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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
$132M +$17.6M +176,654 +15%
Raymond James Financial
2
Raymond James Financial
Florida
$52.9M +$10.6M +106,077 +24%
Wells Fargo
3
Wells Fargo
California
$43M +$7.96M +79,900 +22%
Morgan Stanley
4
Morgan Stanley
New York
$38.3M +$10.1M +101,255 +35%
Cetera Investment Advisers
5
Cetera Investment Advisers
Illinois
$28.1M +$3.45M +34,676 +14%
Bank of America
6
Bank of America
North Carolina
$23.7M +$4.26M +42,752 +21%
Stifel Financial
7
Stifel Financial
Missouri
$19.1M +$17.5M +176,094 +858%
Envestnet Asset Management
8
Envestnet Asset Management
Illinois
$18M +$2.62M +26,330 +17%
UBS Group
9
UBS Group
Switzerland
$16.9M +$9M +90,358 +107%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$16.6M +$715K +7,183 +4%
EA
11
Eclectic Associates
California
$15.4M +$530K +5,325 +3%
RIS
12
Richmond Investment Services
Wisconsin
$14.3M +$384K +3,859 +3%
Osaic Holdings
13
Osaic Holdings
Arizona
$9.94M +$931K +9,349 +10%
NWWA
14
New Wave Wealth Advisors
Arkansas
$9.84M -$686K -6,891 -6%
CIA
15
Concurrent Investment Advisors
Florida
$9.73M +$109K +1,098 +1%
IAS
16
Integrity Advisory Solutions
Texas
$9.48M +$9.73M +97,707 New
PNC Financial Services Group
17
PNC Financial Services Group
Pennsylvania
$8.97M +$1.57M +15,746 +21%
Cambridge Investment Research Advisors
18
Cambridge Investment Research Advisors
Iowa
$8.86M +$943K +9,464 +12%
MML Investors Services
19
MML Investors Services
Massachusetts
$8.51M +$2.09M +21,033 +32%
IA
20
IFP Advisors
Florida
$8.42M -$196K -1,970 -2%
BFC
21
Bedel Financial Consulting
Indiana
$7.48M +$272K +2,731 +4%
Baird Financial Group
22
Baird Financial Group
Wisconsin
$7.07M +$5.45M +54,755 +301%
Two Sigma Investments
23
Two Sigma Investments
New York
$6.57M +$6.74M +67,700 New
Northwestern Mutual Wealth Management
24
Northwestern Mutual Wealth Management
Wisconsin
$5.9M +$1.75M +17,535 +40%
EH
25
Equitable Holdings
New York
$5.53M +$163K +1,636 +3%