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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
$53.4M +$5.7M +79,356 +13%
Morgan Stanley
2
Morgan Stanley
New York
$38M -$392K -5,460 -1%
Wells Fargo
3
Wells Fargo
California
$25M -$4.02M -55,914 -15%
First Trust Advisors
4
First Trust Advisors
Illinois
$20.3M +$506K +7,042 +3%
Bank of America
5
Bank of America
North Carolina
$19.6M +$8.51M +118,450 +93%
Cetera Investment Advisers
6
Cetera Investment Advisers
Illinois
$15.2M +$2.62M +36,449 +24%
EA
7
Eclectic Associates
California
$11.4M +$562K +7,824 +6%
RIS
8
Richmond Investment Services
Wisconsin
$10.8M +$4.98M +69,359 +104%
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$10.5M +$83.9K +1,168 +0.9%
Raymond James Financial
10
Raymond James Financial
Florida
$10.3M -$20.8K -290 -0.2%
CIA
11
Concurrent Investment Advisors
Florida
$7.9M -$68.9K -959 -1%
NWWA
12
New Wave Wealth Advisors
Arkansas
$7.6M -$144K -2,003 -2%
IA
13
IFP Advisors
Florida
$7.24M +$270K +3,762 +4%
BAS
14
Brueske Advisory Services
Washington
$7.15M -$458K -6,371 -7%
KWM
15
Kingsview Wealth Management
Oregon
$5.91M -$109K -1,522 -2%
BFC
16
Bedel Financial Consulting
Indiana
$5.66M +$1.79K +25 +0%
Stifel Financial
17
Stifel Financial
Missouri
$5.27M -$4.9M -68,159 -51%
Envestnet Asset Management
18
Envestnet Asset Management
Illinois
$4.9M -$1.37M -19,088 -24%
EH
19
Equitable Holdings
New York
$4.62M +$340K +4,733 +9%
PNC Financial Services Group
20
PNC Financial Services Group
Pennsylvania
$4.33M -$324K -4,505 -8%
Osaic Holdings
21
Osaic Holdings
Arizona
$3.11M +$425K +5,914 +18%
UBS Group
22
UBS Group
Switzerland
$2.98M -$67.4K -938 -2%
Cambridge Investment Research Advisors
23
Cambridge Investment Research Advisors
Iowa
$2.91M +$151K +2,098 +6%
Two Sigma Investments
24
Two Sigma Investments
New York
$2.24M +$2.02M +28,100 New
Commonwealth Equity Services
25
Commonwealth Equity Services
Massachusetts
$2.16M +$405K +5,642 +26%