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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
$31M +$457K +7,033 +2%
First Trust Advisors
2
First Trust Advisors
Illinois
$17.8M -$2.61M -40,154 -13%
Royal Bank of Canada
3
Royal Bank of Canada
Ontario, Canada
$11.2M -$460K -7,070 -4%
Morgan Stanley
4
Morgan Stanley
New York
$11M +$587K +9,027 +6%
Wells Fargo
5
Wells Fargo
California
$10.7M +$827K +12,729 +8%
Bank of America
6
Bank of America
North Carolina
$7.43M +$23.3K +359 +0.3%
IA
7
IFP Advisors
Florida
$7.26M -$314K -4,832 -4%
Cambridge Investment Research Advisors
8
Cambridge Investment Research Advisors
Iowa
$5.75M +$111K +1,715 +2%
CIA
9
Concurrent Investment Advisors
Florida
$5.24M +$52.5K +808 +1%
KWM
10
Kingsview Wealth Management
Oregon
$4.12M +$30K +461 +0.7%
RJFSA
11
Raymond James Financial Services Advisors
Florida
$4.03M +$43.8K +674 +1%
Cetera Investment Advisers
12
Cetera Investment Advisers
Illinois
$3.75M +$1.31M +20,158 +55%
BFEC
13
Benjamin F. Edwards & Company
Missouri
$3.46M +$6.44K +99 +0.2%
RJA
14
Raymond James & Associates
Florida
$3.4M -$16.6K -255 -0.5%
Envestnet Asset Management
15
Envestnet Asset Management
Illinois
$3.32M +$44.5K +684 +1%
PNC Financial Services Group
16
PNC Financial Services Group
Pennsylvania
$3.31M -$75.1K -1,155 -2%
BFC
17
Bedel Financial Consulting
Indiana
$3.22M +$139K +2,141 +5%
MI
18
Moneywise Inc
Virginia
$2.76M -$255K -3,916 -9%
EH
19
Equitable Holdings
New York
$2.5M +$71.5K +1,100 +3%
Susquehanna International Group
20
Susquehanna International Group
Pennsylvania
$2.34M +$2.3M +35,453 New
UBS Group
21
UBS Group
Switzerland
$2.28M +$187K +2,877 +9%
Stifel Financial
22
Stifel Financial
Missouri
$1.58M +$27.4K +421 +2%
Osaic Holdings
23
Osaic Holdings
Arizona
$1.49M -$483K -7,436 -25%
US Bancorp
24
US Bancorp
Minnesota
$1.42M +$7.41K +114 +0.5%
MA
25
MONECO Advisors
Connecticut
$1.41M -$327K -5,026 -19%
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