FAB · First Trust Multi Cap Value AlphaDEX Fund ETF

$107.21 -0.23 (-0.22%) At close · Sep 4

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP →

Quarter:

Holders: 45

Total Value: $53,081,544

Total Shares: 522,971

Institutional Ownership Trend

26 quarters

Holder Concentration

Across 45 13F filers · Δ vs Mar 31, 2026

Top Holder

14.8%

+5.1 pts

Top 5

56.1%

+16.0 pts

Top 10

79.0%

+15.3 pts

HHI

807

Broadly held+307

Quarterly Activity

vs Mar 31, 2026

New

Increased

Decreased

Sold Out

Unchanged

Holder count: -23

Institutional value: -17.1%

Shares held: -22.7%

Top Buyers

vs Mar 31, 2026

Institution	Added	Now Holds
Mega LPL Financial LLC	+22,023	77,533
Mega ROYAL BANK OF CANADA	+3,593	36,600
Mega ENVESTNET ASSET MANAGEMENT INC	+3,182	7,271
Large JONES FINANCIAL COMPANIES LLLP	+1,939	7,174
Mega CITADEL ADVISORS LLC	+1,056	34,195

Top Sellers

vs Mar 31, 2026

Institution	Sold	Now Holds
Mega SUSQUEHANNA INTERNATIONAL GROUP, LLP	−26,836	9,370
Mega GOLDMAN SACHS GROUP INC	−10,900	10,916
Large Baird Financial Group, Inc.	−5,904	15,524
Mid PRINCIPAL SECURITIES, INC.	−1,671	5,777
Large STIFEL FINANCIAL CORP	−1,100	18,093

Top New Positions

vs Mar 31, 2026

Institution	Acquired	Value (USD)
Mid Virtu Financial LLC	4,274	$433,811
Mid IFG Advisory, LLC	1,949	$197,823
Small Private Wealth Asset Management, LLC	762	$77,343
Large NewEdge Advisors, LLC	320	$32,480
Mid Global Retirement Partners, LLC	15	$1,522

Top Sold-Out Positions

vs Mar 31, 2026

Institution	Previously Held	Last Value (USD)
Small 626 Financial, LLC	35,722	$3,377,515
Large COMMONWEALTH EQUITY SERVICES, LLC	17,528	$1,657,272
Small PFG Advisors	14,035	$1,327,009
Mid Private Advisor Group, LLC	10,453	$988,331
Small Quad-Cities Investment Group, LLC	8,828	$834,687

Filter: New 5 Increased 12 Reduced 15 Sold out 28 Unchanged 13

Showing 45 of 45

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

LPL Financial LLC

$7,869,599

14.83%

77,533

RAYMOND JAMES FINANCIAL INC

$6,651,091

12.53%

65,528

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	9,289	$942,833	14.2%	Defined
Raymond James Financial Services Advisors, Inc.	53,827	$5,463,440	82.1%	Defined
RAYMOND JAMES TRUST N.A.	2,412	$244,818	3.7%	Defined

MORGAN STANLEY

$6,233,723

11.74%

61,416

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY SMITH BARNEY LLC	61,416	$6,233,723	100.0%	Defined

WELLS FARGO & COMPANY/MN

$4,622,716

8.71%

45,544

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC	18,708	$1,898,862	41.1%	Defined
WELLS FARGO CLEARING SERVICES, LLC	26,836	$2,723,854	58.9%	Defined

OSAIC HOLDINGS, INC.

$4,389,773

8.27%

43,249

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	43,249	$4,389,773	100.0%	Defined

ROYAL BANK OF CANADA

$3,714,900

7.00%

36,600

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RBC Capital Markets, LLC	35,714	$3,624,971	97.6%	Defined
RBC Rochdale, LLC	886	$89,929	2.4%	Defined

CITADEL ADVISORS LLC

$3,470,792

6.54%

34,195

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	34,195	$3,470,792	100.0%	Defined

STIFEL FINANCIAL CORP

$1,836,439

3.46%

18,093

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
STIFEL NICOLAUS & CO INC \MO\	18,093	$1,836,439	100.0%	Defined

Proactive Wealth Strategies LLC

$1,577,614

2.97%

15,543

Baird Financial Group, Inc.

$1,575,686

2.97%

15,524

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Robert W. Baird & Co. Inc	15,524	$1,575,686	100.0%	Defined

GOLDMAN SACHS GROUP INC

$1,107,974

2.09%

10,916

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
GOLDMAN SACHS & CO. LLC	10,916	$1,107,974	100.0%	Defined

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$951,055

1.79%

9,370

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	9,370	$951,055	100.0%	Other

HARBOUR INVESTMENTS, INC.

$947,401

1.78%

9,334

UBS Group AG

$767,543

1.45%

7,562

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Financial Services Inc	7,182	$728,973	95.0%	Defined
UBS Securities LLC	380	$38,570	5.0%	Defined

Rockefeller Capital Management L.P.

$758,712

1.43%

7,475

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER FINANCIAL LLC	7,475	$758,712	100.0%	Defined

ENVESTNET ASSET MANAGEMENT INC

$738,006

1.39%

7,271

Janney Montgomery Scott LLC

$732,830

1.38%

7,220

JONES FINANCIAL COMPANIES LLLP

$728,161

1.37%

7,174

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Edward D. Jones & Co., L.P.	7,174	$728,161	100.0%	Sole

Cetera Investment Advisers

$684,414

1.29%

6,743

PRINCIPAL SECURITIES, INC.

$586,365

1.10%

5,777

Stratos Wealth Partners, LTD.

$476,745

0.90%

4,697

Virtu Financial LLC

$433,811

0.82%

4,274

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Virtu Americas LLC	4,274	$433,811	100.0%	Defined

HFG Advisors, Inc.

$415,642

0.78%

4,095

Creative Planning

$324,495

0.61%

3,197

Clearstead Advisors, LLC

$235,175

0.44%

2,317

Moors & Cabot, Inc.

$228,781

0.43%

2,254

Pacific Sun Financial Corp

$214,165

0.40%

2,110

IFG Advisory, LLC

$197,823

0.37%

1,949

CENTAURUS FINANCIAL, INC.

$112,969

0.21%

1,113

NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO

$82,316

0.16%

811

FMR LLC

$80,083

0.15%

789

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
STRATEGIC ADVISERS LLC	789	$80,083	100.0%	Defined

JPMORGAN CHASE & CO

$78,053

0.15%

769

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
55I, LLC	769	$78,053	100.0%	Other

Private Wealth Asset Management, LLC

$77,343

0.15%

762

Parkside Financial Bank & Trust

$60,900

0.11%

600

NewEdge Advisors, LLC

$32,480

0.06%

320

Geneos Wealth Management Inc.

$24,969

0.05%

246

Godfrey Financial Associates, Inc.

$10,150

0.02%

100

UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC

$10,150

0.02%

100

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Group AG	100	$10,150	100.0%	Defined

Parallel Advisors, LLC

$10,150

0.02%

100

PNC FINANCIAL SERVICES GROUP, INC.

$9,947

0.02%

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
PNC Wealth Management LLC	98	$9,947	100.0%	Defined

Arax Advisory Partners

$7,612

0.01%

Allworth Financial LP

$7,105

0.01%

Larson Financial Group LLC

$4,263

0.01%

Global Retirement Partners, LLC

$1,522

0.00%

CITIGROUP INC

$101

0.00%

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citigroup Financial Products Inc. joint	1	$101	100.0%	Defined

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Truist Advisory Services, Inc.	4,126	$390,113	100.0%	Defined

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Russell Investment Management, LLC	20	$1,891	100.0%	Defined