First Trust Exchange-Traded AlphaDEX Fund - First Trust Multi Cap Growth AlphaDEX Fund
US ˙ NasdaqGM ˙ US33733F1012

SecurityFAD / First Trust Exchange-Traded AlphaDEX Fund - First Trust Multi Cap Growth AlphaDEX Fund
InstitutionCommonwealth Equity Services, Inc
Latest Disclosed Ownership29,438 shares
Latest Disclosed Value $ 1,815,000
Commonwealth Equity Services, Inc reports 0.84% increase in ownership of FAD / First Trust Exchange-Traded AlphaDEX Fund - First Trust Multi Cap Growth AlphaDEX Fund

On February 16, 2018 - Commonwealth Equity Services, Inc filed a 13F-HR/A form disclosing ownership of 29,438 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Multi Cap Growth AlphaDEX Fund (US:FAD) valued at $1,814,558 USD as of September 30, 2017. The entity filed a previous 13F-HR/A on February 16, 2018 disclosing 29,194 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Multi Cap Growth AlphaDEX Fund. This represents a change in shares of 0.84% during the quarter. The current value of the position is $5,390,348 USD.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2018-02-16 2017-09-30 13F/A-1 FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 29,438 244 0.84 1,815 6.58 0.0109
2017-11-07 2017-09-30 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 29,438 245 1,814
2018-02-16 2017-06-30 13F/A-1 FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 29,194 -919 -3.05 1,703 0.59 0.0108
2017-08-11 2017-06-30 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 29,193 -920 1,703
2018-02-16 2017-03-31 13F/A-1 FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 30,113 882 3.02 1,693 10.65 0.0113
2017-05-15 2017-03-31 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 30,113 882 1,693
2018-02-16 2016-12-31 13F/A-1 FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 29,231 -1,266 -4.15 1,530 -5.20 0.0113
2017-02-01 2016-12-31 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 29,231 1,530
2016-10-25 2016-09-30 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 30,497 3,293 12.10 1,614 15.87 0.0128
2016-08-04 2016-06-30 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 27,204 343 1.28 1,393 4.74 0.0117
2016-04-27 2016-03-31 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 26,861 554 2.11 1,330 1.68 0.0119
2016-01-19 2015-12-31 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 26,307 615 2.39 1,308 7.57 0.0124
2015-10-27 2015-09-30 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 25,692 1,608 6.68 1,216 -1.06 0.0128
2015-07-28 2015-06-30 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 24,084 126 0.53 1,229 0.16 0.0122
2015-04-28 2015-03-31 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 23,958 10,412 76.86 1,227 85.35 0.0127
2015-01-13 2014-12-31 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 13,546 4,662 52.48 662 63.86 0.0074
2014-10-17 2014-09-30 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 8,884 3,581 67.53 404 62.25 0.0049
2014-07-23 2014-06-30 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 5,303 1 0.02 249 3.32 0.0030
2014-05-07 2014-03-31 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 5,302 -393 -6.90 241 -6.23 0.0033
2014-02-11 2013-12-31 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 5,695 771 15.66 257 27.23 0.0037
2013-11-04 2013-09-30 13F FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 4,924 202
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.