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First Trust Small Cap Value AlphaDEX Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Wells Fargo
1
Wells Fargo
California
$41.3M +$8.49M +163,668 +25%
Morgan Stanley
2
Morgan Stanley
New York
$27.9M +$14.9M +287,955 +110%
LPL Financial
3
LPL Financial
California
$25.6M +$9.24M +178,036 +55%
Truist Financial
4
Truist Financial
North Carolina
$20.3M -$2.59M -49,967 -11%
RJFSA
5
Raymond James Financial Services Advisors
Florida
$14.8M +$2.5M +48,288 +20%
GVAG
6
Great Valley Advisor Group
Delaware
$10.2M +$347K +6,693 +3%
Stifel Financial
7
Stifel Financial
Missouri
$8.69M +$6.45M +124,350 +269%
OPOWM
8
One Plus One Wealth Management
Florida
$6.88M -$1.1M -21,280 -14%
PAG
9
Private Advisor Group
New Jersey
$6.1M +$1.42M +27,299 +29%
First Trust Advisors
10
First Trust Advisors
Illinois
$6.1M +$1.01M +19,479 +19%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$5.83M +$36.1K +696 +0.6%
RJA
12
Raymond James & Associates
Florida
$5.37M -$104K -1,997 -2%
Commonwealth Equity Services
13
Commonwealth Equity Services
Massachusetts
$4.89M -$201K -3,883 -4%
BFEC
14
Benjamin F. Edwards & Company
Missouri
$4.39M +$103K +1,990 +2%
SPC
15
Sigma Planning Corp
Michigan
$4.3M -$1.41M -27,180 -24%
SMF
16
Sterling Manor Financial
New York
$4.14M +$580K +11,184 +16%
UBS Group
17
UBS Group
Switzerland
$3.24M -$2.11M -40,596 -39%
HR
18
Hayden Royal
North Carolina
$3.2M +$2.16M +41,699 +197%
Osaic Holdings
19
Osaic Holdings
Arizona
$3.12M +$1.3M +24,976 +69%
PAG
20
Private Advisory Group
Washington
$3.04M -$1.04K -20 -0%
Baird Financial Group
21
Baird Financial Group
Wisconsin
$2.35M +$2.4M +46,240 New
SWP
22
Stratos Wealth Partners
Ohio
$2.33M +$305K +5,888 +15%
HIS
23
Harvest Investment Services
Illinois
$2.27M -$136K -2,626 -6%
KWM
24
Kingsview Wealth Management
Oregon
$2.01M +$489K +9,429 +32%
Envestnet Asset Management
25
Envestnet Asset Management
Illinois
$1.64M +$239K +4,613 +17%