FCA · First Trust China AlphaDEX Fund · Holdings ETF

$25.50 -0.29 (-1.11%) At close · Oct 2

Volume · Oct 2 5437 Avg daily vol (3M) 8400

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: 24

Total Value: $19,431,517

Total Shares: 712,822

Institutional Ownership Trend

26 quarters

Holder Concentration

Across 24 13F filers · Δ vs Mar 31, 2026

Top Holder

44.2%

−25.9 pts

Top 5

75.8%

−12.0 pts

Top 10

93.8%

−1.6 pts

HHI

2,318

Moderately concentrated−2,709

Quarterly Activity

vs Mar 31, 2026

New

Increased

Decreased

Sold Out

Unchanged

Holder count: -1

Institutional value: -78.7%

Shares held: -75.5%

Top Buyers

vs Mar 31, 2026

Institution	Added	Now Holds
Mid OLD MISSION CAPITAL LLC	+278,535	315,188
Mega CITADEL ADVISORS LLC	+82,468	89,362
Mid Avestar Capital, LLC	+623	22,662
Mega ROYAL BANK OF CANADA	+500	600
Mega MORGAN STANLEY	+3	4

Top Sellers

vs Mar 31, 2026

Institution	Sold	Now Holds
Mega JANE STREET GROUP, LLC	−36,301	62,486
Mega LPL Financial LLC	−31,878	29,143
Mega SUSQUEHANNA INTERNATIONAL GROUP, LLP	−22,849	34,701
Mid Transamerica Financial Advisors, LLC	−21,403	297
Small Unique Wealth Strategies, LLC	−20,115	7,369

Top New Positions

vs Mar 31, 2026

Institution	Acquired	Value (USD)
Mega MILLENNIUM MANAGEMENT LLC	33,973	$926,103
Mega GOLDMAN SACHS GROUP INC	24,456	$666,670
Mid FLOW TRADERS U.S. LLC	12,579	$342,903
Mega JPMORGAN CHASE & CO	10,500	$286,230
Large HRT FINANCIAL LP	9,156	$249,592

Top Sold-Out Positions

vs Mar 31, 2026

Institution	Previously Held	Last Value (USD)
Mega FIRST TRUST ADVISORS LP	2,038,422	$63,884,145
Large &PARTNERS	246,980	$7,740,353
Mid Advisory Services Network, LLC	110,818	$3,473,036
Mega BANK OF MONTREAL /CAN/	50,309	$1,576,684
Mega RAYMOND JAMES FINANCIAL INC	36,497	$1,143,815

Filter: New 8 Increased 5 Reduced 9 Sold out 9 Unchanged 2

Showing 24 of 24

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

OLD MISSION CAPITAL LLC

$8,592,024

44.22%

315,188

CITADEL ADVISORS LLC

$2,436,008

12.54%

89,362

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	89,362	$2,436,008	100.0%	Defined

JANE STREET GROUP, LLC

$1,703,368

8.77%

62,486

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

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	62,486	$1,703,368	100.0%	Defined

Cambridge Investment Research Advisors, Inc.

$1,061,040

5.46%

38,923

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$945,949

4.87%

34,701

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

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	14,866	$405,247	42.8%	Other
G1 EXECUTION SERVICES, LLC	19,835	$540,702	57.2%	Other

MILLENNIUM MANAGEMENT LLC

$926,103

4.77%

33,973

LPL Financial LLC

$794,438

4.09%

29,143

GOLDMAN SACHS GROUP INC

$666,670

3.43%

24,456

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	24,456	$666,670	100.0%	Defined

Avestar Capital, LLC

$617,766

3.18%

22,662

Genesee Capital Advisors, LLC

$485,964

2.50%

17,827

FLOW TRADERS U.S. LLC

$342,903

1.76%

12,579

JPMORGAN CHASE & CO

$286,230

1.47%

10,500

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

Manager	Shares	Value (USD)	% of position	Discretion
J.P. Morgan Securities LLC	10,500	$286,230	100.0%	Defined

HRT FINANCIAL LP

$249,592

1.28%

9,156

Unique Wealth Strategies, LLC

$200,878

1.03%

7,369

COMPASS FINANCIAL MANAGEMENT LLC

$39,636

0.20%

1,454

UBS Group AG

$30,503

0.16%

1,119

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

Manager	Shares	Value (USD)	% of position	Discretion
UBS Securities LLC	1,119	$30,503	100.0%	Defined

ROYAL BANK OF CANADA

$16,356

0.08%

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	500	$13,630	83.3%	Defined
RBC Dominion Securities Inc.	100	$2,726	16.7%	Defined

SITTNER & NELSON, LLC

$14,720

0.08%

540

Transamerica Financial Advisors, LLC

$8,096

0.04%

297

ROTHSCHILD INVESTMENT LLC

$6,951

0.04%

255

ASSETMARK, INC

$2,398

0.01%

OSAIC HOLDINGS, INC.

$2,044

0.01%

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

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	75	$2,044	100.0%	Defined

Global Retirement Partners, LLC

$1,771

0.01%

MORGAN STANLEY

$109

0.00%

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	4	$109	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
BMO NESBITT BURNS INC.	50,309	$1,576,684	100.0%	Defined

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

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	34,216	$1,072,329	93.8%	Defined
Raymond James Financial Services Advisors, Inc.	2,281	$71,486	6.2%	Defined