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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
$39.9M +$4.59M +65,383 +14%
Wells Fargo
2
Wells Fargo
California
$19.1M +$6.54M +93,272 +57%
First Trust Advisors
3
First Trust Advisors
Illinois
$18.8M -$1.29M -18,335 -7%
Morgan Stanley
4
Morgan Stanley
New York
$14.3M +$1.76M +25,137 +15%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$9.96M -$2.56M -36,514 -21%
Bank of America
6
Bank of America
North Carolina
$9.57M +$1.11M +15,869 +14%
KWM
7
Kingsview Wealth Management
Oregon
$7.13M +$2.34M +33,379 +53%
HOWA
8
Heritage Oak Wealth Advisors
Florida
$7.13M +$6.72M +95,843 New
NWWA
9
New Wave Wealth Advisors
Arkansas
$7.13M +$6.72M +95,843 New
IA
10
IFP Advisors
Florida
$6.92M -$1.2M -17,164 -16%
Cambridge Investment Research Advisors
11
Cambridge Investment Research Advisors
Iowa
$6.44M -$49.8K -710 -0.8%
Cetera Investment Advisers
12
Cetera Investment Advisers
Illinois
$6.38M +$2.03M +28,950 +51%
CIA
13
Concurrent Investment Advisors
Florida
$5.9M -$17.6K -251 -0.3%
RJA
14
Raymond James & Associates
Florida
$5.84M +$1.89M +26,945 +52%
RJFSA
15
Raymond James Financial Services Advisors
Florida
$4.59M +$45.2K +644 +1%
Envestnet Asset Management
16
Envestnet Asset Management
Illinois
$3.98M +$219K +3,124 +6%
BFC
17
Bedel Financial Consulting
Indiana
$3.79M +$150K +2,136 +4%
Stifel Financial
18
Stifel Financial
Missouri
$3.76M +$1.86M +26,577 +111%
PNC Financial Services Group
19
PNC Financial Services Group
Pennsylvania
$3.76M +$21.5K +306 +0.6%
BEI
20
Benjamin Edwards Inc
Missouri
$3.53M +$3.32M +47,381 New
MI
21
Moneywise Inc
Virginia
$2.87M -$230K -3,279 -8%
EH
22
Equitable Holdings
New York
$2.6M -$202K -2,875 -8%
UBS Group
23
UBS Group
Switzerland
$2.55M -$23K -328 -0.9%
Osaic Holdings
24
Osaic Holdings
Arizona
$1.69M +$6.59K +94 +0.4%
US Bancorp
25
US Bancorp
Minnesota
$1.66M +$47K +670 +3%
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