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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
$114M +$33.6M +356,030 +43%
Raymond James Financial
2
Raymond James Financial
Florida
$42.2M +$10.8M +114,644 +35%
Wells Fargo
3
Wells Fargo
California
$35M +$7.68M +81,435 +29%
Morgan Stanley
4
Morgan Stanley
New York
$28.2M +$3.91M +41,469 +16%
Cetera Investment Advisers
5
Cetera Investment Advisers
Illinois
$24.5M +$2.88M +30,536 +14%
First Trust Advisors
6
First Trust Advisors
Illinois
$20.8M -$2.78M -29,436 -12%
Bank of America
7
Bank of America
North Carolina
$19.4M +$600K +6,360 +3%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$15.8M +$1.9M +20,178 +14%
Envestnet Asset Management
9
Envestnet Asset Management
Illinois
$15.3M +$1.2M +12,739 +9%
EA
10
Eclectic Associates
California
$14.8M +$369K +3,916 +3%
RIS
11
Richmond Investment Services
Wisconsin
$13.8M +$338K +3,584 +3%
NWWA
12
New Wave Wealth Advisors
Arkansas
$10.4M +$120K +1,269 +1%
CIA
13
Concurrent Investment Advisors
Florida
$9.54M +$60.7K +643 +0.7%
Osaic Holdings
14
Osaic Holdings
Arizona
$8.95M +$1.81M +19,190 +26%
IA
15
IFP Advisors
Florida
$8.54M -$52.1K -552 -0.6%
UBS Group
16
UBS Group
Switzerland
$8.1M +$2.64M +27,941 +50%
Cambridge Investment Research Advisors
17
Cambridge Investment Research Advisors
Iowa
$7.87M +$3.27M +34,701 +74%
PNC Financial Services Group
18
PNC Financial Services Group
Pennsylvania
$7.38M +$1.26M +13,368 +21%
BFC
19
Bedel Financial Consulting
Indiana
$7.16M +$76.6K +812 +1%
MML Investors Services
20
MML Investors Services
Massachusetts
$6.41M +$80.2K +850 +1%
EH
21
Equitable Holdings
New York
$5.37M -$307K -3,255 -6%
RWA
22
Redhawk Wealth Advisors
Minnesota
$4.67M -$1.42M -15,004 -24%
IWC
23
Integrated Wealth Concepts
Massachusetts
$4.59M -$472 -5 -0%
FMI
24
Financial Management Inc
Arkansas
$4.47M +$4.39M +46,511 New
Janney Montgomery Scott
25
Janney Montgomery Scott
Pennsylvania
$4.33M +$1.47M +15,631 +53%