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First Trust Small Cap Value AlphaDEX Fund
FYT

Name Holding Trade Value Shares
Change 		Change in
Stake
Wells Fargo
1
Wells Fargo
California
$32.6M +$19.5M +413,281 +176%
Truist Financial
2
Truist Financial
North Carolina
$22.6M -$789K -16,670 -4%
LPL Financial
3
LPL Financial
California
$16.3M +$7.19M +152,017 +88%
Morgan Stanley
4
Morgan Stanley
New York
$13.1M +$3.55M +74,948 +40%
RJFSA
5
Raymond James Financial Services Advisors
Florida
$12.2M +$8.41M +177,883 +275%
GVAG
6
Great Valley Advisor Group
Delaware
$9.72M +$339K +7,175 +4%
OPOWM
7
One Plus One Wealth Management
Florida
$7.86M +$7.39M +156,294 New
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$5.72M +$2.96M +62,476 +122%
SPC
9
Sigma Planning Corp
Michigan
$5.61M +$5.28M +111,596 New
RJA
10
Raymond James & Associates
Florida
$5.41M +$3.68M +77,692 +261%
UBS Group
11
UBS Group
Switzerland
$5.24M +$1.97M +41,597 +66%
First Trust Advisors
12
First Trust Advisors
Illinois
$5.05M +$4.75M +100,338 New
Commonwealth Equity Services
13
Commonwealth Equity Services
Massachusetts
$5.02M +$1.16M +24,473 +32%
PAG
14
Private Advisor Group
New Jersey
$4.66M +$4.38M +92,552 New
BFEC
15
Benjamin F. Edwards & Company
Missouri
$4.24M +$2.45M +51,775 +159%
SMF
16
Sterling Manor Financial
New York
$3.52M -$900K -19,028 -21%
BCM
17
Brookstone Capital Management
Illinois
$3.4M +$1.52M +32,220 +91%
PAG
18
Private Advisory Group
Washington
$3M +$2.82M +59,684 New
HIS
19
Harvest Investment Services
Illinois
$2.38M +$2.24M +47,321 New
Stifel Financial
20
Stifel Financial
Missouri
$2.33M +$1.22M +25,869 +127%
SWP
21
Stratos Wealth Partners
Ohio
$2M +$1.89M +39,859 New
Osaic Holdings
22
Osaic Holdings
Arizona
$1.82M +$998K +21,099 +140%
KWM
23
Kingsview Wealth Management
Oregon
$1.51M +$370K +7,827 +36%
Envestnet Asset Management
24
Envestnet Asset Management
Illinois
$1.39M +$890K +18,806 +215%
US Bancorp
25
US Bancorp
Minnesota
$1.36M -$39.3K -831 -3%
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