FAD · First Trust Multi Cap Growth AlphaDEX Fund ETF

$184.72 +0.54 (+0.30%) 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: 99

Total Value: $261,053,366

Total Shares: 1,642,672

Institutional Ownership Trend

25 quarters

Holder Concentration

Across 99 13F filers · Δ vs Dec 31, 2025

Top Holder

14.8%

−5.0 pts

Top 5

46.9%

−2.2 pts

Top 10

60.9%

−3.8 pts

HHI

608

Broadly held−103

Quarterly Activity

vs Dec 31, 2025

New

Increased

Decreased

Sold Out

Unchanged

Holder count: +5

Institutional value: +3.3%

Shares held: +5.2%

Top Buyers

vs Dec 31, 2025

Institution	Added	Now Holds
Mega LPL Financial LLC	+72,825	197,933
Mega WELLS FARGO & COMPANY/MN	+38,041	175,021
Mega SUSQUEHANNA INTERNATIONAL GROUP, LLP	+22,508	29,636
Large Kestra Advisory Services, LLC	+22,355	31,173
Large JONES FINANCIAL COMPANIES LLLP	+12,260	29,510

Top Sellers

vs Dec 31, 2025

Institution	Sold	Now Holds
Mega MORGAN STANLEY	−66,004	242,445
Mega RAYMOND JAMES FINANCIAL INC	−44,979	93,573
Large Janney Montgomery Scott LLC	−7,905	1,934
Large OSAIC HOLDINGS, INC.	−3,179	45,527
Small RPg Family Wealth Advisory, LLC	−1,428	30,351

Top New Positions

vs Dec 31, 2025

Institution	Acquired	Value (USD)
Small Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors	13,629	$2,165,920
Mid MGO ONE SEVEN LLC	13,526	$2,149,551
Mid J.W. COLE ADVISORS, INC.	8,656	$1,375,611
Small TrueWealth Advisors, LLC	4,725	$750,897
Mid Merit Financial Group, LLC	3,353	$532,858

Top Sold-Out Positions

vs Dec 31, 2025

Institution	Previously Held	Last Value (USD)
Small Keystone Wealth Services, LLC	53,800	$8,707,528
Small Vantus Wealth LLC	8,275	$1,339,308
Mid Virtu Financial LLC	5,924	$958,799
Mid Private Advisory Group LLC	5,705	$923,354
Mid Global Retirement Partners, LLC	2,341	$378,890

Filter: New 17 Increased 36 Reduced 21 Sold out 12 Unchanged 25

Showing 99 of 99

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

MORGAN STANLEY FAD

$38,529,358

14.76%

242,445

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	242,428	$38,526,657	100.0%	Defined
PARAMETRIC PORTFOLIO ASSOCIATES LLC	17	$2,701	0.0%	Defined

LPL Financial LLC FAD

$31,455,512

12.05%

197,933

WELLS FARGO & COMPANY/MN FAD

$27,814,337

10.65%

175,021

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	38,224	$6,074,558	21.8%	Defined
WELLS FARGO CLEARING SERVICES, LLC	136,797	$21,739,779	78.2%	Defined

RAYMOND JAMES FINANCIAL INC FAD

$14,870,620

5.70%

93,573

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

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	19,054	$3,028,061	20.4%	Defined
Raymond James Financial Services Advisors, Inc.	74,519	$11,842,559	79.6%	Defined

COMMONWEALTH EQUITY SERVICES, LLC FAD

$9,668,216

3.70%

60,837

GOLDMAN SACHS GROUP INC FAD

$7,946,000

3.04%

50,000

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	50,000	$7,946,000	100.0%	Defined

TRUIST FINANCIAL CORP FAD

$7,833,483

3.00%

49,292

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

Manager	Shares	Value (USD)	% of position	Discretion
TRUIST BANK /NC/	3,164	$502,822	6.4%	Defined
Truist Advisory Services, Inc.	46,128	$7,330,661	93.6%	Defined

OSAIC HOLDINGS, INC. FAD

$7,235,150

2.77%

45,527

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

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	42,895	$6,816,873	94.2%	Defined
Osaic Advisory Services, LLC	2,632	$418,277	5.8%	Defined

Plotkin Financial Advisors, LLC FAD

$7,098,320

2.72%

44,666

BANK OF AMERICA CORP /DE/ FAD

$6,595,338

2.53%

41,501

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

Manager	Shares	Value (USD)	% of position	Discretion
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.	11,257	$1,788,962	27.1%	Defined
MANAGED ACCOUNT ADVISORS LLC	30,244	$4,806,376	72.9%	Defined

ROYAL BANK OF CANADA FAD

$5,441,579

2.08%

34,241

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	34,241	$5,441,579	100.0%	Defined

Kestra Advisory Services, LLC FAD

$4,954,013

1.90%

31,173

RPg Family Wealth Advisory, LLC FAD

$4,823,380

1.85%

30,351

SUSQUEHANNA INTERNATIONAL GROUP, LLP FAD

$4,709,753

1.80%

29,636

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

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	29,636	$4,709,753	100.0%	Other

JONES FINANCIAL COMPANIES LLLP FAD

$4,689,729

1.80%

29,510

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.	29,510	$4,689,729	100.0%	Sole

Synergy Investment Management, LLC FAD

$4,531,266

1.74%

28,513

WEDBUSH SECURITIES INC FAD

$3,977,767

1.52%

25,030

Wealth Management Partners, LLC FAD

$3,958,220

1.52%

24,907

ENVESTNET ASSET MANAGEMENT INC FAD

$3,931,839

1.51%

24,741

Creative Planning FAD

$3,869,860

1.48%

24,351

Cambridge Investment Research Advisors, Inc. FAD

$3,742,724

1.43%

23,551

Geneos Wealth Management Inc. FAD

$3,716,820

1.42%

23,388

NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO FAD

$3,337,002

1.28%

20,998

UBS Group AG FAD

$2,811,611

1.08%

17,692

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	17,640	$2,803,348	99.7%	Defined
UBS AG	52	$8,263	0.3%	Defined

Private Advisor Group, LLC FAD

$2,254,121

0.86%

14,184

Cetera Investment Advisers FAD

$2,234,415

0.86%

14,060

Baird Financial Group, Inc. FAD

$2,210,577

0.85%

13,910

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	13,835	$2,198,658	99.5%	Defined
BAIRD TRUST Co	75	$11,919	0.5%	Defined

WCG Wealth Advisors LLC FAD

$2,177,998

0.83%

13,705

Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors FAD

$2,165,920

0.83%

13,629

MGO ONE SEVEN LLC FAD

$2,149,551

0.82%

13,526

STIFEL FINANCIAL CORP FAD

$2,077,879

0.80%

13,075

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\	13,075	$2,077,879	100.0%	Defined

Proactive Wealth Strategies LLC FAD

$1,696,312

0.65%

10,674

Stonebridge Financial Planning Group, LLC FAD

$1,673,109

0.64%

10,528

Fifth Third Securities, Inc. FAD

$1,630,837

0.62%

10,262

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

Manager	Shares	Value (USD)	% of position	Discretion
Fifth Third Bank, National Association	10,262	$1,630,837	100.0%	Defined

626 Financial, LLC FAD

$1,504,018

0.58%

9,464

Stonebridge Financial Group, LLC / MO FAD

$1,494,165

0.57%

9,402

J.W. COLE ADVISORS, INC. FAD

$1,375,611

0.53%

8,656

Advyzon Investment Management, LLC FAD

$1,365,917

0.52%

8,595

Nova Wealth Management, Inc. FAD

$1,039,495

0.40%

6,541

WILLNER & HELLER, LLC FAD

$1,036,635

0.40%

6,523

Certified Advisory Corp FAD

$1,029,960

0.39%

6,481

IFP Advisors, Inc FAD

$1,016,611

0.39%

6,397

Golden State Wealth Management, LLC FAD

$803,022

0.31%

5,053

INDEPENDENT FINANCIAL GROUP, LLC FAD

$789,991

0.30%

4,971

Apeiron RIA LLC FAD

$770,920

0.30%

4,851

TrueWealth Advisors, LLC FAD

$750,897

0.29%

4,725

Sanctuary Advisors, LLC FAD

$660,948

0.25%

4,159

Gateway Wealth Partners, LLC FAD

$546,049

0.21%

3,436

Merit Financial Group, LLC FAD

$532,858

0.20%

3,353

Aviance Capital Partners, LLC FAD

$472,787

0.18%

2,975

OPPENHEIMER & CO INC FAD

$454,829

0.17%

2,862

NWAM LLC FAD

$445,134

0.17%

2,801

MML INVESTORS SERVICES, LLC FAD

$430,355

0.16%

2,708

L. Roy Papp & Associates, LLP FAD

$412,556

0.16%

2,596

Belpointe Asset Management LLC FAD

$386,175

0.15%

2,430

Fortis Capital Advisors, LLC FAD

$386,175

0.15%

2,430

QTR Family Wealth, LLC FAD

$349,465

0.13%

2,199

Janney Montgomery Scott LLC FAD

$307,351

0.12%

1,934

Parkway Wealth Management Group, LLC FAD

$305,762

0.12%

1,924

PFG Advisors FAD

$299,564

0.11%

1,885

HARBOUR INVESTMENTS, INC. FAD

$297,657

0.11%

1,873

Clearstead Advisors, LLC FAD

$259,516

0.10%

1,633

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC FAD

$256,337

0.10%

1,613

1ST SOURCE BANK FAD

$255,225

0.10%

1,606

TCFG Investment Advisors, LLC FAD

$239,969

0.09%

1,510

TCFG WEALTH MANAGEMENT, LLC FAD

$239,969

0.09%

1,510

TRUEFG, LLC FAD

$234,248

0.09%

1,474

Equitable Holdings, Inc. FAD

$228,209

0.09%

1,436

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

Manager	Shares	Value (USD)	% of position	Discretion
EQUITABLE ADVISORS, LLC	1,436	$228,209	100.0%	Defined

OneDigital Investment Advisors LLC FAD

$215,972

0.08%

1,359

THOROUGHBRED FINANCIAL SERVICES, LLC FAD

$214,383

0.08%

1,349

Ethos Financial Group, LLC FAD

$212,158

0.08%

1,335

Farther Finance Advisors, LLC FAD

$206,913

0.08%

1,302

Serenity Investment Advisors FAD

$173,222

0.07%

1,090

CWM, LLC FAD

$142,551

0.05%

897

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC FAD

$140,485

0.05%

884

Rockefeller Capital Management L.P. FAD

$131,744

0.05%

829

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

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER FINANCIAL LLC	829	$131,744	100.0%	Defined

Smartleaf Asset Management LLC FAD

$119,190

0.05%

750

Western Wealth Management, LLC FAD

$82,002

0.03%

516

Advocate Investing Services LLC FAD

$68,971

0.03%

434

Sound Income Strategies, LLC FAD

$66,110

0.03%

416

US BANCORP \DE\ FAD

$61,819

0.02%

389

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

Manager	Shares	Value (USD)	% of position	Discretion
US BANK NATIONAL ASSOCIATION	389	$61,819	100.0%	Defined

FMR LLC FAD

$58,800

0.02%

370

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

Manager	Shares	Value (USD)	% of position	Discretion
STRATEGIC ADVISERS LLC	370	$58,800	100.0%	Defined

Cullen/Frost Bankers, Inc. FAD

$50,377

0.02%

317

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

Manager	Shares	Value (USD)	% of position	Discretion
Frost Investment Services, LLC	317	$50,377	100.0%	Defined

CREATIVE FINANCIAL DESIGNS INC /ADV FAD

$48,311

0.02%

304

O'SHAUGHNESSY ASSET MANAGEMENT, LLC FAD

$38,617

0.01%

243

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. FAD

$36,710

0.01%

231

Allworth Financial LP FAD

$31,784

0.01%

200

NBC SECURITIES, INC. FAD

$27,016

0.01%

170

Godfrey Financial Associates, Inc. FAD

$23,361

0.01%

147

N.E.W. Advisory Services LLC FAD

$21,930

0.01%

138

BLAIR WILLIAM & CO/IL FAD

$18,275

0.01%

115

BlackRock, Inc. FAD

$16,368

0.01%

103

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

Manager	Shares	Value (USD)	% of position	Discretion
Aperio Group, LLC	103	$16,368	100.0%	Sole

FIFTH THIRD BANCORP FAD

$13,984

0.01%

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

Manager	Shares	Value (USD)	% of position	Discretion
Fifth Third Bank, National Association	88	$13,984	100.0%	Defined

Blue Trust, Inc. FAD

$13,349

0.01%

Arax Advisory Partners FAD

$9,217

0.00%

CITIGROUP INC FAD

$7,946

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	50	$7,946	100.0%	Defined

Legacy Wealth Managment, LLC/ID FAD

$7,310

0.00%

Steward Partners Investment Advisory, LLC FAD

$2,542

0.00%

Russell Investments Group, Ltd. FAD

$953

0.00%

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	6	$953	100.0%	Defined