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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
$30.5M +$364K +5,803 +1%
First Trust Advisors
2
First Trust Advisors
Illinois
$20.4M +$19.5M +310,922 New
Royal Bank of Canada
3
Royal Bank of Canada
Ontario, Canada
$11.7M +$3.06M +48,893 +38%
Morgan Stanley
4
Morgan Stanley
New York
$10.4M -$442K -7,060 -4%
Wells Fargo
5
Wells Fargo
California
$9.86M +$3.86M +61,616 +70%
IA
6
IFP Advisors
Florida
$7.56M -$292K -4,655 -4%
Bank of America
7
Bank of America
North Carolina
$7.39M -$1.77M -28,296 -20%
Cambridge Investment Research Advisors
8
Cambridge Investment Research Advisors
Iowa
$5.62M +$4.27M +68,168 +392%
CIA
9
Concurrent Investment Advisors
Florida
$5.17M -$257K -4,099 -5%
KWM
10
Kingsview Wealth Management
Oregon
$4.08M +$338K +5,389 +10%
RJFSA
11
Raymond James Financial Services Advisors
Florida
$3.97M -$5.48M -87,484 -59%
BFEC
12
Benjamin F. Edwards & Company
Missouri
$3.45M -$37.3K -596 -1%
RJA
13
Raymond James & Associates
Florida
$3.4M -$78.9K -1,260 -2%
PNC Financial Services Group
14
PNC Financial Services Group
Pennsylvania
$3.38M +$175K +2,799 +6%
Envestnet Asset Management
15
Envestnet Asset Management
Illinois
$3.27M -$64.8K -1,034 -2%
BFC
16
Bedel Financial Consulting
Indiana
$3.07M +$101K +1,612 +4%
MI
17
Moneywise Inc
Virginia
$3.01M -$324K -5,169 -10%
EH
18
Equitable Holdings
New York
$2.42M -$61.1K -975 -3%
Cetera Investment Advisers
19
Cetera Investment Advisers
Illinois
$2.41M +$2.3M +36,744 New
UBS Group
20
UBS Group
Switzerland
$2.08M -$9.84K -157 -0.5%
Osaic Holdings
21
Osaic Holdings
Arizona
$1.98M -$127K -2,024 -6%
MA
22
MONECO Advisors
Connecticut
$1.74M -$639K -10,194 -28%
Stifel Financial
23
Stifel Financial
Missouri
$1.55M -$106K -1,688 -7%
US Bancorp
24
US Bancorp
Minnesota
$1.41M +$103K +1,648 +8%
HA
25
HFG Advisors
Ohio
$1.3M +$93.2K +1,488 +8%
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