,161 -3%
BFEC
19
Benjamin F. Edwards & Company
Missouri
$2.11M -$838K -13,950 -27%
EH
20
Equitable Holdings
New York
$2.07M +$2.4K +40 +0.1%
UBS Group
21
UBS Group
Switzerland
$2.06M +$671K +11,158 +44%
DF
22
Dunhill Financial
United Kingdom
$1.52M +$76.7K +1,277 +5%
Susquehanna International Group
23
Susquehanna International Group
Pennsylvania
$1.46M +$682K +11,346 +78%
MIM
24
MTM Investment Management
South Carolina
$1.08M – – –
SPIA
25
Steward Partners Investment Advisory
New York
$1.06M +$1.2K +20 +0.1%
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