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First Trust Small Cap Value AlphaDEX Fund
FYT

Name Holding Trade Value Shares
Change 		Change in
Stake
LPL Financial
1
LPL Financial
California
$13.6M +$90.3K +1,467 +0.7%
Morgan Stanley
2
Morgan Stanley
New York
$12.6M -$1.13M -18,308 -8%
Cambridge Investment Research Advisors
3
Cambridge Investment Research Advisors
Iowa
$12M +$10.9M +177,385 +1,039%
Wells Fargo
4
Wells Fargo
California
$10.6M -$691K -11,217 -6%
PWS
5
Proactive Wealth Strategies
Georgia
$7.58M +$3.69M +59,926 +96%
KWM
6
Kingsview Wealth Management
Oregon
$7.51M -$521K -8,462 -7%
Raymond James Financial
7
Raymond James Financial
Florida
$6.69M +$3.66M +59,477 +122%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$6.25M -$328K -5,324 -5%
Cetera Investment Advisers
9
Cetera Investment Advisers
Illinois
$3.72M +$263K +4,268 +8%
Truist Financial
10
Truist Financial
North Carolina
$2.95M -$22.8K -370 -0.8%
Envestnet Asset Management
11
Envestnet Asset Management
Illinois
$2.68M -$4.31K -70 -0.2%
Commonwealth Equity Services
12
Commonwealth Equity Services
Massachusetts
$2.19M +$253K +4,111 +13%
UBS Group
13
UBS Group
Switzerland
$2.14M -$48.5K -787 -2%
KAS
14
Kestra Advisory Services
Texas
$2.07M +$76.3K +1,240 +4%
GWP
15
Gateway Wealth Partners
Wisconsin
$1.52M +$769K +12,487 +103%
Susquehanna International Group
16
Susquehanna International Group
Pennsylvania
$1.25M +$944K +15,341 +319%
NL
17
NWAM LLC
Washington
$1.24M +$1.24M +20,089 New
Two Sigma Investments
18
Two Sigma Investments
New York
$956K +$953K +15,475 New
Osaic Holdings
19
Osaic Holdings
Arizona
$822K -$37.4K -608 -4%
Stifel Financial
20
Stifel Financial
Missouri
$756K +$110K +1,793 +17%
PB
21
Pinnacle Bancorp
Nebraska
$755K -$73.9K -1,200 -9%
CPIG
22
Chicago Partners Investment Group
Illinois
$584K +$616 +10 +0.1%
Goldman Sachs
23
Goldman Sachs
New York
$560K +$2.89K +47 +0.5%
TWM
24
TCFG Wealth Management
California
$558K +$985 +16 +0.2%
TIA
25
TCFG Investment Advisors
California
$558K +$556K +9,025 New
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