FEX · First Trust Large Cap Core AlphaDEX Fund · Holdings ETF

$136.59 +1.41 (+1.04%) At close · Oct 20

Volume · Oct 20 11.27K Avg daily vol (3M) 20.68K

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 →

Institutional holdings are being reconciled with SEC filings. Holder totals and changes may be incomplete until reconciliation finishes.

Quarter:

Holders: 35

Total Value: $35,561,136

Total Shares: 268,177

Institutional Ownership Trend

27 quarters

Holder Concentration

Across 35 13F filers · Δ vs Jun 30, 2026

Top Holder

17.6%

+3.0 pts

Top 5

60.3%

+17.7 pts

Top 10

78.4%

+21.7 pts

HHI

938

Broadly held+418

Who Holds FEX

Last 8 quarters through Sep 30, 2026 (filing window open)

Each kind of 13F filer's share of the common shares 13F filers report. Holder type comes from regulatory records, never the filer's name; style, turnover and horizon are measured from each filer's own 13F book. The quarter selector does not change this card.

Jun 30, 2026, the newest closed quarter: 242 filers, like-for-like change +3.7%; actively managed books +4.4%; index-like books 0.0%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	28.1%	151	+18.7%	10	7
Adviser	7.0%	2	-0.4%	0	0
Bank	18.1%	12	-2.7%	0	1
Broker-dealer	10.7%	1	-20.0%	0	0
Benefit plan	0.0%	1	0.0%	0	0
Holding company	17.9%	6	+4.3%	0	0
Unknown	18.1%	69	+9.9%	10	0

Style	Share	Filers	Change	New	Exited
Index-like	15.3%	5	0.0%	0	0
Systematic-like	0.2%	3	-48.8%	1	0
Concentrated	8.9%	56	-0.7%	6	2
Diversified active	75.7%	178	+5.3%	13	6
Not measured	0.0%	0	—	0	0
Unknown	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	85.6%	177	+1.7%	11	7
Medium turnover	8.9%	36	+8.4%	1	1
High turnover	3.1%	12	+84.7%	6	0
Unknown	2.5%	17	+5.2%	2	0
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	2.8%	20	+7.4%	4	0
Medium horizon	14.7%	53	+22.7%	5	2
Long horizon	82.3%	164	+0.8%	9	5
Unknown	0.2%	5	+52.5%	2	1
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	7.8%	81	+5.7%	7	2
$1B to $10B	16.3%	90	+23.1%	9	4
$10B to $100B	27.2%	46	+9.7%	3	1
$100B or more	48.7%	25	-4.5%	1	1
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	26.7%	138	+21.1%	10	7
Pooled investment vehicles	0.1%	1	-63.3%	0	0
Registered funds and BDCs	0.5%	1	-0.8%	0	0
Pension and profit sharing plans	0.3%	2	+0.6%	0	0
Governments and sovereign funds	0.0%	1	-48.4%	0	0
Corporations	0.1%	1	-7.2%	0	0
Other investment advisers	0.0%	3	-1.5%	0	0
Other	0.1%	1	0.0%	0	0
Diversified	0.3%	3	-1.0%	0	0
Unknown	71.9%	91	-1.1%	10	1

Private funds	Share	Filers	Change	New	Exited
Hedge funds	0.7%	6	-21.5%	0	0
Private equity funds	0.4%	8	-11.6%	0	0
Real estate funds	0.2%	4	+12.8%	0	1
Securitized asset funds	0.0%	2	+137.2%	1	0
Other private funds	2.2%	8	+1.8%	1	0
Mixed private funds	0.0%	0	—	0	0
Private funds, type not stated	0.1%	1	-0.6%	0	0
No private funds	24.5%	122	+23.1%	8	6
Unknown	71.9%	91	-1.1%	10	1

Location	Share	Filers	Change	New	Exited
United States	94.8%	236	+3.5%	18	7
Outside the US	5.2%	6	+9.3%	2	1

The Sep 30, 2026 filing window is still open, so its bar shows only the filers that have filed so far.

How the mix is measured

Shares are 13F common shares restated to today's split basis; options and principal amounts are left out. The change compares only filers with a 13F in both quarters and keeps each filer in its bucket of the later quarter on both sides; a filer that continues under a new CIK is compared through its successor. Holder type comes from each filer's current regulatory profile; client base and private funds come from the Form ADV roster current at each quarter end (rosters from December 2019, so an earlier quarter reads Unknown). Style, turnover, horizon and book size are measured from each filer's 13F book in the newest measured quarter, and Not measured means none was. Actively managed books are those measured systematic-like, concentrated or diversified active.

Excluded 4 holders with no observed 2026-03-31 13F and 2 holders with no observed 2026-06-30 13F. Compared across CIK changes: 4 filers continue as Evelyn Partners Group Ltd.

Conviction and Crowding

242 13F filers, quarter ended Jun 30, 2026

Measured across every 13F filer's common-share book once the quarter's filing window closed. Crowding counts filers with high turnover or that advise private funds on Form ADV.

Conviction holders

5.37% of filers hold it in their top 10

Mar 31, 2026: 16

Holders above 5%

median weight 0.019%

Mar 31, 2026: 0

Crowding

—

shares outstanding is an issuer-wide count, not one listing's

Private-fund advisers

—

of shares outstanding

Institutional ownership

—

shares outstanding is an issuer-wide count, not one listing's

Top 10 holders

56.7%

of 13F shares, Herfindahl 0.052

Active holders

+4.4%

like-for-like share change of active filers

5% stakes on record

0 13D, 0 13G

How long holders have held it value-weighted 20.9 quarters

Under 1 year 8.37% 1 to 3 years 14.6% 3 years or more 77.0% Since coverage start 0.000%

Managers in the top fifth by current three-year FundScore alpha were net buyers of $0 (0 buying, 0 selling).

Estimated Holder Cost Basis

Quarter ended Jun 30, 2026, on that quarter's share basis

Estimated, never filed: each 13F buy is costed at its quarter's average traded price and each sale keeps the average cost, so this is what holders paid on average if they traded evenly through each quarter.

Estimated avg cost

$108.57

estimated per share

Mar 31, 2026: $103.97

Quarter-end price

$139.87

implied by 13F values

Estimated gain or loss

+28.8%

price against the estimated cost

Estimated at a loss

0.000%

of costed 13F value

Estimated cost covers 16.5% of the 13F shares; positions already held when a filer's 13F history starts, or bought in a quarter without a trusted average price, have no estimate.

Quarterly Activity

vs Jun 30, 2026

New

Increased

Decreased

Sold Out

Unchanged

New and Sold Out count only filers that reported a 13F for both quarters: a first-time filer's book is not a buy, and a fund that has not filed, or withheld its positions under confidential treatment, has not sold.

Holder count: -208

Institutional value: -96.5%

Shares held: -96.3%

Top Buyers

vs Jun 30, 2026

Institution	Added	Now Holds
Small Independent Wealth Network Inc.	+5,380	8,906
Large Concurrent Investment Advisors, LLC	+923	2,791
Mid SIGNATURE ESTATE & INVESTMENT ADVISORS LLC	+539	3,804
Mid IFP Advisors, Inc	+284	1,792
Large Farther Finance Advisors, LLC	+200	873

Top Sellers

vs Jun 30, 2026

Institution	Sold	Now Holds
Small Triumph Capital Management	−3,868	42,804
Large WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	−1,293	47,266
Small TCFG Investment Advisors, LLC	−1,005	20,485
Small WINEBRENNER CAPITAL MANAGEMENT LLC	−371	1,793
Mid Focus Financial Network, Inc.	−257	14,478

Top New Positions

vs Jun 30, 2026

Institution	Acquired	Value (USD)	Open
Small Pinnacle Wealth Management Group, Inc.	36,704	$4,867,071
Small Asio Capital, LLC	1,600	$212,165

Top Sold-Out Positions

vs Jun 30, 2026

Institution	Previously Held	Last Value (USD)	Open
Small Apeiron RIA LLC	2,842	$397,510
Mid AdvisorNet Financial, Inc	1,209	$169,102

Filter: New 2 Increased 10 Reduced 10 Sold out 2 Unchanged 13

Holder type: Registered adviser 22 Bank 1 Unknown 12

Showing 35 of 35

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC FEX

$6,267,627

17.62%

47,266

Triumph Capital Management FEX

$5,675,951

15.96%

42,804

Pinnacle Wealth Management Group, Inc. FEX

$4,867,071

13.69%

36,704

TCFG Investment Advisors, LLC FEX

$2,716,378

7.64%

20,485

Focus Financial Network, Inc. FEX

$1,919,830

5.40%

14,478

Wedmont Private Capital FEX

$1,548,673

4.35%

11,679

Kaydan Wealth Management, Inc. FEX

$1,377,483

3.87%

10,388

WETZEL INVESTMENT ADVISORS, INC. FEX

$1,210,535

3.40%

9,129

Independent Wealth Network Inc. FEX

$1,180,964

3.32%

8,906

Farrell Financial LLC FEX

$1,127,923

3.17%

8,506

PARK NATIONAL CORP /OH/ FEX

$1,079,390

3.04%

8,140

WealthPlan Investment Management, LLC FEX

$694,841

1.95%

5,240

Venture Visionary Partners LLC FEX

$609,975

1.72%

4,600

Annex Advisory Services, LLC FEX

$585,443

1.65%

4,415

SIGNATURE ESTATE & INVESTMENT ADVISORS LLC FEX

$504,422

1.42%

3,804

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

Manager	Shares	Value (USD)	% of position	Discretion
SIGNATURE INVESTMENT ADVISORS LLC	536	$71,075	14.1%	Defined
Held directly	3,268	$433,347	85.9%	Sole

Blue Trust, Inc. FEX

$453,370

1.27%

3,419

RDA Financial Network FEX

$411,070

1.16%

3,100

PRIVATE TRUST CO NA FEX

$371,819

1.05%

2,804

Financial Partners Group, Inc FEX

$371,289

1.04%

2,800

Concurrent Investment Advisors, LLC FEX

$370,095

1.04%

2,791

MISSION WEALTH MANAGEMENT, LP FEX

$319,043

0.90%

2,406

ABLE Financial Group, LLC FEX

$257,250

0.72%

1,940

WINEBRENNER CAPITAL MANAGEMENT LLC FEX

$237,757

0.67%

1,793

IFP Advisors, Inc FEX

$237,625

0.67%

1,792

Avidian Wealth Enterprises, LLC FEX

$225,425

0.63%

1,700

TRUEFG, LLC FEX

$213,756

0.60%

1,612

Peterson Wealth Advisors, LLC FEX

$213,226

0.60%

1,608

Asio Capital, LLC FEX

$212,165

0.60%

1,600

Farther Finance Advisors, LLC FEX

$115,762

0.33%

873

GAMMA Investing LLC FEX

$46,411

0.13%

350

PENSION & WEALTH MANAGEMENT ADVISORS, INC. FEX

$42,300

0.12%

319

Decker Retirement Planning Inc. FEX

$32,222

0.09%

243

CoreCap Advisors, LLC FEX

$23,868

0.07%

180

GHP Investment Advisors, Inc. FEX

$23,072

0.06%

174

TRUST CO OF TOLEDO NA /OH/ FEX

$17,105

0.05%

129