FAB · First Trust Multi Cap Value AlphaDEX Fund · Holdings ETF

$99.54 +0.03 (+0.03%) At close · Oct 2

Volume · Oct 2 5053 Avg daily vol (3M) 21.31K

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 →

Some SEC filings for this period have not finished importing. Holder totals and changes may be incomplete; these filings remain queued for recovery.

Quarter:

Holders: 66

Total Value: $65,406,176

Total Shares: 644,396

Institutional Ownership Trend

26 quarters

Holder Concentration

Across 66 13F filers · Δ vs Mar 31, 2026

Top Holder

12.0%

+2.3 pts

Top 5

45.5%

+5.5 pts

Top 10

67.2%

+3.5 pts

HHI

578

Broadly held+79

Quarterly Activity

vs Mar 31, 2026

New

Increased

Decreased

Sold Out

Unchanged

Holder count: -2

Institutional value: +2.2%

Shares held: -4.8%

Top Buyers

vs Mar 31, 2026

Institution	Added	Now Holds
Mega LPL Financial LLC	+22,023	77,533
Mega ROYAL BANK OF CANADA	+3,593	36,600
Mega ENVESTNET ASSET MANAGEMENT INC	+3,182	7,271
Mega JONES FINANCIAL COMPANIES LLLP	+1,939	7,174
Mega CITADEL ADVISORS LLC	+1,056	34,195

Top Sellers

vs Mar 31, 2026

Institution	Sold	Now Holds
Mega SUSQUEHANNA INTERNATIONAL GROUP, LLP	−26,836	9,370
Mega GOLDMAN SACHS GROUP INC	−10,900	10,916
Large Baird Financial Group, Inc.	−5,904	15,524
Large COMMONWEALTH EQUITY SERVICES, LLC	−2,086	15,442
Mid PRINCIPAL SECURITIES, INC.	−1,671	5,777

Top New Positions

vs Mar 31, 2026

Institution	Acquired	Value (USD)
Mid Virtu Financial LLC	4,274	$433,811
Mid IFG Advisory, LLC	1,949	$197,823
Mid Private Wealth Asset Management, LLC	762	$77,343
Large ASSETMARK, INC	102	$10,353
Mid Global Retirement Partners, LLC	15	$1,522

Top Sold-Out Positions

vs Mar 31, 2026

Institution	Previously Held	Last Value (USD)
Mid PFG Advisors	14,035	$1,327,009
Small TCFG WEALTH MANAGEMENT, LLC	3,602	$340,569
Mid Sound Income Strategies, LLC	811	$76,680
Small Hilton Head Capital Partners, LLC	600	$56,730
Mid Anchor Investment Management, LLC	350	$33,092

Filter: New 5 Increased 18 Reduced 23 Sold out 7 Unchanged 20

Showing 66 of 66

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

LPL Financial LLC

$7,869,599

12.03%

77,533

RAYMOND JAMES FINANCIAL INC

$6,651,091

10.17%

65,528

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

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	9,289	$942,833	14.2%	Defined
Raymond James Financial Services Advisors, Inc.	53,827	$5,463,440	82.1%	Defined
RAYMOND JAMES TRUST N.A.	2,412	$244,818	3.7%	Defined

MORGAN STANLEY

$6,233,723

9.53%

61,416

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	61,416	$6,233,723	100.0%	Defined

WELLS FARGO & COMPANY/MN

$4,622,716

7.07%

45,544

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	18,708	$1,898,862	41.1%	Defined
WELLS FARGO CLEARING SERVICES, LLC	26,836	$2,723,854	58.9%	Defined

OSAIC HOLDINGS, INC.

$4,389,773

6.71%

43,249

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

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	43,249	$4,389,773	100.0%	Defined

ROYAL BANK OF CANADA

$3,714,900

5.68%

36,600

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	35,714	$3,624,971	97.6%	Defined
RBC Rochdale, LLC	886	$89,929	2.4%	Defined

626 Financial, LLC

$3,573,307

5.46%

35,205

CITADEL ADVISORS LLC

$3,470,792

5.31%

34,195

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	34,195	$3,470,792	100.0%	Defined

STIFEL FINANCIAL CORP

$1,836,439

2.81%

18,093

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\	18,093	$1,836,439	100.0%	Defined

Proactive Wealth Strategies LLC

$1,577,614

2.41%

15,543

Baird Financial Group, Inc.

$1,575,686

2.41%

15,524

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

Manager	Shares	Value (USD)	% of position	Discretion
Robert W. Baird & Co. Inc	15,524	$1,575,686	100.0%	Defined

COMMONWEALTH EQUITY SERVICES, LLC

$1,567,363

2.40%

15,442

GOLDMAN SACHS GROUP INC

$1,107,974

1.69%

10,916

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	10,916	$1,107,974	100.0%	Defined

Private Advisor Group, LLC

$1,061,994

1.62%

10,463

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$951,055

1.45%

9,370

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

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	9,370	$951,055	100.0%	Other

HARBOUR INVESTMENTS, INC.

$947,401

1.45%

9,334

Quad-Cities Investment Group, LLC

$866,505

1.32%

8,537

UBS Group AG

$767,543

1.17%

7,562

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	7,182	$728,973	95.0%	Defined
UBS Securities LLC	380	$38,570	5.0%	Defined

Cambridge Investment Research Advisors, Inc.

$761,047

1.16%

7,498

Rockefeller Capital Management L.P.

$758,712

1.16%

7,475

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

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER FINANCIAL LLC	7,475	$758,712	100.0%	Defined

Avidian Wealth Enterprises, LLC

$742,472

1.14%

7,315

ENVESTNET ASSET MANAGEMENT INC

$738,006

1.13%

7,271

Janney Montgomery Scott LLC

$732,830

1.12%

7,220

JONES FINANCIAL COMPANIES LLLP

$728,161

1.11%

7,174

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.	7,174	$728,161	100.0%	Sole

Cetera Investment Advisers

$684,414

1.05%

6,743

Capital Investment Advisory Services, LLC

$641,175

0.98%

6,317

D.A. DAVIDSON & CO.

$588,192

0.90%

5,795

PRINCIPAL SECURITIES, INC.

$586,365

0.90%

5,777

COTTONWOOD CAPITAL ADVISORS, LLC

$492,478

0.75%

4,852

Stratos Wealth Partners, LTD.

$476,745

0.73%

4,697

PFG Investments, LLC

$443,149

0.68%

4,366

Virtu Financial LLC

$433,811

0.66%

4,274

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

Manager	Shares	Value (USD)	% of position	Discretion
Virtu Americas LLC	4,274	$433,811	100.0%	Defined

HFG Advisors, Inc.

$415,642

0.64%

4,095

TRUIST FINANCIAL CORP

$406,101

0.62%

4,001

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.	4,001	$406,101	100.0%	Defined

TCFG Investment Advisors, LLC

$365,603

0.56%

3,602

Apeiron RIA LLC

$328,251

0.50%

3,234

Creative Planning

$324,495

0.50%

3,197

Kestra Advisory Services, LLC

$244,310

0.37%

2,407

Clearstead Advisors, LLC

$235,175

0.36%

2,317

Moors & Cabot, Inc.

$228,781

0.35%

2,254

Pacific Sun Financial Corp

$214,165

0.33%

2,110

IFG Advisory, LLC

$197,823

0.30%

1,949

CENTAURUS FINANCIAL, INC.

$112,969

0.17%

1,113

Golden State Wealth Management, LLC

$99,977

0.15%

985

NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO

$82,316

0.13%

811

FMR LLC

$80,083

0.12%

789

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

Manager	Shares	Value (USD)	% of position	Discretion
STRATEGIC ADVISERS LLC	789	$80,083	100.0%	Defined

JPMORGAN CHASE & CO

$78,053

0.12%

769

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

Manager	Shares	Value (USD)	% of position	Discretion
55I, LLC	769	$78,053	100.0%	Other

Private Wealth Asset Management, LLC

$77,343

0.12%

762

IFP Advisors, Inc

$70,745

0.11%

697

Parkside Financial Bank & Trust

$60,900

0.09%

600

NewEdge Advisors, LLC

$32,480

0.05%

320

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

$28,420

0.04%

280

Geneos Wealth Management Inc.

$24,969

0.04%

246

TRUST CO OF TOLEDO NA /OH/

$20,300

0.03%

200

ASSETMARK, INC

$10,353

0.02%

102

Godfrey Financial Associates, Inc.

$10,150

0.02%

100

UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC

$10,150

0.02%

100

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

Manager	Shares	Value (USD)	% of position	Discretion
UBS Group AG	100	$10,150	100.0%	Defined

Parallel Advisors, LLC

$10,150

0.02%

100

PNC FINANCIAL SERVICES GROUP, INC.

$9,947

0.02%

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

Manager	Shares	Value (USD)	% of position	Discretion
PNC Wealth Management LLC	98	$9,947	100.0%	Defined

NBC SECURITIES, INC.

$9,135

0.01%

Arax Advisory Partners

$7,612

0.01%

Allworth Financial LP

$7,105

0.01%

Larson Financial Group LLC

$4,263

0.01%

AdvisorNet Financial, Inc

$3,755

0.01%

Global Retirement Partners, LLC

$1,522

0.00%

CITIGROUP INC

$101

0.00%

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

Manager	Shares	Value (USD)	% of position	Discretion
Citigroup Financial Products Inc. joint	1	$101	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
Russell Investment Management, LLC	20	$1,891	100.0%	Defined