FNK · First Trust Mid Cap Value AlphaDEX Fund ETF

$64.88 -0.07 (-0.11%) 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: 60

Total Value: $150,342,829

Total Shares: 2,945,012

Institutional Ownership Trend

18 quarters

Holder Concentration

Across 60 13F filers · Δ vs Mar 31, 2024

Top Holder

44.5%

+1.5 pts

Top 5

73.5%

+1.9 pts

Top 10

83.5%

+1.6 pts

HHI

2,261

Moderately concentrated+135

Quarterly Activity

vs Mar 31, 2024

New

Increased

Decreased

Sold Out

Unchanged

Holder count: 0

Institutional value: -8.3%

Shares held: -2.8%

Top Buyers

vs Mar 31, 2024

Institution	Added	Now Holds
Mega MORGAN STANLEY	+36,096	250,946
Mega CITADEL ADVISORS LLC	+24,773	37,708
Small TOTAL INVESTMENT MANAGEMENT INC	+8,555	1,311,582
Mega SUSQUEHANNA INTERNATIONAL GROUP, LLP	+4,102	59,301
Mid Private Advisor Group, LLC	+2,863	9,607

Top Sellers

vs Mar 31, 2024

Institution	Sold	Now Holds
Large Janney Montgomery Scott LLC	−29,229	37,378
Mid BENJAMIN F. EDWARDS & COMPANY, INC.	−22,867	33,596
Mid Sigma Planning Corp	−22,771	5,853
Mega WELLS FARGO & COMPANY/MN	−20,023	264,806
Mega ROYAL BANK OF CANADA	−14,527	67,121

Top New Positions

vs Mar 31, 2024

Institution	Acquired	Value (USD)
Mid Private Advisory Group LLC	20,028	$1,022,429
Small Leelyn Smith, LLC	10,699	$546,183
Mid Prospera Financial Services Inc	7,410	$378,280
Mid DAYMARK WEALTH PARTNERS, LLC	5,525	$282,051
Small Arete Wealth Advisors, LLC	4,475	$228,448

Top Sold-Out Positions

vs Mar 31, 2024

Institution	Previously Held	Last Value (USD)
Large Baird Financial Group, Inc.	40,385	$2,186,847
Mid Arkadios Wealth Advisors	5,149	$278,818
Small Jaffetilchin Investment Partners, LLC	4,729	$256,075
Small PCG Wealth Advisors, LLC	4,395	$237,989
Mid Allworth Financial LP	422	$22,851

Filter: New 7 Increased 16 Reduced 20 Sold out 7 Unchanged 17

Showing 60 of 60

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

TOTAL INVESTMENT MANAGEMENT INC FNK

$66,956,261

44.54%

1,311,582

LPL Financial LLC FNK

$13,719,789

9.13%

268,752

WELLS FARGO & COMPANY/MN FNK

$13,518,345

8.99%

264,806

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	78,535	$4,009,211	29.7%	Defined
WELLS FARGO CLEARING SERVICES, LLC	186,271	$9,509,134	70.3%	Defined

MORGAN STANLEY FNK

$12,810,793

8.52%

250,946

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	250,946	$12,810,793	100.0%	Defined

ROYAL BANK OF CANADA FNK

$3,426,526

2.28%

67,121

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

Manager	Shares	Value (USD)	% of position	Discretion
RBC CMA LLC	831	$42,422	1.2%	Defined
RBC Capital Markets, LLC	66,208	$3,379,918	98.6%	Defined
RBC Trust Co (Delaware) Ltd	82	$4,186	0.1%	Defined

UBS Group AG FNK

$3,330,042

2.21%

65,231

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	63,991	$3,266,740	98.1%	Defined
UBS Securities LLC	1,240	$63,302	1.9%	Defined

SUSQUEHANNA INTERNATIONAL GROUP, LLP FNK

$3,027,316

2.01%

59,301

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

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	59,301	$3,027,316	100.0%	Defined

Gladstone Institutional Advisory LLC FNK

$3,011,337

2.00%

58,988

Kingsview Wealth Management, LLC FNK

$2,957,683

1.97%

57,937

Cambridge Investment Research Advisors, Inc. FNK

$2,819,491

1.88%

55,230

RAYMOND JAMES & ASSOCIATES FNK

$2,788,555

1.85%

54,624

COMMONWEALTH EQUITY SERVICES, LLC FNK

$1,972,725

1.31%

38,643

CITADEL ADVISORS LLC FNK

$1,924,993

1.28%

37,708

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	37,708	$1,924,993	100.0%	Defined

Janney Montgomery Scott LLC FNK

$1,908,146

1.27%

37,378

BENJAMIN F. EDWARDS & COMPANY, INC. FNK

$1,715,075

1.14%

33,596

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

Manager	Shares	Value (USD)	% of position	Discretion
BENJAMIN EDWARDS INC	33,596	$1,715,075	100.0%	Defined

OSAIC HOLDINGS, INC. FNK

$1,343,583

0.89%

26,319

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

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	24,757	$1,263,844	94.1%	Defined
ARBOR POINT ADVISORS, LLC	6	$306	0.0%	Defined
American Portfolios Advisors	1,556	$79,433	5.9%	Sole

Stratos Wealth Partners, LTD. FNK

$1,283,345

0.85%

25,139

STIFEL FINANCIAL CORP FNK

$1,170,473

0.78%

22,928

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\	20,394	$1,041,113	88.9%	Defined
Stifel Independent Advisors, LLC	2,534	$129,360	11.1%	Defined

Dynamic Advisor Solutions LLC FNK

$1,076,848

0.72%

21,094

G&S Capital LLC FNK

$1,035,600

0.69%

20,286

Private Advisory Group LLC FNK

$1,022,429

0.68%

20,028

Equitable Holdings, Inc. FNK

$904,095

0.60%

17,710

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

Manager	Shares	Value (USD)	% of position	Discretion
EQUITABLE ADVISORS, LLC	17,710	$904,095	100.0%	Defined

Cetera Investment Advisers FNK

$822,874

0.55%

16,119

ARS Wealth Advisors Group, LLC FNK

$672,634

0.45%

13,176

Tower Research Capital LLC (TRC) FNK

$643,587

0.43%

12,607

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

Manager	Shares	Value (USD)	% of position	Discretion
Latour Trading LLC (Latour)	12,607	$643,587	100.0%	Defined

Leelyn Smith, LLC FNK

$546,183

0.36%

10,699

Keel Point, LLC FNK

$531,277

0.35%

10,407

Private Advisor Group, LLC FNK

$490,437

0.33%

9,607

Prospera Financial Services Inc FNK

$378,280

0.25%

7,410

D.A. DAVIDSON & CO. FNK

$343,413

0.23%

6,727

Sigma Planning Corp FNK

$298,795

0.20%

5,853

LEVEL FOUR ADVISORY SERVICES, LLC FNK

$287,207

0.19%

5,626

DAYMARK WEALTH PARTNERS, LLC FNK

$282,051

0.19%

5,525

TKG Advisors, LLC FNK

$251,217

0.17%

4,921

Raymond James Financial Services Advisors, Inc. FNK

$250,706

0.17%

4,911

Arete Wealth Advisors, LLC FNK

$228,448

0.15%

4,475

Founders Financial Alliance, LLC FNK

$144,522

0.10%

2,831

GAMMA Investing LLC FNK

$92,706

0.06%

1,816

NBC SECURITIES, INC. FNK

$58,707

0.04%

1,150

Geneos Wealth Management Inc. FNK

$40,840

0.03%

800

CWM, LLC FNK

$29,251

0.02%

573

JONES FINANCIAL COMPANIES LLLP FNK

$24,504

0.02%

480

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.	480	$24,504	100.0%	Sole

Steward Partners Investment Advisory, LLC FNK

$22,053

0.01%

432

HARBOUR INVESTMENTS, INC. FNK

$19,960

0.01%

391

PROEQUITIES, INC. FNK

$18,735

0.01%

367

PRIVATE TRUST CO NA FNK

$16,233

0.01%

318

COMERICA BANK FNK

$15,008

0.01%

294

Farther Finance Advisors, LLC FNK

$14,191

0.01%

278

Transamerica Financial Advisors, LLC FNK

$12,813

0.01%

251

PNC FINANCIAL SERVICES GROUP, INC. FNK

$12,558

0.01%

246

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

Manager	Shares	Value (USD)	% of position	Discretion
PNC Investments LLC	246	$12,558	100.0%	Defined

Hilltop National Bank FNK

$12,098

0.01%

237

Pacifica Partners Inc. FNK

$12,047

0.01%

236

Global Trust Asset Management, LLC FNK

$10,261

0.01%

201

Glen Eagle Advisors, LLC FNK

$10,210

0.01%

200

FMR LLC FNK

$6,789

0.00%

133

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

Manager	Shares	Value (USD)	% of position	Discretion
STRATEGIC ADVISERS LLC	133	$6,789	100.0%	Defined

Capital Analysts, LLC FNK

$4,798

0.00%

Global Retirement Partners, LLC FNK

$4,594

0.00%

NewEdge Advisors, LLC FNK

$3,675

0.00%

GPS Wealth Strategies Group, LLC FNK

$3,420

0.00%

Creekmur Asset Management LLC FNK

$2,297

0.00%

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

Manager	Shares	Value (USD)	% of position	Discretion
BAIRD ROBERT W & CO INC /WI/	40,385	$2,186,847	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
Manager 4729	4,729	$256,075	100.0%	Sole