FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND - FAB
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| RAYMOND JAMES FINANCIAL INC | History | Added to | 65,604 | 6,202 | 0.0% | 0.0% | 1 | +3,877 | 6.28% | Q1 2026 | May 14, 2026 |
| MORGAN STANLEY | History | Reduced | 61,501 | 5,814 | 0.0% | 0.0% | 2 | -2,341 | -3.67% | Q1 2026 | May 15, 2026 |
| LPL Financial LLC | History | Added to | 55,510 | 5,248 | 0.0% | 0.0% | 3 | +9,841 | 21.55% | Q1 2026 | May 06, 2026 |
| WELLS FARGO & COMPANY/MN | History | Added to | 44,971 | 4,251 | 0.0% | 0.0% | 4 | +10,400 | 30.08% | Q1 2026 | Jul 08, 2026 |
| OSAIC HOLDINGS, INC. | History | Added to | 43,622 | 4,124 | 0.01% | 0.01% | 5 | +682 | 1.59% | Q1 2026 | May 15, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Added to | 36,206 | 3,423 | 0.0% | 0.0% | 6 | +22,676 | 167.6% | Q1 2026 | May 15, 2026 |
| 626 Financial, LLC | History | Reduced | 35,722 | 3,377 | 1.51% | 1.37% | 7 | -128 | -0.36% | Q1 2026 | Apr 23, 2026 |
| CITADEL ADVISORS LLC | History | Added to | 33,139 | 3,133 | 0.0% | 0.0% | 8 | +24,609 | 288.5% | Q1 2026 | May 15, 2026 |
| ROYAL BANK OF CANADA | History | Reduced | 33,007 | 3,121 | 0.0% | 0.0% | 9 | -212 | -0.64% | Q1 2026 | May 15, 2026 |
| GOLDMAN SACHS GROUP INC | History | Reduced | 21,816 | 2,062 | 0.0% | 0.0% | 10 | -226 | -1.03% | Q1 2026 | May 15, 2026 |
| Baird Financial Group, Inc. | History | Added to | 21,428 | 2,025 | 0.0% | 0.0% | 11 | +87 | 0.41% | Q1 2026 | May 14, 2026 |
| STIFEL FINANCIAL CORP | History | Reduced | 19,193 | 1,814 | 0.0% | 0.0% | 12 | -315 | -1.61% | Q1 2026 | May 12, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 17,528 | 1,657 | 0.0% | 0.0% | 13 | -1,514 | -7.95% | Q1 2026 | Apr 27, 2026 |
| Proactive Wealth Strategies LLC | History | Added to | 16,387 | 1,549 | 0.29% | 0.29% | 14 | +8,224 | 100.75% | Q1 2026 | Apr 29, 2026 |
| PFG Advisors | History | No change | 14,035 | 1,326 | 0.06% | 0.06% | 15 | 0 | 0.0% | Q1 2026 | May 05, 2026 |
| Private Advisor Group, LLC | History | Added to | 10,453 | 988 | 0.0% | 0.0% | 16 | +21 | 0.2% | Q1 2026 | Apr 24, 2026 |
| HARBOUR INVESTMENTS, INC. | History | Added to | 9,333 | 882 | 0.01% | 0.01% | 17 | +2,191 | 30.68% | Q1 2026 | May 15, 2026 |
| Quad-Cities Investment Group, LLC | History | Reduced | 8,828 | 834 | 0.33% | 0.33% | 18 | -121 | -1.35% | Q1 2026 | Apr 21, 2026 |
| Rockefeller Capital Management L.P. | History | Reduced | 7,794 | 736 | 0.0% | 0.0% | 19 | -951 | -10.87% | Q1 2026 | May 14, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Reduced | 7,488 | 708 | 0.0% | 0.0% | 20 | -248 | -3.21% | Q1 2026 | Apr 30, 2026 |
| PRINCIPAL SECURITIES, INC. | History | Reduced | 7,448 | 704 | 0.01% | 0.02% | 21 | -3,801 | -33.79% | Q1 2026 | May 13, 2026 |
| Janney Montgomery Scott LLC | History | Reduced | 7,320 | 692 | 0.0% | 0.0% | 22 | -1 | -0.01% | Q1 2026 | Apr 22, 2026 |
| Avidian Wealth Enterprises, LLC | History | Added to | 7,296 | 689 | 0.02% | 0.02% | 23 | +21 | 0.29% | Q1 2026 | May 07, 2026 |
| UBS Group AG | History | Added to | 7,182 | 679 | 0.0% | 0.0% | 24 | +987 | 15.93% | Q1 2026 | May 05, 2026 |
| Cetera Investment Advisers | History | Added to | 6,867 | 649 | 0.0% | 0.0% | 25 | +229 | 3.45% | Q1 2026 | May 13, 2026 |
| Capital Investment Advisory Services, LLC | History | Reduced | 6,572 | 621 | 0.05% | 0.04% | 26 | -50 | -0.76% | Q1 2026 | May 05, 2026 |
| D.A. DAVIDSON & CO. | History | No change | 5,795 | 547 | 0.0% | 0.0% | 27 | 0 | 0.0% | Q1 2026 | May 05, 2026 |
| JONES FINANCIAL COMPANIES LLLP | History | Added to | 5,235 | 490 | 0.0% | 0.0% | 28 | +1,285 | 32.53% | Q1 2026 | May 15, 2026 |
| COTTONWOOD CAPITAL ADVISORS, LLC | History | Reduced | 4,853 | 458 | 0.32% | 0.31% | 29 | -1 | -0.02% | Q1 2026 | Apr 17, 2026 |
| Stratos Wealth Partners, LTD. | History | Added to | 4,687 | 443 | 0.01% | 0.0% | 30 | +11 | 0.24% | Q1 2026 | Apr 28, 2026 |
| PFG Investments, LLC | History | Added to | 4,358 | 412 | 0.02% | 0.02% | 31 | +15 | 0.35% | Q1 2026 | Apr 27, 2026 |
| TRUIST FINANCIAL CORP | History | Reduced | 4,126 | 390 | 0.0% | 0.0% | 32 | -120 | -2.83% | Q1 2026 | Apr 27, 2026 |
| HFG Advisors, Inc. | History | No change | 4,095 | 387 | 0.27% | 0.26% | 33 | 0 | 0.0% | Q1 2026 | May 08, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Reduced | 4,089 | 386 | 0.0% | 0.0% | 34 | -137 | -3.24% | Q1 2026 | May 04, 2026 |
| TCFG Investment Advisors, LLC | History | New | 3,602 | 340 | 0.13% | — | 36 | +3,602 | New | Q1 2026 | May 05, 2026 |
| TCFG WEALTH MANAGEMENT, LLC | History | No change | 3,602 | 340 | 0.13% | 0.13% | 35 | 0 | 0.0% | Q1 2026 | Apr 23, 2026 |
| Apeiron RIA LLC | History | Reduced | 3,227 | 305 | 0.07% | 0.06% | 37 | -18 | -0.55% | Q1 2026 | Apr 27, 2026 |
| Creative Planning | History | Added to | 3,190 | 301 | 0.0% | 0.0% | 38 | +8 | 0.25% | Q1 2026 | May 12, 2026 |
| PACIFIC SUN FINANCIAL CORP | History | No change | 3,110 | 294 | 0.14% | 0.13% | 39 | 0 | 0.0% | Q1 2026 | May 07, 2026 |
| Kestra Advisory Services, LLC | History | Added to | 2,341 | 221 | 0.0% | 0.0% | 40 | +475 | 25.46% | Q1 2026 | Apr 30, 2026 |
| Clearstead Advisors, LLC | History | No change | 2,317 | 219 | 0.0% | 0.0% | 41 | 0 | 0.0% | Q1 2026 | May 06, 2026 |
| Moors & Cabot, Inc. | History | No change | 2,254 | 213 | 0.01% | 0.01% | 42 | 0 | 0.0% | Q1 2026 | May 08, 2026 |
| CENTAURUS FINANCIAL, INC. | History | New | 1,113 | 105 | 0.0% | — | 43 | +1,113 | New | Q1 2026 | May 18, 2026 |
| Golden State Wealth Management, LLC | History | No change | 985 | 93 | 0.01% | 0.01% | 44 | 0 | 0.0% | Q1 2026 | Apr 28, 2026 |
| Sound Income Strategies, LLC | History | Reduced | 811 | 76 | 0.0% | 0.0% | 46 | -80 | -8.98% | Q1 2026 | Apr 27, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | Added to | 809 | 76 | 0.0% | 0.0% | 45 | +3 | 0.37% | Q1 2026 | May 07, 2026 |
| FMR LLC | History | No change | 789 | 74 | 0.0% | 0.0% | 47 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| JPMORGAN CHASE & CO | History | No change | 700 | 65 | 0.0% | 0.0% | 48 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| IFP Advisors, Inc | History | No change | 697 | 65 | 0.0% | 0.0% | 49 | 0 | 0.0% | Q1 2026 | Apr 13, 2026 |
| Parkside Financial Bank & Trust | History | No change | 600 | 56 | 0.0% | 0.0% | 50 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| Hilton Head Capital Partners, LLC | History | No change | 600 | 56 | 0.03% | 0.03% | 51 | 0 | 0.0% | Q1 2026 | Apr 20, 2026 |
| Anchor Investment Management, LLC | History | New | 350 | 33 | 0.0% | — | 52 | +350 | New | Q1 2026 | May 01, 2026 |
| TRUST CO OF TOLEDO NA /OH/ | History | No change | 348 | 32 | 0.0% | 0.0% | 53 | 0 | 0.0% | Q1 2026 | Apr 15, 2026 |
| NBC SECURITIES, INC. | History | No change | 319 | 30 | 0.0% | 0.0% | 54 | 0 | 0.0% | Q1 2026 | Apr 14, 2026 |
| NewEdge Advisors, LLC | History | No change | 320 | 30 | 0.0% | 0.0% | 55 | 0 | 0.0% | Q1 2026 | Jun 02, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | No change | 280 | 26 | 0.0% | 0.0% | 56 | 0 | 0.0% | Q1 2026 | May 01, 2026 |
| Geneos Wealth Management Inc. | History | Reduced | 246 | 23 | 0.0% | 0.0% | 57 | -64 | -20.65% | Q1 2026 | May 04, 2026 |
| Advisory Services Network, LLC | History | New | 185 | 17 | 0.0% | — | 59 | +185 | New | Q1 2026 | May 15, 2026 |
| Parallel Advisors, LLC | History | No change | 184 | 17 | 0.0% | 0.0% | 58 | 0 | 0.0% | Q1 2026 | Jun 02, 2026 |
| CITIGROUP INC | History | Added to | 151 | 14 | 0.0% | 0.0% | 60 | +16 | 11.85% | Q1 2026 | May 11, 2026 |
| UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC | History | New | 100 | 9 | 0.0% | — | 63 | +100 | New | Q1 2026 | May 13, 2026 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 98 | 9 | 0.0% | 0.0% | 61 | 0 | 0.0% | Q1 2026 | May 08, 2026 |
| Godfrey Financial Associates, Inc. | History | No change | 100 | 9 | 0.01% | 0.01% | 62 | 0 | 0.0% | Q1 2026 | May 11, 2026 |
| Arax Advisory Partners | History | No change | 75 | 7 | 0.0% | 0.0% | 64 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| Allworth Financial LP | History | No change | 70 | 6 | 0.0% | 0.0% | 65 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| AdvisorNet Financial, Inc | History | No change | 37 | 3 | 0.0% | 0.0% | 66 | 0 | 0.0% | Q1 2026 | Apr 17, 2026 |
| Larson Financial Group LLC | History | No change | 42 | 3 | 0.0% | 0.0% | 67 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| Russell Investments Group, Ltd. | History | No change | 20 | 1 | 0.0% | 0.0% | 68 | 0 | 0.0% | Q1 2026 | May 08, 2026 |
| Global Retirement Partners, LLC | History | No change | 15 | 1 | 0.0% | 0.0% | 69 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| Virtu Financial LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -3,391 | -100.0% | Q1 2026 | May 14, 2026 |