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 | 05/06/2026 | 1.36 M | $131.92 M | 14.92% | 14.71% |
| RAYMOND JAMES FINANCIAL INC | 05/14/2026 | 544.96 K | $52.85 M | 24.17% | 5.89% |
| WELLS FARGO & COMPANY/MN | 05/11/2026 | 443.57 K | $43.02 M | 21.97% | 4.80% |
| MORGAN STANLEY | 05/15/2026 | 394.55 K | $38.26 M | 34.52% | 4.27% |
| CETERA INVESTMENT ADVISERS | 05/13/2026 | 289.68 K | $28.09 M | 13.60% | 3.13% |
| BANK OF AMERICA CORP /DE/ | 05/18/2026 | 244.27 K | $23.69 M | 21.22% | 2.64% |
| STIFEL FINANCIAL CORP | 05/12/2026 | 196.61 K | $19.07 M | 858.20% | 2.13% |
| ENVESTNET ASSET MANAGEMENT INC | 05/04/2026 | 185.43 K | $17.98 M | 16.55% | 2.00% |
| UBS GROUP AG | 05/05/2026 | 174.61 K | $16.93 M | 107.24% | 1.89% |
| ROYAL BANK OF CANADA | 05/15/2026 | 171.14 K | $16.60 M | 4.38% | 1.85% |
| ECLECTIC ASSOCIATES INC /ADV | 04/08/2026 | 159.24 K | $15.44 M | 3.46% | 1.72% |
| RICHMOND INVESTMENT SERVICES, LLC | 04/29/2026 | 146.94 K | $14.25 M | 2.70% | 1.59% |
| ADVISOR GROUP HOLDINGS, INC. | 05/15/2026 | 102.49 K | $9.94 M | 10.04% | 1.11% |
| NEW WAVE WEALTH ADVISORS LLC | 05/04/2026 | 101.46 K | $9.84 M | -6.36% | 1.10% |
| CONCURRENT INVESTMENT ADVISORS, LLC | 04/21/2026 | 100.38 K | $9.73 M | 1.11% | 1.09% |
| 05/11/2026 | 97.71 K | $9.48 M | 100.00% | 1.06% | |
| PNC FINANCIAL SERVICES GROUP, INC. | 05/08/2026 | 92.52 K | $8.97 M | 20.51% | 1.00% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 04/30/2026 | 91.31 K | $8.86 M | 11.56% | 0.99% |
| MML INVESTORS SERVICES, LLC | 05/04/2026 | 87.74 K | $8.51 M | 31.53% | 0.95% |
| IFP ADVISORS, INC | 04/13/2026 | 86.85 K | $8.42 M | -2.22% | 0.94% |
| BEDEL FINANCIAL CONSULTING, INC. | 05/04/2026 | 77.17 K | $7.48 M | 3.67% | 0.83% |
| BAIRD FINANCIAL GROUP, INC. | 05/14/2026 | 72.92 K | $7.07 M | 301.48% | 0.79% |
| TWO SIGMA INVESTMENTS, LP | 05/15/2026 | 67.70 K | $6.57 M | 100.00% | 0.73% |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | 05/07/2026 | 60.86 K | $5.90 M | 40.47% | 0.66% |
| EQUITABLE HOLDINGS, INC. | 05/15/2026 | 57.51 K | $5.53 M | 2.93% | 0.62% |
| JANNEY MONTGOMERY SCOTT LLC | 04/22/2026 | 53.09 K | $5.15 M | 17.87% | 0.57% |
| JONES FINANCIAL COMPANIES LLLP | 05/15/2026 | 51.19 K | $4.84 M | 73.38% | 0.55% |
| INTEGRATED WEALTH CONCEPTS LLC | 05/15/2026 | 49.51 K | $4.80 M | 3.71% | 0.54% |
| COMMONWEALTH EQUITY SERVICES, LLC | 04/27/2026 | 46.09 K | $4.47 M | 18.27% | 0.50% |
| KINGSVIEW WEALTH MANAGEMENT, LLC | 05/12/2026 | 43.47 K | $4.22 M | -2.34% | 0.47% |
| GREENUP STREET WEALTH MANAGEMENT LLC | 04/20/2026 | 40.53 K | $3.93 M | 0.03% | 0.44% |
| STEWARD PARTNERS INVESTMENT ADVISORY, LLC | 05/08/2026 | 37.33 K | $3.62 M | 80.84% | 0.40% |
| WILEY BROS.-AINTREE CAPITAL, LLC | 05/15/2026 | 35.89 K | $3.48 M | 152.38% | 0.39% |
| 04/28/2026 | 31.79 K | $3.08 M | -2.36% | 0.34% | |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | 05/15/2026 | 27.47 K | $2.66 M | 100.00% | 0.30% |
| PRIVATE ADVISOR GROUP, LLC | 04/27/2026 | 27.08 K | $2.63 M | 4.46% | 0.29% |
| HARBOUR INVESTMENTS, INC. | 05/15/2026 | 25.70 K | $2.49 M | 22.46% | 0.28% |
| HFG ADVISORS, INC. | 05/08/2026 | 23.13 K | $2.24 M | 1.30% | 0.25% |
| PROACTIVE WEALTH STRATEGIES LLC | 04/29/2026 | 21.81 K | $2.12 M | 99.99% | 0.24% |
| GENEOS WEALTH MANAGEMENT INC. | 05/05/2026 | 20.55 K | $1.99 M | 41.77% | 0.22% |
| KESTRA ADVISORY SERVICES, LLC | 04/30/2026 | 20.13 K | $1.95 M | 13.68% | 0.22% |
| CERTIFIED ADVISORY CORP | 04/17/2026 | 19.64 K | $1.90 M | 2.31% | 0.21% |
| 04/29/2026 | 19.07 K | $1.85 M | 62.90% | 0.21% | |
| AMERITAS INVESTMENT PARTNERS, INC. | 05/13/2026 | 18.62 K | $1.81 M | 75.78% | 0.20% |
| GATEWAY WEALTH PARTNERS, LLC | 05/15/2026 | 17.97 K | $1.74 M | 105.30% | 0.19% |
| TRUIST FINANCIAL CORP | 04/27/2026 | 17.20 K | $1.67 M | 26.33% | 0.19% |
| US BANCORP \DE\ | 05/15/2026 | 15.92 K | $1.55 M | -21.65% | 0.17% |
| MTM INVESTMENT MANAGEMENT, LLC | 05/06/2026 | 15.75 K | $1.53 M | 0.00% | 0.17% |
| EMPIRICAL ASSET MANAGEMENT, LLC | 05/11/2026 | 15.28 K | $1.48 M | -8.17% | 0.17% |
| GOLDMAN SACHS GROUP INC | 05/15/2026 | 15.02 K | $1.46 M | 100.00% | 0.16% |
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First Trust Small Cap Growth AlphaDEX Fund institutional Ownership - FAQ's
During the previous two years, 184 institutional investors and hedge funds held shares of First Trust Small Cap Growth AlphaDEX Fund. The most heavily invested institutionals were:
LPL Financial LLC: 1.36 M
RAYMOND JAMES FINANCIAL INC: 544,962
WELLS FARGO & COMPANY/MN: 443,572
MORGAN STANLEY: 394,547
Cetera Investment Advisers: 289,684
BANK OF AMERICA CORP /DE/: 244,266
70.74% of First Trust Small Cap Growth AlphaDEX Fund stock is owned by institutional investors.
Institutional investors have bought a total of 7.08 M shares in the last 24 months. This purchase volume represents approximately $695.84 M in transactions.