FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND - CARZ
Detailed investor-level table based on 13F positions.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| GTS SECURITIES LLC | History | Added to | 41,761 | 3,374 | 0.12% | 0.09% | 1 | +8,458 | 25.4% | Q1 2026 | May 14, 2026 |
| LPL Financial LLC | History | Added to | 41,443 | 3,349 | 0.0% | 0.0% | 2 | +2,517 | 6.47% | Q1 2026 | May 06, 2026 |
| CITADEL ADVISORS LLC | History | Added to | 39,711 | 3,209 | 0.0% | 0.0% | 3 | +5,477 | 16.0% | Q1 2026 | May 15, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Added to | 25,924 | 2,095 | 0.01% | 0.0% | 4 | +1,781 | 7.38% | Q1 2026 | Apr 30, 2026 |
| Forty-three Eighteen Advisors, LLC | History | Added to | 21,916 | 1,771 | 1.33% | 1.29% | 5 | +628 | 2.95% | Q1 2026 | May 06, 2026 |
| JANE STREET GROUP, LLC | History | Added to | 19,884 | 1,606 | 0.0% | 0.0% | 6 | +15,827 | 390.12% | Q1 2026 | May 12, 2026 |
| OLD MISSION CAPITAL LLC | History | New | 18,557 | 1,499 | 0.02% | — | 7 | +18,557 | New | Q1 2026 | May 15, 2026 |
| WORLD EQUITY GROUP, INC. | History | New | 12,441 | 1,005 | 0.26% | — | 8 | +12,441 | New | Q1 2026 | May 06, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Added to | 9,837 | 794 | 0.0% | 0.0% | 9 | +3,525 | 55.85% | Q1 2026 | May 15, 2026 |
| Cetera Investment Advisers | History | Added to | 7,532 | 608 | 0.0% | 0.0% | 10 | +68 | 0.91% | Q1 2026 | May 13, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Reduced | 6,656 | 537 | 0.0% | 0.0% | 11 | -1,601 | -19.39% | Q1 2026 | May 04, 2026 |
| Proactive Wealth Strategies LLC | History | New | 5,042 | 407 | 0.08% | — | 12 | +5,042 | New | Q1 2026 | Apr 29, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 4,624 | 373 | 0.0% | 0.0% | 13 | -164 | -3.43% | Q1 2026 | Apr 27, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | New | 3,012 | 243 | 0.0% | — | 14 | +3,012 | New | Q1 2026 | May 14, 2026 |
| HighTower Advisors, LLC | History | No change | 3,000 | 242 | 0.0% | 0.0% | 15 | 0 | 0.0% | Q1 2026 | May 05, 2026 |
| GeoWealth Management, LLC | History | Reduced | 2,080 | 168 | 0.01% | 0.02% | 16 | -5,982 | -74.2% | Q1 2026 | May 13, 2026 |
| OSAIC HOLDINGS, INC. | History | Reduced | 1,945 | 157 | 0.0% | 0.0% | 17 | -153 | -7.29% | Q1 2026 | May 15, 2026 |
| MORGAN STANLEY | History | Added to | 1,860 | 150 | 0.0% | 0.0% | 18 | +32 | 1.75% | Q1 2026 | May 15, 2026 |
| Advisory Services Network, LLC | History | New | 1,456 | 117 | 0.0% | — | 19 | +1,456 | New | Q1 2026 | May 15, 2026 |
| Global Retirement Partners, LLC | History | No change | 925 | 72 | 0.0% | 0.0% | 20 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| FMR LLC | History | No change | 709 | 57 | 0.0% | 0.0% | 21 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| Pacific Center for Financial Services | History | Added to | 538 | 43 | 0.01% | 0.01% | 22 | +8 | 1.51% | Q1 2026 | May 12, 2026 |
| Federation des caisses Desjardins du Quebec | History | No change | 521 | 42 | 0.0% | 0.0% | 23 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| Allworth Financial LP | History | No change | 281 | 22 | 0.0% | 0.0% | 24 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| PRIVATE TRUST CO NA | History | No change | 50 | 4 | 0.0% | 0.0% | 25 | 0 | 0.0% | Q1 2026 | Apr 30, 2026 |
| AE Wealth Management LLC | History | Reduced | 37 | 2 | 0.0% | 0.0% | 26 | -2 | -5.13% | Q1 2026 | May 13, 2026 |
| CREATIVE FINANCIAL DESIGNS INC /ADV | History | Reduced | 20 | 1 | 0.0% | 0.0% | 27 | -523 | -96.32% | Q1 2026 | Apr 13, 2026 |
| Horizon Wealth Management, LLC | History | Closed out | 0 | 0 | — | 0.65% | — | -54,022 | -100.0% | Q1 2026 | Apr 24, 2026 |
| Farther Finance Advisors, LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -29,230 | -100.0% | Q1 2026 | Apr 07, 2026 |
| Eddie Patel Inc | History | Closed out | 0 | 0 | — | 0.2% | — | -3,373 | -100.0% | Q1 2026 | May 11, 2026 |
| Arax Advisory Partners | History | Closed out | 0 | 0 | — | 0.0% | — | -336 | -100.0% | Q1 2026 | May 13, 2026 |
| UBS Group AG | History | Closed out | 0 | 0 | — | 0.0% | — | -61 | -100.0% | Q1 2026 | May 05, 2026 |
| WELLS FARGO & COMPANY/MN | History | Closed out | 0 | 0 | — | — | — | -3 | -100.0% | Q1 2026 | May 11, 2026 |
| NewEdge Advisors, LLC | History | No change | 1 | 0 | — | — | — | 0 | 0.0% | Q1 2026 | Jun 02, 2026 |
| DHJJ Financial Advisors, Ltd. | History | No change | 2 | 0 | — | — | — | 0 | 0.0% | Q1 2026 | Apr 09, 2026 |