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: 45

Total Value: $141,849,598

Total Shares: 2,603,249

Institutional Ownership Trend

19 quarters

Holder Concentration

Across 45 13F filers · Δ vs Jun 30, 2024

Top Holder

49.9%

+5.3 pts

Top 5

81.2%

+7.7 pts

Top 10

90.6%

+7.1 pts

HHI

2,795

Highly concentrated+534

Quarterly Activity

vs Jun 30, 2024

New

Increased

Decreased

Sold Out

Unchanged

Holder count: -15

Institutional value: -5.6%

Shares held: -11.6%

Top Buyers

vs Jun 30, 2024

Institution	Added	Now Holds
Mid Gladstone Institutional Advisory LLC	+7,389	66,377
Large OSAIC HOLDINGS, INC.	+3,685	30,004
Large Cetera Investment Advisers	+2,182	18,301
Mid Tower Research Capital LLC (TRC)	+1,972	14,579
Large STIFEL FINANCIAL CORP	+1,479	24,407

Top Sellers

vs Jun 30, 2024

Institution	Sold	Now Holds
Mega SUSQUEHANNA INTERNATIONAL GROUP, LLP	−35,544	23,757
Mega CITADEL ADVISORS LLC	−27,526	10,182
Mid Kingsview Wealth Management, LLC	−18,914	39,023
Mega WELLS FARGO & COMPANY/MN	−16,874	247,932
Small TOTAL INVESTMENT MANAGEMENT INC	−13,518	1,298,064

Top New Positions

vs Jun 30, 2024

Institution	Acquired	Value (USD)
Mid BENJAMIN EDWARDS INC	32,767	$1,785,473
Mega GOLDMAN SACHS GROUP INC	6,015	$327,757
Mid Moors & Cabot, Inc.	4,306	$234,633
Mega JANE STREET GROUP, LLC	4,091	$222,918
Mid GREAT VALLEY ADVISOR GROUP, INC.	3,925	$213,873

Top Sold-Out Positions

vs Jun 30, 2024

Institution	Previously Held	Last Value (USD)
Mega RAYMOND JAMES & ASSOCIATES	54,624	$2,788,555
Large COMMONWEALTH EQUITY SERVICES, LLC	38,643	$1,972,725
Mid BENJAMIN F. EDWARDS & COMPANY, INC.	33,596	$1,715,075
Mid Stratos Wealth Partners, LTD.	25,139	$1,283,345
Mid Dynamic Advisor Solutions LLC	21,094	$1,076,848

Filter: New 6 Increased 14 Reduced 16 Sold out 21 Unchanged 9

Showing 45 of 45

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

TOTAL INVESTMENT MANAGEMENT INC FNK

$70,731,507

49.86%

1,298,064

LPL Financial LLC FNK

$14,341,495

10.11%

263,195

WELLS FARGO & COMPANY/MN FNK

$13,509,813

9.52%

247,932

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	67,567	$3,681,725	27.3%	Defined
WELLS FARGO CLEARING SERVICES, LLC	180,365	$9,828,088	72.7%	Defined

MORGAN STANLEY FNK

$12,977,010

9.15%

238,154

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	238,154	$12,977,010	100.0%	Defined

Gladstone Institutional Advisory LLC FNK

$3,616,882

2.55%

66,377

UBS Group AG FNK

$3,378,052

2.38%

61,994

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	61,983	$3,377,453	100.0%	Defined
UBS Securities LLC	11	$599	0.0%	Defined

ROYAL BANK OF CANADA FNK

$2,929,491

2.07%

53,762

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	53,762	$2,929,491	100.0%	Defined

Cambridge Investment Research Advisors, Inc. FNK

$2,876,908

2.03%

52,797

Kingsview Wealth Management, LLC FNK

$2,126,363

1.50%

39,023

Janney Montgomery Scott LLC FNK

$2,048,006

1.44%

37,585

BENJAMIN EDWARDS INC FNK

$1,785,473

1.26%

32,767

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

Manager	Shares	Value (USD)	% of position	Discretion
BENJAMIN F. EDWARDS & COMPANY, INC.	32,767	$1,785,473	100.0%	Defined

OSAIC HOLDINGS, INC. FNK

$1,634,917

1.15%

30,004

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

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	29,494	$1,607,128	98.3%	Defined
ARBOR POINT ADVISORS, LLC	510	$27,789	1.7%	Defined

STIFEL FINANCIAL CORP FNK

$1,329,936

0.94%

24,407

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\	21,873	$1,191,859	89.6%	Defined
Stifel Independent Advisors, LLC	2,534	$138,077	10.4%	Defined

SUSQUEHANNA INTERNATIONAL GROUP, LLP FNK

$1,294,518

0.91%

23,757

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

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	23,757	$1,294,518	100.0%	Defined

Cetera Investment Advisers FNK

$997,221

0.70%

18,301

Equitable Holdings, Inc. FNK

$965,181

0.68%

17,713

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

Manager	Shares	Value (USD)	% of position	Discretion
EQUITABLE ADVISORS, LLC	17,713	$965,181	100.0%	Defined

Tower Research Capital LLC (TRC) FNK

$794,409

0.56%

14,579

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)	14,579	$794,409	100.0%	Defined

Keel Point, LLC FNK

$579,174

0.41%

10,629

CITADEL ADVISORS LLC FNK

$554,817

0.39%

10,182

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	10,182	$554,817	100.0%	Defined

Private Advisor Group, LLC FNK

$516,619

0.36%

9,481

D.A. DAVIDSON & CO. FNK

$363,175

0.26%

6,665

GOLDMAN SACHS GROUP INC FNK

$327,757

0.23%

6,015

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	6,015	$327,757	100.0%	Defined

LEVEL FOUR ADVISORY SERVICES, LLC FNK

$305,906

0.22%

5,614

Sigma Planning Corp FNK

$280,841

0.20%

5,154

TKG Advisors, LLC FNK

$271,414

0.19%

4,981

Arete Wealth Advisors, LLC FNK

$243,842

0.17%

4,475

Moors & Cabot, Inc. FNK

$234,633

0.17%

4,306

JANE STREET GROUP, LLC FNK

$222,918

0.16%

4,091

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

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	4,091	$222,918	100.0%	Defined

GREAT VALLEY ADVISOR GROUP, INC. FNK

$213,873

0.15%

3,925

Founders Financial Alliance, LLC FNK

$154,969

0.11%

2,844

JONES FINANCIAL COMPANIES LLLP FNK

$50,893

0.04%

934

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.	934	$50,893	100.0%	Sole

Geneos Wealth Management Inc. FNK

$43,592

0.03%

800

Steward Partners Investment Advisory, LLC FNK

$23,648

0.02%

434

HARBOUR INVESTMENTS, INC. FNK

$18,799

0.01%

345

PRIVATE TRUST CO NA FNK

$17,327

0.01%

318

COMERICA BANK FNK

$16,292

0.01%

299

Farther Finance Advisors, LLC FNK

$15,148

0.01%

278

PNC FINANCIAL SERVICES GROUP, INC. FNK

$13,459

0.01%

247

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

Manager	Shares	Value (USD)	% of position	Discretion
PNC Investments LLC	247	$13,459	100.0%	Defined

Global Trust Asset Management, LLC FNK

$10,952

0.01%

201

Glen Eagle Advisors, LLC FNK

$10,898

0.01%

200

FMR LLC FNK

$7,247

0.01%

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	$7,247	100.0%	Defined

FOURPATH CAPITAL MANAGEMENT, LLC FNK

$5,449

0.00%

100

Capital Analysts, LLC FNK

$5,122

0.00%

GPS Wealth Strategies Group, LLC FNK

$3,650

0.00%

Transamerica Financial Advisors, LLC FNK

0.00%

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