First Trust Small Cap Growth AlphaDEX Fund Major Shareholders & Ownership History
| Major Shareholder Name | Reporting Date | Shares Held | Market Value | Change in Shares | Ownership |
|---|---|---|---|---|---|
| LPL FINANCIAL LLC | 08/07/2026 | 1.50 M | $191.49 M | 10.55% | 13.73% |
| RAYMOND JAMES FINANCIAL INC | 08/14/2026 | 649.98 K | $82.77 M | 19.27% | 5.94% |
| MORGAN STANLEY | 08/13/2026 | 606.27 K | $77.20 M | 53.66% | 5.54% |
| WELLS FARGO & COMPANY/MN | 08/14/2026 | 472.35 K | $60.15 M | 6.49% | 4.31% |
| CETERA INVESTMENT ADVISERS | 08/12/2026 | 313.22 K | $39.88 M | 8.12% | 2.86% |
| BANK OF AMERICA CORP /DE/ | 08/14/2026 | 248.57 K | $31.65 M | 1.76% | 2.27% |
| STIFEL FINANCIAL CORP | 08/12/2026 | 196.71 K | $25.05 M | 0.05% | 1.80% |
| ENVESTNET ASSET MANAGEMENT INC | 08/03/2026 | 193.05 K | $24.58 M | 4.11% | 1.76% |
| ROYAL BANK OF CANADA | 08/14/2026 | 175.63 K | $22.36 M | 2.62% | 1.60% |
| ECLECTIC ASSOCIATES INC /ADV | 07/07/2026 | 158.29 K | $20.16 M | -0.60% | 1.45% |
| ADVISOR GROUP HOLDINGS, INC. | 08/14/2026 | 156.28 K | $19.90 M | 52.49% | 1.43% |
| UBS GROUP AG | 08/13/2026 | 154.86 K | $19.72 M | -11.31% | 1.41% |
| BAIRD FINANCIAL GROUP, INC. | 08/12/2026 | 124.07 K | $15.80 M | 70.15% | 1.13% |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | 08/12/2026 | 112.87 K | $14.37 M | 85.44% | 1.03% |
| NEW WAVE WEALTH ADVISORS LLC | 07/23/2026 | 102.39 K | $13.04 M | 0.91% | 0.94% |
| MML INVESTORS SERVICES, LLC | 08/07/2026 | 100.22 K | $12.76 M | 14.23% | 0.92% |
| PNC FINANCIAL SERVICES GROUP, INC. | 08/07/2026 | 99.87 K | $12.72 M | 7.95% | 0.91% |
| INTEGRITY ADVISORY SOLUTIONS, LLC | 07/31/2026 | 99.49 K | $12.67 M | 1.82% | 0.91% |
| CONCURRENT INVESTMENT ADVISORS, LLC | 07/27/2026 | 99.02 K | $12.61 M | -1.35% | 0.90% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 07/30/2026 | 95.48 K | $12.16 M | 4.57% | 0.87% |
| IFP ADVISORS, INC | 07/20/2026 | 90.82 K | $11.57 M | 4.58% | 0.83% |
| BEDEL FINANCIAL CONSULTING, INC. | 07/29/2026 | 78.03 K | $9.94 M | 1.11% | 0.71% |
| RICHMOND INVESTMENT SERVICES, LLC | 07/27/2026 | 77.15 K | $9.82 M | -47.50% | 0.70% |
| MOUNT YALE INVESTMENT ADVISORS, LLC | 08/12/2026 | 75.50 K | $9.61 M | 100.00% | 0.69% |
| VESTMARK ADVISORY SOLUTIONS, INC. | 08/14/2026 | 75.24 K | $9.58 M | 100.00% | 0.69% |
| JONES FINANCIAL COMPANIES LLLP | 08/14/2026 | 64.32 K | $7.98 M | 25.66% | 0.59% |
| WARNER GROUP LLC | 07/27/2026 | 63.77 K | $8.12 M | 234.43% | 0.58% |
| JANNEY MONTGOMERY SCOTT LLC | 08/05/2026 | 59.02 K | $7.52 M | 11.18% | 0.54% |
| EQUITABLE HOLDINGS, INC. | 08/17/2026 | 54.97 K | $7.00 M | -4.42% | 0.50% |
| COMMONWEALTH EQUITY SERVICES, LLC | 07/29/2026 | 53.63 K | $6.83 M | 16.35% | 0.49% |
| STEWARD PARTNERS INVESTMENT ADVISORY, LLC | 08/13/2026 | 48.90 K | $6.23 M | 31.01% | 0.45% |
| FINANCIAL MANAGEMENT, INC. | 08/12/2026 | 48.57 K | $6.18 M | 1.07% | 0.44% |
| KINGSVIEW WEALTH MANAGEMENT, LLC | 08/19/2026 | 46.30 K | $5.90 M | 6.52% | 0.42% |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | 08/14/2026 | 45.36 K | $5.78 M | 65.17% | 0.41% |
| INTEGRATED WEALTH CONCEPTS LLC | 09/09/2026 | 45.22 K | $5.76 M | -8.67% | 0.41% |
| GREENUP STREET WEALTH MANAGEMENT LLC | 07/27/2026 | 41.63 K | $5.30 M | 2.74% | 0.38% |
| REDHAWK WEALTH ADVISORS, INC. | 07/09/2026 | 39.72 K | $5.06 M | 100.00% | 0.36% |
| WILEY BROS.-AINTREE CAPITAL, LLC | 08/14/2026 | 37.94 K | $4.83 M | 5.70% | 0.35% |
| PALLER FINANCIAL SERVICES INC | 07/07/2026 | 30.26 K | $3.85 M | -4.81% | 0.28% |
| CITADEL ADVISORS LLC | 09/02/2026 | 27.64 K | $3.52 M | 117.48% | 0.25% |
| CARY STREET PARTNERS FINANCIAL LLC | 07/17/2026 | 27.28 K | $3.47 M | 100.00% | 0.25% |
| HARBOUR INVESTMENTS, INC. | 08/12/2026 | 26.06 K | $3.32 M | 1.40% | 0.24% |
| ROMAN BUTLER FULLERTON & CO | 08/06/2026 | 25.43 K | $3.06 M | 100.00% | 0.23% |
| HFG ADVISORS, INC. | 08/07/2026 | 23.78 K | $3.03 M | 2.84% | 0.22% |
| PROACTIVE WEALTH STRATEGIES LLC | 08/10/2026 | 23.02 K | $2.93 M | 5.57% | 0.21% |
| STORYONE LLC | 07/24/2026 | 22.63 K | $2.88 M | 100.00% | 0.21% |
| US BANCORP \DE\ | 08/12/2026 | 22.01 K | $2.81 M | 38.22% | 0.20% |
| KESTRA ADVISORY SERVICES, LLC | 07/28/2026 | 21.47 K | $2.73 M | 6.65% | 0.20% |
| GENEOS WEALTH MANAGEMENT INC. | 08/06/2026 | 20.03 K | $2.55 M | -2.51% | 0.18% |
| CERTIFIED ADVISORY CORP | 07/16/2026 | 19.57 K | $2.49 M | -0.35% | 0.18% |
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First Trust Small Cap Growth AlphaDEX Fund institutional Ownership - FAQ's
During the previous two years, 218 institutional investors and hedge funds held shares of First Trust Small Cap Growth AlphaDEX Fund. The most heavily invested institutionals were:
LPL Financial LLC: 1.5 M
RAYMOND JAMES FINANCIAL INC: 649,982
MORGAN STANLEY: 606,270
WELLS FARGO & COMPANY/MN: 472,349
Cetera Investment Advisers: 313,216
BANK OF AMERICA CORP /DE/: 248,567
69.28% of First Trust Small Cap Growth AlphaDEX Fund stock is owned by institutional investors.
Institutional investors have bought a total of 8.29 M shares in the last 24 months. This purchase volume represents approximately $814.74 M in transactions.