FYC · First Trust Small Cap Growth AlphaDEX Fund · Holdings ETF

$113.35 -1.23 (-1.07%) At close · Oct 22

Volume · Oct 22 124.42K Avg daily vol (3M) 84.62K

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: 34

Total Value: $78,924,530

Total Shares: 684,396

Institutional Ownership Trend

27 quarters

Holder Concentration

Across 34 13F filers · Δ vs Jun 30, 2026

Top Holder

22.6%

+2.8 pts

Top 5

71.8%

+25.0 pts

Top 10

89.1%

+29.5 pts

HHI

1,253

Broadly held+596

Who Holds FYC

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: 177 filers, like-for-like change +15.0%; actively managed books +12.8%; index-like books +48.0%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	28.7%	111	+15.2%	24	7
Adviser	0.8%	1	+5.8%	0	1
Bank	15.8%	12	+2.8%	0	1
Broker-dealer	19.8%	1	+10.5%	0	0
Holding company	10.8%	4	+43.5%	0	1
Unknown	24.1%	48	+17.7%	10	4

Style	Share	Filers	Change	New	Exited
Index-like	8.0%	1	+48.0%	0	1
Systematic-like	0.4%	1	-67.5%	0	2
Concentrated	13.4%	37	+10.5%	9	3
Diversified active	78.2%	138	+14.5%	25	8
Not measured	0.0%	0	—	0	0
Unknown	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	85.8%	118	+12.9%	20	10
Medium turnover	9.7%	38	+46.2%	10	1
High turnover	0.5%	5	-65.2%	1	2
Unknown	4.0%	16	+33.7%	3	1
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	3.9%	14	+34.2%	3	1
Medium horizon	14.7%	32	+7.2%	8	2
Long horizon	80.4%	126	+16.1%	19	10
Unknown	1.0%	5	-9.5%	4	1
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	13.2%	72	+11.4%	17	3
$1B to $10B	8.3%	54	+32.3%	14	3
$10B to $100B	14.3%	31	+24.1%	2	2
$100B or more	64.2%	20	+12.0%	1	6
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	27.1%	103	+19.8%	22	5
Pooled investment vehicles	0.4%	1	-67.5%	0	2
Pension and profit sharing plans	0.1%	2	+45.3%	1	0
Insurance companies	0.2%	1	-2.1%	0	0
Charitable organizations	0.2%	1	+23.0%	0	0
Other	0.0%	2	-6.8%	1	0
Diversified	0.6%	1	+1.1%	0	0
Registered funds and BDCs	0.0%	0	—	0	0
Corporations	0.0%	0	—	0	0
Other investment advisers	0.0%	0	—	0	0
Unknown	71.3%	66	+14.9%	10	7

Private funds	Share	Filers	Change	New	Exited
Hedge funds	0.6%	2	-56.8%	0	2
Private equity funds	0.1%	3	-31.2%	0	1
Other private funds	0.0%	2	+428.1%	1	0
No private funds	28.0%	103	+19.3%	23	4
Real estate funds	0.0%	1	+97.7%	0	0
Unknown	71.3%	66	+14.9%	10	7

Location	Share	Filers	Change	New	Exited
United States	95.5%	174	+16.1%	34	13
Outside the US	4.5%	3	-4.4%	0	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 2 holders with no observed 2026-03-31 13F and 1 holder with no observed 2026-06-30 13F.

Conviction and Crowding

177 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

7.34% of filers hold it in their top 10

Mar 31, 2026: 13

Holders above 5%

median weight 0.025%

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

59.6%

of 13F shares, Herfindahl 0.066

Active holders

+12.8%

like-for-like share change of active filers

5% stakes on record

0 13D, 1 13G (1 institutional, 0 passive, 0 exempt)

How long holders have held it value-weighted 17.9 quarters

Under 1 year 11.1% 1 to 3 years 28.1% 3 years or more 60.8% 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

$90.62

estimated per share

Mar 31, 2026: $84.12

Quarter-end price

$127.34

implied by 13F values

Estimated gain or loss

+40.5%

price against the estimated cost

Estimated at a loss

0.000%

of costed 13F value

Estimated cost covers 31.1% 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: -143

Institutional value: -91.8%

Shares held: -91.0%

Top Buyers

vs Jun 30, 2026

Institution	Added	Now Holds
Mid IFP Advisors, Inc	+5,232	96,052
Large WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	+3,058	12,992
Small VISTA INVESTMENT PARTNERS II, LLC	+2,470	17,845
Micro Paller Financial Services Inc	+2,307	32,571
Small RHODES INVESTMENT ADVISORS INC /ADV	+1,197	10,197

Top Sellers

vs Jun 30, 2026

Institution	Sold	Now Holds
Small WORLD EQUITY GROUP, INC.	−4,250	2,118
Mid PFG Advisors	−4,208	3,465
Small ECLECTIC ASSOCIATES INC /ADV	−3,368	154,920
Small Independent Wealth Network Inc.	−2,864	1,871
Small Redhawk Wealth Advisors, Inc.	−580	39,136

Top New Positions

vs Jun 30, 2026

Institution	Acquired	Value (USD)
Mid Fiduciary Alliance LLC	38,856	$4,480,873
Small Summit Financial Consulting LLC	16,170	$1,864,724
Mid Blue Trust, Inc.	6,102	$703,682
Mid Focus Financial Network, Inc.	5,509	$635,297
Small Rosenberg Matthew Hamilton	50	$5,766

Top Sold-Out Positions

vs Jun 30, 2026

Institution	Previously Held	Last Value (USD)
Small StoryOne LLC	22,632	$2,881,958
Mid Wealthcare Advisory Partners LLC	5,720	$728,384
Small Worth Asset Management, LLC	2,484	$316,312
Small Fulcrum Equity Management	1,959	$249,459
Mid Sound Income Strategies, LLC	1,932	$246,020

Filter: New 5 Increased 12 Reduced 9 Sold out 7 Unchanged 8

Holder type: Registered adviser 26 Bank 1 Unknown 7

Showing 34 of 34

All Common Calls Puts

Compact Export CSV

Holder	Value (USD)	% of 13F	Shares	Own %	Change	Type	Filed
Small ECLECTIC ASSOCIATES INC /ADV Registered adviser FYC	$17,865,374	22.64%	154,920	—	-3,368 -2.1%	Shares	2026-10-09
Small NEW WAVE WEALTH ADVISORS LLC Registered adviser FYC	$11,823,413	14.98%	102,527	—	+137 +0.1%	Shares	2026-10-19
Large Concurrent Investment Advisors, LLC Registered adviser FYC	$11,361,095	14.39%	98,518	—	-505 -0.5%	Shares	2026-10-16
Mid IFP Advisors, Inc Registered adviser FYC	$11,076,716	14.03%	96,052	—	+5,232 +5.8%	Shares	2026-10-16
Small Redhawk Wealth Advisors, Inc. Registered adviser FYC	$4,513,163	5.72%	39,136	—	-580 -1.5%	Shares	2026-10-14
Mid Fiduciary Alliance LLC FYC	$4,480,873	5.68%	38,856	—	New	Shares	2026-10-13
Micro Paller Financial Services Inc Registered adviser FYC	$3,756,087	4.76%	32,571	—	+2,307 +7.6%	Shares	2026-10-13
Small VISTA INVESTMENT PARTNERS II, LLC Registered adviser FYC	$2,057,885	2.61%	17,845	—	+2,470 +16.1%	Shares	2026-10-15
Small Summit Financial Consulting LLC Registered adviser FYC	$1,864,724	2.36%	16,170	—	New	Shares	2026-10-15
Large WEALTH ENHANCEMENT ADVISORY SERVICES, LLC FYC	$1,498,237	1.90%	12,992	—	+3,058 +30.8%	Shares	2026-10-13
Small RHODES INVESTMENT ADVISORS INC /ADV Registered adviser FYC	$1,175,918	1.49%	10,197	—	+1,197 +13.3%	Shares	2026-10-07
Mid Wedmont Private Capital FYC	$879,199	1.11%	7,624	—	0 0.0%	Shares	2026-10-09
Small TruNorth Capital Management, LLC Registered adviser FYC	$774,950	0.98%	6,720	—	0 0.0%	Shares	2026-10-14
Mid Blue Trust, Inc. FYC	$703,682	0.89%	6,102	—	New	Shares	2026-10-15
Mid Focus Financial Network, Inc. FYC	$635,297	0.80%	5,509	—	New	Shares	2026-10-14
Small LexAurum Advisors, LLC Registered adviser FYC	$486,996	0.62%	4,223	—	+121 +2.9%	Shares	2026-10-19
Small BAM Wealth Management, LLC Registered adviser FYC	$421,955	0.53%	3,659	—	+699 +23.6%	Shares	2026-10-15
Mid PFG Advisors Registered adviser FYC	$399,583	0.51%	3,465	—	-4,208 -54.8%	Shares	2026-10-16
Small Echo Wealth Management, LLC Registered adviser FYC	$385,630	0.49%	3,344	—	-123 -3.5%	Shares	2026-10-15
Mid Strategic Blueprint, LLC Registered adviser FYC	$379,748	0.48%	3,293	—	+1,041 +46.2%	Shares	2026-10-22
Small Wagner Wealth Management, LLC Registered adviser FYC	$356,569	0.45%	3,092	—	+463 +17.6%	Shares	2026-10-21
Mid PRIVATE TRUST CO NA FYC	$356,454	0.45%	3,091	—	+47 +1.5%	Shares	2026-10-20
Small Financial Partners Group, Inc Registered adviser FYC	$326,009	0.41%	2,827	—	-38 -1.3%	Shares	2026-10-19
Small Pinnacle Bancorp, Inc. FYC	$325,894	0.41%	2,826	—	0 0.0%	Shares	2026-10-21
Mid First Heartland Consultants, Inc. Registered adviser FYC	$252,320	0.32%	2,188	—	0 0.0%	Shares	2026-10-08
Small WORLD EQUITY GROUP, INC. Registered adviser FYC	$244,247	0.31%	2,118	—	-4,250 -66.7%	Shares	2026-10-14
Small Independent Wealth Network Inc. Registered adviser FYC	$215,763	0.27%	1,871	—	-2,864 -60.5%	Shares	2026-10-19
Small M.E. ALLISON & CO., INC. Registered adviser FYC	$208,383	0.26%	1,807	—	+62 +3.6%	Shares	2026-10-09
Large Farther Finance Advisors, LLC Registered adviser FYC	$24,909	0.03%	216	—	0 0.0%	Shares	2026-10-08
Small CITY HOLDING CO Bank FYC	$24,332	0.03%	211	—	0 0.0%	Shares	2026-10-19
Mid CoreCap Advisors, LLC Registered adviser FYC	$23,986	0.03%	208	—	-164 -44.1%	Shares	2026-10-08
Small Catherine Avery Investment Management LLC Registered adviser FYC	$17,067	0.02%	148	—	0 0.0%	Shares	2026-10-14
Small Rosenberg Matthew Hamilton Registered adviser FYC	$5,766	0.01%	50	—	New	Shares	2026-10-05
Small NFSG Corp Registered adviser FYC	$2,306	0.00%	20	—	0 0.0%	Shares	2026-10-15
Small StoryOne LLC Registered adviser FYC	$2,881,958	3.65%	22,632	—	Sold Out	Shares	2026-07-24
Mid Wealthcare Advisory Partners LLC Registered adviser FYC	$728,384	0.92%	5,720	—	Sold Out	Shares	2026-07-09
Small Worth Asset Management, LLC FYC	$316,312	0.40%	2,484	—	Sold Out	Shares	2026-07-08
Small Fulcrum Equity Management FYC	$249,459	0.32%	1,959	—	Sold Out	Shares	2026-07-09
Mid Sound Income Strategies, LLC Registered adviser FYC	$246,020	0.31%	1,932	—	Sold Out	Shares	2026-07-20
Mid AdvisorNet Financial, Inc Registered adviser FYC	$34,509	0.04%	271	—	Sold Out	Shares	2026-07-23
Micro THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. FYC	$30,433	0.04%	239	—	Sold Out	Shares	2026-07-08
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