FYT · First Trust Small Cap Value AlphaDEX Fund ETF

$72.28 +0.38 (+0.53%) 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: 2

Total Value: $1,413,163

Total Shares: 20,243

Institutional Ownership Trend

16 quarters

Holder Concentration

Across 2 13F filers · Δ vs Sep 30, 2023

Top Holder

82.4%

+64.7 pts

Top 5

100.0%

+26.7 pts

Top 10

100.0%

+6.4 pts

HHI

7,098

Highly concentrated+5,859

Quarterly Activity

vs Sep 30, 2023

New

1

Increased

1

Decreased

0

Sold Out

26

Unchanged

0

Holder count: -25

Institutional value: -98.1%

Shares held: -98.7%

Top Buyers

vs Sep 30, 2023

Institution	Added	Now Holds	Open
Mega CITADEL ADVISORS LLC	+10,714	16,678

Top Sellers

vs Sep 30, 2023

No qualifying movers this quarter.

Top New Positions

vs Sep 30, 2023

Institution	Acquired	Value (USD)	Open
Large Corient Private Wealth LLC	3,565	$248,872

Top Sold-Out Positions

vs Sep 30, 2023

Institution	Previously Held	Last Value (USD)	Open
Mega WELLS FARGO & COMPANY/MN	283,250	$13,307,084
Small Blueprint Investment Partners LLC	256,733	$12,061,316
Mega LPL Financial LLC	256,069	$12,030,121
Mega MORGAN STANLEY	202,539	$9,515,281
Mega ROYAL BANK OF CANADA	172,163	$8,088,215

Filter: New 1 Increased 1 Reduced 0 Sold out 26 Unchanged 0

Showing 2 of 2

All Common Calls Puts

Compact Export CSV

CITADEL ADVISORS LLC FYT

$1,164,291

82.39%

16,678

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	16,678	$1,164,291	100.0%	Defined

Corient Private Wealth LLC FYT

$248,872

17.61%

3,565

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	19,766	$928,606	7.0%	Defined
WELLS FARGO CLEARING SERVICES, LLC	263,484	$12,378,478	93.0%	Defined

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	202,374	$9,507,530	99.9%	Defined
PARAMETRIC PORTFOLIO ASSOCIATES LLC	165	$7,751	0.1%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
RBC CMA LLC	7,564	$355,356	4.4%	Defined
RBC Capital Markets, LLC	162,970	$7,656,330	94.7%	Defined
RBC Trust Co (Delaware) Ltd	268	$12,590	0.2%	Defined
CITY NATIONAL BANK	61	$2,865	0.0%	Defined
ENVESTNET ASSET MANAGEMENT INC joint	1,300	$61,074	0.8%	Other

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

Manager	Shares	Value (USD)	% of position	Discretion
Truist Advisory Services, Inc.	159,733	$7,504,256	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	18,345	$861,848	45.8%	Defined
FSC SECURITES, INC.	4,080	$191,678	10.2%	Defined
WOODBURY FINANCIAL SERVICES, INC.	9,809	$460,826	24.5%	Defined
SECURITIES AMERICA ADVISORS INC	3,973	$186,651	9.9%	Defined
ARBOR POINT ADVISORS, LLC	1,178	$55,342	2.9%	Defined
VISION2020 WEALTH MANAGEMENT CORP.	2,641	$124,074	6.6%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
BENJAMIN EDWARDS INC	39,653	$1,862,897	100.0%	Defined

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\	20,689	$971,969	100.0%	Defined

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)	16,176	$759,948	100.0%	Defined

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	9,021	$423,806	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
G1 EXECUTION SERVICES, LLC	6,180	$290,336	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
NORTHWESTERN MUTUAL LIFE INSURANCE CO	2,872	$134,926	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
Comerica Bank	82	$3,852	100.0%	Sole