FAB · First Trust Multi Cap Value AlphaDEX Fund

$108.17 +0.24 (+0.22%) At close · Aug 14

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.

Quarter:

Holders: 28

Total Value: $40,255,197

Total Shares: 396,603

Institutional Ownership Trend

26 quarters

Holder Concentration

Across 28 13F filers · Δ vs Mar 31, 2026

Top Holder

16.5%

+6.8 pts

Top 5

63.6%

+23.6 pts

Top 10

85.8%

+22.1 pts

HHI

995

Broadly held+495

Quarterly Activity

vs Mar 31, 2026

New

Increased

Decreased

Sold Out

Unchanged

Holder count: -40

Institutional value: -37.1%

Shares held: -41.4%

Top Buyers

vs Mar 31, 2026

Institution	Added	Now Holds
Mega ROYAL BANK OF CANADA	+3,593	36,600
Large JONES FINANCIAL COMPANIES LLLP	+1,939	7,174
Mega CITADEL ADVISORS LLC	+1,056	34,195
Mega WELLS FARGO & COMPANY/MN	+573	45,544
Mega UBS Group AG	+380	7,562

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 STIFEL FINANCIAL CORP	−1,100	18,093
Large OSAIC HOLDINGS, INC.	−373	43,249

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
Small Private Wealth Asset Management, LLC	762	$77,343
Large NewEdge Advisors, LLC	320	$32,480

Top Sold-Out Positions

vs Mar 31, 2026

Institution	Previously Held	Last Value (USD)
Mega LPL Financial LLC	55,510	$5,248,470
Small 626 Financial, LLC	35,722	$3,377,515
Large COMMONWEALTH EQUITY SERVICES, LLC	17,528	$1,657,272
Small Proactive Wealth Strategies LLC	16,387	$1,549,390
Small PFG Advisors	14,035	$1,327,009

Filter: New 4 Increased 10 Reduced 9 Sold out 44 Unchanged 5

Showing 28 of 28

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

RAYMOND JAMES FINANCIAL INC

$6,651,091

16.52%

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

15.49%

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

11.48%

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

10.90%

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

9.23%

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

CITADEL ADVISORS LLC

$3,470,792

8.62%

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

4.56%

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

Baird Financial Group, Inc.

$1,575,686

3.91%

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

GOLDMAN SACHS GROUP INC

$1,107,974

2.75%

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

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$951,055

2.36%

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

2.35%

9,334

UBS Group AG

$767,543

1.91%

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

Rockefeller Capital Management L.P.

$758,712

1.88%

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

JONES FINANCIAL COMPANIES LLLP

$728,161

1.81%

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

1.70%

6,743

Stratos Wealth Partners, LTD.

$476,745

1.18%

4,697

Virtu Financial LLC

$433,811

1.08%

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

Creative Planning

$324,495

0.81%

3,197

IFG Advisory, LLC

$197,823

0.49%

1,949

NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO

$82,316

0.20%

811

FMR LLC

$80,083

0.20%

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

0.19%

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

0.19%

762

NewEdge Advisors, LLC

$32,480

0.08%

320

Godfrey Financial Associates, Inc.

$10,150

0.03%

100

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

$10,150

0.03%

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

Allworth Financial LP

$7,105

0.02%

Larson Financial Group LLC

$4,263

0.01%

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.	4,126	$390,113	100.0%	Defined

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	151	$14,277	100.0%	Defined

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	$9,265	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

Key facts CIK 1383496 CUSIP 33733C108 13F (30d) 28 filings 28 filers