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First Trust Small Cap Growth AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
LPL Financial
1
LPL Financial
California
$28.8M +$4.03M +70,903 +18%
JAWM
2
J. Arnold Wealth Management
Ohio
$13.1M +$608K +10,694 +5%
Morgan Stanley
3
Morgan Stanley
New York
$10.4M +$384K +6,761 +4%
RJFSA
4
Raymond James Financial Services Advisors
Florida
$9.31M +$156K +2,749 +2%
Bank of America
5
Bank of America
North Carolina
$8.85M -$166K -2,927 -2%
Royal Bank of Canada
6
Royal Bank of Canada
Ontario, Canada
$8.09M -$112K -1,963 -2%
IA
7
IFP Advisors
Florida
$7.53M +$599K +10,531 +10%
Wells Fargo
8
Wells Fargo
California
$5.57M +$1.27M +22,355 +34%
CIA
9
Concurrent Investment Advisors
Florida
$5.21M +$4.71M +82,864 New
KWM
10
Kingsview Wealth Management
Oregon
$3.57M +$894K +15,718 +38%
RJA
11
Raymond James & Associates
Florida
$3.34M -$98.8K -1,738 -3%
BFEC
12
Benjamin F. Edwards & Company
Missouri
$3.34M +$889K +15,627 +42%
MI
13
Moneywise Inc
Virginia
$3.21M -$275K -4,832 -9%
Envestnet Asset Management
14
Envestnet Asset Management
Illinois
$3.19M -$417K -7,332 -13%
PNC Financial Services Group
15
PNC Financial Services Group
Pennsylvania
$3.06M -$843K -14,827 -23%
BFC
16
Bedel Financial Consulting
Indiana
$2.84M -$12.4K -218 -0.5%
EH
17
Equitable Holdings
New York
$2.38M +$60.8K +1,070 +3%
MA
18
MONECO Advisors
Connecticut
$2.31M -$426K -7,491 -17%
Osaic Holdings
19
Osaic Holdings
Arizona
$2.02M -$807K -14,196 -31%
UBS Group
20
UBS Group
Switzerland
$2.01M -$262K -4,599 -13%
CAN
21
Cetera Advisor Networks
California
$1.62M +$601K +10,561 +70%
Stifel Financial
22
Stifel Financial
Missouri
$1.59M +$825K +14,504 +134%
US Bancorp
23
US Bancorp
Minnesota
$1.25M +$65.5K +1,151 +6%
MIM
24
MTM Investment Management
South Carolina
$1.16M -$43.6K -767 -4%
SPIA
25
Steward Partners Investment Advisory
New York
$1.15M -$27.9K -490 -3%