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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
$27.9M -$2.54M -53,052 -8%
RJFSA
2
Raymond James Financial Services Advisors
Florida
$23.1M +$15.8M +329,282 +168%
Morgan Stanley
3
Morgan Stanley
New York
$20.3M -$5.21M -108,739 -19%
LPL Financial
4
LPL Financial
California
$12.9M -$5.6M -116,915 -29%
GVAG
5
Great Valley Advisor Group
Delaware
$12.5M +$1.16M +24,118 +9%
UBS Group
6
UBS Group
Switzerland
$5.53M +$377K +7,872 +7%
OPOWM
7
One Plus One Wealth Management
Florida
$5.43M -$193K -4,023 -3%
RJA
8
Raymond James & Associates
Florida
$4.48M -$75K -1,566 -2%
First Trust Advisors
9
First Trust Advisors
Illinois
$4.31M -$150K -3,120 -3%
Truist Financial
10
Truist Financial
North Carolina
$3.79M -$28.5K -594 -0.7%
PAG
11
Private Advisor Group
New Jersey
$3.78M -$468K -9,764 -10%
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$3.4M -$805K -16,803 -18%
Stifel Financial
13
Stifel Financial
Missouri
$3.19M +$136K +2,838 +4%
BFEC
14
Benjamin F. Edwards & Company
Missouri
$2.82M +$73.3K +1,530 +2%
HI
15
Harbour Investments
Wisconsin
$2.18M +$2.38M +49,570 New
KWM
16
Kingsview Wealth Management
Oregon
$2.16M +$400K +8,353 +20%
AWS
17
Atria Wealth Solutions
New York
$2.07M -$464K -9,676 -17%
SMF
18
Sterling Manor Financial
New York
$2.03M +$185K +3,861 +9%
Osaic Holdings
19
Osaic Holdings
Arizona
$2.01M -$1.44M -29,997 -40%
SPIA
20
Steward Partners Investment Advisory
New York
$1.55M +$1.69M +35,309 New
TFA
21
Transamerica Financial Advisors
Florida
$1.41M +$1.51M +31,420 +6,629%
Commonwealth Equity Services
22
Commonwealth Equity Services
Massachusetts
$1.21M +$64.2K +1,339 +5%
CFD
23
Creative Financial Designs
Indiana
$1.14M +$28.9K +604 +2%
US Bancorp
24
US Bancorp
Minnesota
$1.03M +$20.6K +430 +2%
TRCT
25
Tower Research Capital (TRC)
New York
$1.01M +$609K +12,705 +123%
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