FYX · First Trust Small Cap Core AlphaDEX Fund · Holdings ETF

$137.73 -0.34 (-0.25%) At close · Oct 23

Volume · Oct 23 18.03K Avg daily vol (3M) 38K

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 →

Recent SEC filings are still being reconciled. Holder totals and changes may be incomplete until processing catches up.

Quarter:

Holders: 43

Total Value: $78,758,547

Total Shares: 585,174

Institutional Ownership Trend

27 quarters

Holder Concentration

Across 43 13F filers · Δ vs Jun 30, 2026

Top Holder

27.0%

+16.6 pts

Top 5

71.2%

+24.5 pts

Top 10

85.9%

+19.5 pts

HHI

1,370

Broadly held+811

Who Holds FYX

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: 206 filers, like-for-like change +13.0%; actively managed books +14.1%; index-like books +3.9%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	24.5%	132	+27.8%	28	9
Adviser	3.8%	1	+3.8%	0	0
Bank	33.9%	12	+13.1%	1	0
Broker-dealer	10.0%	2	+13.1%	1	0
Holding company	10.9%	7	+4.4%	0	0
Unknown	16.8%	52	+3.1%	14	8

Style	Share	Filers	Change	New	Exited
Index-like	10.0%	5	+3.9%	0	0
Systematic-like	0.3%	2	-39.6%	0	0
Concentrated	10.7%	58	+15.9%	16	5
Diversified active	79.1%	141	+14.3%	28	12
Not measured	0.0%	0	—	0	0
Unknown	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	87.1%	152	+11.6%	25	10
Medium turnover	10.2%	37	+44.1%	15	3
High turnover	0.5%	6	-56.5%	2	2
Unknown	2.2%	11	+0.9%	2	2
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	2.8%	13	+13.0%	5	3
Medium horizon	12.0%	49	+12.8%	12	5
Long horizon	83.9%	136	+12.2%	22	9
Unknown	1.3%	8	+139.8%	5	0
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	11.8%	72	+43.0%	25	6
$1B to $10B	8.1%	71	+7.9%	16	10
$10B to $100B	13.7%	39	+5.2%	3	0
$100B or more	66.4%	24	+11.2%	0	1
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	23.1%	119	+24.6%	23	9
Pooled investment vehicles	0.3%	2	-39.6%	0	0
Registered funds and BDCs	0.9%	2	new	2	0
Pension and profit sharing plans	0.1%	1	+0.2%	0	0
Other investment advisers	0.1%	4	+201.0%	2	0
Diversified	0.1%	4	+107.7%	1	0
Corporations	0.0%	0	—	0	0
Unknown	75.5%	74	+8.9%	16	8

Private funds	Share	Filers	Change	New	Exited
Hedge funds	0.6%	6	-16.7%	2	0
Private equity funds	0.3%	8	+19.1%	3	0
Real estate funds	0.0%	2	+31.5%	1	0
Securitized asset funds	0.0%	1	0.0%	0	0
Other private funds	2.0%	7	+3.5%	1	0
Private funds, type not stated	0.1%	1	-2.4%	0	0
No private funds	21.5%	107	+33.0%	21	9
Unknown	75.5%	74	+8.9%	16	8

Location	Share	Filers	Change	New	Exited
United States	83.7%	204	+13.4%	44	17
Outside the US	16.3%	2	+11.1%	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 1 holder with no observed 2026-03-31 13F and 3 holders with no observed 2026-06-30 13F.

Conviction and Crowding

206 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

7.28% of filers hold it in their top 10

Mar 31, 2026: 14

Holders above 5%

median weight 0.017%

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

66.4%

of 13F shares, Herfindahl 0.056

Active holders

+14.1%

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 7.19% 1 to 3 years 14.7% 3 years or more 78.1% 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

$109.76

estimated per share

Mar 31, 2026: $99.74

Quarter-end price

$144.30

implied by 13F values

Estimated gain or loss

+31.5%

price against the estimated cost

Estimated at a loss

0.000%

of costed 13F value

Estimated cost covers 17.4% 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.

Fund Ownership of FYX by Fund Type

Registered funds' Form N-PORT reports for the quarter ended Jun 30, 2026

Index funds and index ETFs hold 0 shares.

Fund type	Shares	Funds
Index funds	0	0
Index ETFs	0	0
Active ETFs	0	0
Active funds	32,500	1
Unclassified	0	0
All registered funds	32,500	1

How fund types are measured

Each fund series counts once, with its latest Form N-PORT report dated inside the quarter; only long share positions count, restated to today's split basis. The fund type is the series' latest Form N-CEN answer on or before the quarter end (the index-fund box and the exchange-traded flag), never its name. Unclassified funds have no usable N-CEN; unit investment trusts are among them, so index ownership is a floor. Funds sit inside their advisers' 13F reports, so these shares overlap the 13F figures and are never added to them.

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: -163

Institutional value: -92.1%

Shares held: -91.5%

Top Buyers

vs Jun 30, 2026

Institution	Added	Now Holds
Small CITY HOLDING CO	+6,358	42,219
Large Concurrent Investment Advisors, LLC	+3,318	110,919
Large WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	+1,859	34,169
Small Wealth Alliance Advisory Group, LLC	+1,618	60,928
Mid Atria Investments, Inc	+1,525	3,278

Top Sellers

vs Jun 30, 2026

Institution	Sold	Now Holds
Small Genesee Capital Advisors, LLC	−6,182	157,707
Mid B. Riley Wealth Advisors, Inc.	−5,387	6,305
Mid PARK NATIONAL CORP /OH/	−1,212	21,359
Small DHJJ Financial Advisors, Ltd.	−994	3,788
Small TCFG Investment Advisors, LLC	−794	6,471

Top New Positions

vs Jun 30, 2026

Institution	Acquired	Value (USD)
Small RiverTree Advisors, LLC	6,209	$835,669
Mid CITIZENS FINANCIAL GROUP INC/RI	2,575	$346,569
Small Investors Research Corp	142	$19,111
Large ASSETMARK, INC	2	$269

Top Sold-Out Positions

vs Jun 30, 2026

Institution	Previously Held	Last Value (USD)
Small Catalyst Investment Management LLC	17,580	$2,536,794
Mid AXXCESS WEALTH MANAGEMENT, LLC	9,023	$1,302,018
Mid C2P Capital Advisory Group, LLC d.b.a. Prosperity Capital Advisors	2,498	$360,461
Small Fulcrum Equity Management	1,711	$246,897
Mid SIGNATURE ESTATE & INVESTMENT ADVISORS LLC	1,399	$201,875

Filter: New 4 Increased 13 Reduced 18 Sold out 6 Unchanged 8

Holder type: Registered adviser 29 Bank 3 Unknown 11

Showing 43 of 43

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

Genesee Capital Advisors, LLC FYX

$21,225,785

26.95%

157,707

Concurrent Investment Advisors, LLC FYX

$14,928,588

18.95%

110,919

Wealth Alliance Advisory Group, LLC FYX

$8,200,299

10.41%

60,928

Mainsail Financial Group, LLC FYX

$6,006,078

7.63%

44,625

CITY HOLDING CO FYX

$5,682,255

7.21%

42,219

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC FYX

$4,598,805

5.84%

34,169

PARK NATIONAL CORP /OH/ FYX

$2,874,707

3.65%

21,359

Cyndeo Wealth Partners, LLC FYX

$1,583,720

2.01%

11,767

ARS Wealth Advisors Group, LLC FYX

$1,343,611

1.71%

9,983

Triumph Capital Management FYX

$1,221,135

1.55%

9,073

TCFG Investment Advisors, LLC FYX

$870,931

1.11%

6,471

B. Riley Wealth Advisors, Inc. FYX

$848,589

1.08%

6,305

RiverTree Advisors, LLC FYX

$835,669

1.06%

6,209

Root Financial Partners, LLC FYX

$669,854

0.85%

4,977

Trueblood Wealth Management, LLC FYX

$586,004

0.74%

4,354

Balboa Wealth Partners FYX

$542,532

0.69%

4,031

Krilogy Financial LLC FYX

$530,284

0.67%

3,940

Hilton Head Capital Partners, LLC FYX

$512,653

0.65%

3,809

DHJJ Financial Advisors, Ltd. FYX

$509,826

0.65%

3,788

Gibbs Wealth Management FYX

$487,888

0.62%

3,625

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

Manager	Shares	Value (USD)	% of position	Discretion
TOWNSQUARE CAPITAL LLC	3,625	$487,888	100.0%	Other

Atria Investments, Inc FYX

$441,186

0.56%

3,278

Fragasso Financial Advisors Inc FYX

$427,861

0.54%

3,179

PRIVATE TRUST CO NA FYX

$374,833

0.48%

2,785

WEALTH EFFECTS LLC FYX

$364,873

0.46%

2,711

CITIZENS FINANCIAL GROUP INC/RI FYX

$346,569

0.44%

2,575

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

Manager	Shares	Value (USD)	% of position	Discretion
CITIZENS PRIVATE WEALTH, LLC	2,575	$346,569	100.0%	Defined

Venture Visionary Partners LLC FYX

$331,898

0.42%

2,466

INDEPENDENT FINANCIAL GROUP, LLC FYX

$324,092

0.41%

2,408

Farrell Financial LLC FYX

$296,098

0.38%

2,200

WEDBUSH SECURITIES INC FYX

$294,079

0.37%

2,185

GAMMA Investing LLC FYX

$277,389

0.35%

2,061

TRUEFG, LLC FYX

$235,936

0.30%

1,753

SAGESPRING WEALTH PARTNERS, LLC FYX

$231,629

0.29%

1,721

Boston Standard Wealth Management, LLC FYX

$216,824

0.28%

1,611

Kings Path Partners LLC FYX

$211,306

0.27%

1,570

Farther Finance Advisors, LLC FYX

$128,937

0.16%

958

CX Institutional FYX

$96,904

0.12%

720

IFP Advisors, Inc FYX

$54,912

0.07%

408

Investors Research Corp FYX

$19,111

0.02%

142

MATHER GROUP, LLC. FYX

$8,613

0.01%

CoreCap Advisors, LLC FYX

$7,402

0.01%

BEACON INVESTMENT ADVISORY SERVICES, INC. FYX

$4,710

0.01%

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. FYX

$3,903

0.00%

ASSETMARK, INC FYX

$269

0.00%