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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| LPL Financial LLC | History | Reduced | 42,765 | 4,605 | 0.0% | 0.0% | 1 | -3,603 | -7.77% | Q3 2026 | Nov 06, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Reduced | 26,495 | 2,853 | 0.01% | 0.01% | 2 | -11,528 | -30.32% | Q3 2026 | Nov 02, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | No change | 16,390 | 1,942 | 0.0% | 0.0% | 3 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| JANE STREET GROUP, LLC | History | No change | 9,026 | 1,069 | 0.0% | 0.0% | 4 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Cetera Investment Advisers | History | No change | 6,683 | 792 | 0.0% | 0.0% | 5 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| OLD MISSION CAPITAL LLC | History | No change | 5,726 | 678 | 0.01% | 0.01% | 6 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | No change | 4,802 | 569 | 0.0% | 0.0% | 7 | 0 | 0.0% | Q2 2026 | Sep 23, 2026 |
| Proactive Wealth Strategies LLC | History | No change | 4,737 | 510 | 0.08% | 0.09% | 8 | 0 | 0.0% | Q3 2026 | Nov 09, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 3,712 | 399 | 0.0% | 0.0% | 9 | -520 | -12.29% | Q3 2026 | Nov 02, 2026 |
| COMPASS FINANCIAL MANAGEMENT LLC | History | Added to | 3,441 | 370 | 0.04% | 0.04% | 10 | +661 | 23.78% | Q3 2026 | Oct 30, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | No change | 2,912 | 345 | 0.0% | 0.0% | 11 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| HighTower Advisors, LLC | History | No change | 3,000 | 323 | 0.0% | 0.0% | 12 | 0 | 0.0% | Q3 2026 | Nov 09, 2026 |
| FLOW TRADERS U.S. LLC | History | No change | 2,704 | 321 | 0.01% | 0.01% | 13 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| OSAIC HOLDINGS, INC. | History | No change | 2,298 | 272 | 0.0% | 0.0% | 14 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| MORGAN STANLEY | History | No change | 2,061 | 244 | 0.0% | 0.0% | 15 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| STIFEL FINANCIAL CORP | History | No change | 1,848 | 219 | 0.0% | 0.0% | 16 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| CITADEL ADVISORS LLC | History | No change | 1,734 | 205 | 0.0% | 0.0% | 17 | 0 | 0.0% | Q2 2026 | Sep 02, 2026 |
| Advisory Services Network, LLC | History | No change | 1,730 | 204 | 0.0% | 0.0% | 18 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| GeoWealth Management, LLC | History | No change | 1,553 | 184 | 0.01% | 0.01% | 19 | 0 | 0.0% | Q2 2026 | Jul 30, 2026 |
| Global Retirement Partners, LLC | History | No change | 1,392 | 149 | 0.0% | 0.0% | 20 | 0 | 0.0% | Q3 2026 | Nov 10, 2026 |
| FMR LLC | History | Reduced | 709 | 76 | 0.0% | 0.0% | 21 | -9 | -1.25% | Q3 2026 | Nov 10, 2026 |
| Federation des caisses Desjardins du Quebec | History | No change | 521 | 61 | 0.0% | 0.0% | 22 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Pacific Center for Financial Services | History | No change | 538 | 57 | 0.01% | 0.01% | 23 | 0 | 0.0% | Q3 2026 | Oct 15, 2026 |
| Allworth Financial LP | History | No change | 281 | 33 | 0.0% | 0.0% | 24 | 0 | 0.0% | Q3 2026 | Nov 06, 2026 |
| WELLS FARGO & COMPANY/MN | History | No change | 233 | 27 | 0.0% | 0.0% | 25 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Arax Advisory Partners | History | No change | 236 | 27 | 0.0% | 0.0% | 26 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| UBS Group AG | History | Added to | 153 | 16 | 0.0% | 0.0% | 27 | +130 | 565.22% | Q3 2026 | Nov 10, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | No change | 50 | 5 | 0.0% | 0.0% | 28 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| PRIVATE TRUST CO NA | History | No change | 50 | 5 | 0.0% | 0.0% | 29 | 0 | 0.0% | Q3 2026 | Oct 20, 2026 |
| AE Wealth Management LLC | History | No change | 37 | 4 | 0.0% | 0.0% | 30 | 0 | 0.0% | Q2 2026 | Aug 03, 2026 |
| CREATIVE FINANCIAL DESIGNS INC /ADV | History | No change | 20 | 2 | 0.0% | 0.0% | 31 | 0 | 0.0% | Q3 2026 | Nov 04, 2026 |
| Tidemark, LLC | History | No change | 11 | 1 | 0.0% | 0.0% | 32 | 0 | 0.0% | Q3 2026 | Nov 09, 2026 |
| Indivisible Partners | History | Closed out | 0 | 0 | — | 0.01% | — | -2,075 | -100.0% | Q3 2026 | Oct 26, 2026 |
| Blue Trust, Inc. | History | New | 7 | 0 | — | — | — | +7 | New | Q3 2026 | Oct 15, 2026 |
| SIMS INVESTMENT MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | — | — | -3 | -100.0% | Q3 2026 | Oct 13, 2026 |
| NewEdge Advisors, LLC | History | No change | 1 | 0 | — | — | — | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| DHJJ Financial Advisors, Ltd. | History | No change | 2 | 0 | — | — | — | 0 | 0.0% | Q3 2026 | Oct 23, 2026 |