FNX · First Trust Mid Cap Core AlphaDEX Fund · Holdings ETF

$138.60 +1.87 (+1.37%) At close · Oct 20

Volume · Oct 20 18.18K Avg daily vol (3M) 10.92K

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: 30

Total Value: $35,324,710

Total Shares: 261,878

Institutional Ownership Trend

27 quarters

Holder Concentration

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

Top Holder

27.3%

+10.0 pts

Top 5

71.4%

+15.6 pts

Top 10

86.6%

+16.5 pts

HHI

1,639

Moderately concentrated+830

Who Holds FNX

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: 211 filers, like-for-like change +2.0%; actively managed books +1.9%; index-like books +2.2%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	19.6%	133	-0.2%	14	9
Adviser	0.5%	2	-3.0%	0	0
Bank	23.1%	15	-0.1%	0	0
Broker-dealer	16.2%	1	+8.1%	0	0
Holding company	18.3%	4	+2.0%	0	1
Unknown	22.4%	56	+2.0%	3	2

Style	Share	Filers	Change	New	Exited
Index-like	17.3%	3	+2.2%	0	1
Systematic-like	0.0%	0	—	0	0
Concentrated	5.4%	46	-5.4%	5	4
Diversified active	77.4%	162	+2.5%	12	7
Not measured	0.0%	0	—	0	0
Unknown	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	92.3%	159	+3.0%	11	8
Medium turnover	5.7%	34	-10.6%	3	1
High turnover	0.4%	4	-18.6%	2	2
Unknown	1.5%	14	+0.1%	1	1
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	1.6%	14	-0.3%	2	2
Medium horizon	13.7%	49	-2.1%	3	4
Long horizon	84.7%	147	+2.7%	12	6
Unknown	0.0%	1	0.0%	0	0
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	9.4%	83	-0.7%	7	6
$1B to $10B	7.4%	69	-2.3%	8	5
$10B to $100B	17.0%	39	+6.1%	2	0
$100B or more	66.3%	20	+1.8%	0	1
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	19.5%	129	+2.3%	14	9
Pooled investment vehicles	0.0%	0	—	0	0
Registered funds and BDCs	0.0%	1	-92.5%	0	0
Other investment advisers	0.0%	2	0.0%	0	0
Diversified	0.0%	1	0.0%	0	0
Corporations	0.0%	0	—	0	0
Pension and profit sharing plans	0.0%	0	—	0	0
Unknown	80.4%	78	+2.5%	3	3

Private funds	Share	Filers	Change	New	Exited
Hedge funds	0.1%	2	-86.6%	0	0
Private equity funds	0.3%	5	+1.0%	2	0
Venture capital funds	0.0%	0	—	0	0
Real estate funds	0.4%	5	+8.1%	1	0
Securitized asset funds	0.0%	1	0.0%	0	0
Other private funds	3.2%	8	+0.8%	1	0
No private funds	15.6%	112	+2.5%	10	9
Unknown	80.4%	78	+2.5%	3	3

Location	Share	Filers	Change	New	Exited
United States	92.2%	208	+1.9%	17	12
Outside the US	7.8%	3	+2.8%	0	0

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 2 holders with no observed 2026-03-31 13F and 3 holders with no observed 2026-06-30 13F.

Conviction and Crowding

211 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

9.00% of filers hold it in their top 10

Mar 31, 2026: 20

Holders above 5%

median weight 0.015%

Mar 31, 2026: 1

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

70.1%

of 13F shares, Herfindahl 0.081

Active holders

+1.9%

like-for-like share change of active filers

5% stakes on record

0 13D, 0 13G

How long holders have held it value-weighted 22.1 quarters

Under 1 year 3.06% 1 to 3 years 14.5% 3 years or more 82.4% 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

$114.09

estimated per share

Mar 31, 2026: $110.56

Quarter-end price

$146.35

implied by 13F values

Estimated gain or loss

+28.3%

price against the estimated cost

Estimated at a loss

0.000%

of costed 13F value

Estimated cost covers 8.85% 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: -182

Institutional value: -96.3%

Shares held: -95.9%

Top Buyers

vs Jun 30, 2026

Institution	Added	Now Holds
Mid B. Riley Wealth Advisors, Inc.	+66,348	71,053
Small Purus Wealth Management, LLC	+3,286	15,535
Small TRUEFG, LLC	+621	2,482
Small LVZ, Inc.	+436	9,701
Small Boyce & Associates Wealth Consulting, Inc.	+411	2,036

Top Sellers

vs Jun 30, 2026

Institution	Sold	Now Holds
Micro THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.	−982	721
Mid PARK NATIONAL CORP /OH/	−875	9,224
Mid Krilogy Financial LLC	−433	1,978
Small TCFG Investment Advisors, LLC	−360	3,022
Mid TITLEIST ASSET MANAGEMENT, LLC	−219	1,799

Top New Positions

vs Jun 30, 2026

Institution	Acquired	Value (USD)	Open
Small RiverTree Advisors, LLC	4,007	$540,504

Top Sold-Out Positions

vs Jun 30, 2026

Institution	Previously Held	Last Value (USD)
Small WORLD EQUITY GROUP, INC.	4,334	$634,280
Small Boston Standard Wealth Management, LLC	1,400	$204,890
Mid Sound Income Strategies, LLC	1,385	$202,694
Small Decker Retirement Planning Inc.	106	$15,513

Filter: New 1 Increased 16 Reduced 7 Sold out 4 Unchanged 6

Holder type: Registered adviser 20 Bank 2 Unknown 8

Showing 30 of 30

All Common Calls Puts

Compact Export CSV

Holder	Value (USD)	% of 13F	Shares	Own %	Change	Type	Filed
Small PERRYMAN FINANCIAL ADVISORY INC /AD Registered adviser FNX	$9,632,899	27.27%	71,413	—	+313 +0.4%	Shares	2026-10-16
Mid B. Riley Wealth Advisors, Inc. FNX	$9,584,339	27.13%	71,053	—	+66,348 +1410.2%	Shares	2026-10-13
Large WEALTH ENHANCEMENT ADVISORY SERVICES, LLC FNX	$2,247,941	6.36%	16,665	—	+78 +0.5%	Shares	2026-10-13
Small Purus Wealth Management, LLC Registered adviser FNX	$2,095,516	5.93%	15,535	—	+3,286 +26.8%	Shares	2026-10-15
Small Kaydan Wealth Management, Inc. Registered adviser FNX	$1,643,769	4.65%	12,186	—	+77 +0.6%	Shares	2026-10-08
Small Triumph Capital Management Registered adviser FNX	$1,384,915	3.92%	10,267	—	+322 +3.2%	Shares	2026-10-14
Small LVZ, Inc. Registered adviser FNX	$1,308,567	3.70%	9,701	—	+436 +4.7%	Shares	2026-10-20
Mid PARK NATIONAL CORP /OH/ Bank FNX	$1,244,225	3.52%	9,224	—	-875 -8.7%	Shares	2026-10-05
Small Southland Equity Partners LLC FNX	$899,176	2.55%	6,666	—	-162 -2.4%	Shares	2026-10-14
Small RiverTree Advisors, LLC Registered adviser FNX	$540,504	1.53%	4,007	—	New	Shares	2026-10-13
Large Farther Finance Advisors, LLC Registered adviser FNX	$445,137	1.26%	3,300	—	-86 -2.5%	Shares	2026-10-08
Small TCFG Investment Advisors, LLC FNX	$407,637	1.15%	3,022	—	-360 -10.6%	Shares	2026-10-20
Mid PRIVATE TRUST CO NA FNX	$376,073	1.06%	2,788	—	+34 +1.2%	Shares	2026-10-20
Small Quantum Private Wealth, LLC Registered adviser FNX	$369,733	1.05%	2,741	—	0 0.0%	Shares	2026-10-20
Small TRUEFG, LLC Registered adviser FNX	$334,796	0.95%	2,482	—	+621 +33.4%	Shares	2026-10-15
Small Independent Wealth Network Inc. Registered adviser FNX	$280,840	0.80%	2,082	—	+309 +17.4%	Shares	2026-10-19
Small Boyce & Associates Wealth Consulting, Inc. FNX	$274,636	0.78%	2,036	—	+411 +25.3%	Shares	2026-10-14
Mid INDEPENDENT FINANCIAL GROUP, LLC Registered adviser FNX	$268,565	0.76%	1,991	—	+170 +9.3%	Shares	2026-10-13
Mid Krilogy Financial LLC Registered adviser FNX	$266,812	0.76%	1,978	—	-433 -18.0%	Shares	2026-10-13
Mid TITLEIST ASSET MANAGEMENT, LLC Registered adviser FNX	$242,667	0.69%	1,799	—	-219 -10.9%	Shares	2026-10-08
Small Farrell Financial LLC FNX	$241,183	0.68%	1,788	—	+2 +0.1%	Shares	2026-10-16
Small STRATEGY ASSET MANAGERS LLC Registered adviser FNX	$216,903	0.61%	1,608	—	0 0.0%	Shares	2026-10-14
Mid ZWJ INVESTMENT COUNSEL INC Registered adviser FNX	$212,586	0.60%	1,576	—	0 0.0%	Shares	2026-10-15
Mid SIGNATURE ESTATE & INVESTMENT ADVISORS LLC Registered adviser FNX	$205,032	0.58%	1,520	—	+3 +0.2%	Shares	2026-10-13
Mid GAMMA Investing LLC Registered adviser FNX	$198,423	0.56%	1,471	—	+176 +13.6%	Shares	2026-10-08
Mid IFP Advisors, Inc Registered adviser FNX	$161,598	0.46%	1,198	—	+20 +1.7%	Shares	2026-10-16
Small CITY HOLDING CO Bank FNX	$97,795	0.28%	725	—	0 0.0%	Shares	2026-10-19
Micro THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. FNX	$97,255	0.28%	721	—	-982 -57.7%	Shares	2026-10-14
Large MATHER GROUP, LLC. Registered adviser FNX	$26,843	0.08%	199	—	0 0.0%	Shares	2026-10-14
Mid CoreCap Advisors, LLC Registered adviser FNX	$18,345	0.05%	136	—	0 0.0%	Shares	2026-10-08
Small WORLD EQUITY GROUP, INC. Registered adviser FNX	$634,280	1.80%	4,334	—	Sold Out	Shares	2026-07-09
Small Boston Standard Wealth Management, LLC FNX	$204,890	0.58%	1,400	—	Sold Out	Shares	2026-07-06
Mid Sound Income Strategies, LLC Registered adviser FNX	$202,694	0.57%	1,385	—	Sold Out	Shares	2026-07-20
Small Decker Retirement Planning Inc. Registered adviser FNX	$15,513	0.04%	106	—	Sold Out	Shares	2026-07-16
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