FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND - CARZ
Detailed investor-level table based on 13F positions.
Early Q1 2026 data: only 2 institutional holders reported so far. The full shareholder list will grow as more funds file with the SEC.
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Horizon Wealth Management, LLC | History | New | 54,022 | 4,208 | 0.65% | — | 1 | +54,022 | New | Q4 2025 | Feb 04, 2026 |
| LPL Financial LLC | History | Reduced | 38,926 | 3,032 | 0.0% | 0.0% | 2 | -2,765 | -6.63% | Q4 2025 | Feb 11, 2026 |
| CITADEL ADVISORS LLC | History | New | 34,234 | 2,666 | 0.0% | — | 3 | +34,234 | New | Q4 2025 | Feb 17, 2026 |
| GTS SECURITIES LLC | History | New | 33,303 | 2,594 | 0.09% | — | 4 | +33,303 | New | Q4 2025 | Feb 13, 2026 |
| Farther Finance Advisors, LLC | History | New | 29,230 | 2,277 | 0.02% | — | 5 | +29,230 | New | Q4 2025 | Jan 23, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Reduced | 24,143 | 1,881 | 0.0% | 0.0% | 6 | -242 | -0.99% | Q4 2025 | Feb 05, 2026 |
| Forty-three Eighteen Advisors, LLC | History | New | 21,288 | 1,658 | 1.29% | — | 7 | +21,288 | New | Q4 2025 | Mar 16, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Added to | 8,257 | 643 | 0.0% | 0.0% | 8 | +797 | 10.68% | Q4 2025 | Feb 10, 2026 |
| GeoWealth Management, LLC | History | Reduced | 8,062 | 628 | 0.02% | 0.03% | 9 | -2,115 | -20.78% | Q4 2025 | Feb 17, 2026 |
| Cetera Investment Advisers | History | Added to | 7,464 | 581 | 0.0% | 0.0% | 10 | +1,871 | 33.45% | Q4 2025 | Feb 17, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Reduced | 6,312 | 491 | 0.0% | 0.0% | 11 | -7,999 | -55.89% | Q4 2025 | Feb 17, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 4,788 | 373 | 0.0% | 0.0% | 12 | -1,303 | -21.39% | Q4 2025 | Feb 12, 2026 |
| JANE STREET GROUP, LLC | History | Added to | 4,057 | 316 | 0.0% | 0.0% | 13 | +731 | 21.98% | Q4 2025 | Feb 12, 2026 |
| Eddie Patel Inc | History | New | 3,373 | 262 | 0.2% | — | 14 | +3,373 | New | Q4 2025 | Feb 17, 2026 |
| HighTower Advisors, LLC | History | No change | 3,000 | 233 | 0.0% | 0.0% | 15 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| OSAIC HOLDINGS, INC. | History | Reduced | 2,098 | 163 | 0.0% | 0.0% | 16 | -470 | -18.3% | Q4 2025 | Feb 17, 2026 |
| MORGAN STANLEY | History | Reduced | 1,828 | 142 | 0.0% | 0.0% | 17 | -50 | -2.66% | Q4 2025 | Feb 13, 2026 |
| Global Retirement Partners, LLC | History | Reduced | 925 | 72 | 0.0% | 0.0% | 18 | -157 | -14.51% | Q4 2025 | Feb 06, 2026 |
| FMR LLC | History | No change | 709 | 55 | 0.0% | 0.0% | 19 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| CREATIVE FINANCIAL DESIGNS INC /ADV | History | Added to | 543 | 42 | 0.0% | 0.0% | 20 | +7 | 1.31% | Q4 2025 | Feb 06, 2026 |
| Federation des caisses Desjardins du Quebec | History | No change | 521 | 40 | 0.0% | 0.0% | 21 | 0 | 0.0% | Q4 2025 | Feb 12, 2026 |
| Pacific Center for Financial Services | History | No change | 530 | 38 | 0.01% | 0.01% | 22 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| Arax Advisory Partners | History | New | 336 | 26 | 0.0% | — | 23 | +336 | New | Q4 2025 | Feb 13, 2026 |
| Allworth Financial LP | History | New | 281 | 21 | 0.0% | — | 24 | +281 | New | Q4 2025 | Feb 05, 2026 |
| UBS Group AG | History | Reduced | 61 | 4 | 0.0% | 0.0% | 25 | -145 | -70.39% | Q4 2025 | Jan 29, 2026 |
| AE Wealth Management LLC | History | Reduced | 39 | 3 | 0.0% | 0.0% | 27 | -24 | -38.1% | Q4 2025 | Jan 26, 2026 |
| PRIVATE TRUST CO NA | History | No change | 50 | 3 | 0.0% | 0.0% | 26 | 0 | 0.0% | Q4 2025 | Jan 26, 2026 |
| FLOW TRADERS U.S. LLC | History | Closed out | 0 | 0 | — | 0.12% | — | -42,060 | -100.0% | Q3 2025 | Nov 14, 2025 |
| Q3 Asset Management | History | Closed out | 0 | 0 | — | 0.11% | — | -4,436 | -100.0% | Q3 2025 | Oct 27, 2025 |
| Advisory Services Network, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -2,154 | -100.0% | Q3 2025 | Nov 18, 2025 |
| NBC SECURITIES, INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -101 | -100.0% | Q3 2025 | Nov 14, 2025 |
| WELLS FARGO & COMPANY/MN | History | No change | 3 | 0 | — | — | — | 0 | 0.0% | Q4 2025 | Feb 13, 2026 |
| NewEdge Advisors, LLC | History | No change | 1 | 0 | — | — | — | 0 | 0.0% | Q4 2025 | Feb 18, 2026 |
| DHJJ Financial Advisors, Ltd. | History | No change | 2 | 0 | — | — | — | 0 | 0.0% | Q4 2025 | Jan 23, 2026 |