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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| LPL Financial LLC | History | No change | 77,533 | 7,869 | 0.0% | 0.0% | 1 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | No change | 65,528 | 6,651 | 0.0% | 0.0% | 2 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| MORGAN STANLEY | History | No change | 61,416 | 6,233 | 0.0% | 0.0% | 3 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| WELLS FARGO & COMPANY/MN | History | No change | 45,544 | 4,622 | 0.0% | 0.0% | 4 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| OSAIC HOLDINGS, INC. | History | No change | 43,249 | 4,389 | 0.01% | 0.01% | 5 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| ROYAL BANK OF CANADA | History | No change | 36,600 | 3,715 | 0.0% | 0.0% | 6 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| CITADEL ADVISORS LLC | History | No change | 34,195 | 3,470 | 0.0% | 0.0% | 7 | 0 | 0.0% | Q2 2026 | Sep 02, 2026 |
| 626 Financial, LLC | History | Reduced | 33,978 | 3,354 | 1.29% | 1.39% | 8 | -1,227 | -3.49% | Q3 2026 | Nov 04, 2026 |
| STIFEL FINANCIAL CORP | History | No change | 18,093 | 1,836 | 0.0% | 0.0% | 9 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Proactive Wealth Strategies LLC | History | No change | 15,543 | 1,577 | 0.25% | 0.25% | 10 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| Baird Financial Group, Inc. | History | No change | 15,524 | 1,575 | 0.0% | 0.0% | 11 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 15,330 | 1,513 | 0.0% | 0.0% | 12 | -112 | -0.73% | Q3 2026 | Nov 02, 2026 |
| GOLDMAN SACHS GROUP INC | History | No change | 10,916 | 1,107 | 0.0% | 0.0% | 13 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Private Advisor Group, LLC | History | No change | 10,463 | 1,061 | 0.0% | 0.0% | 14 | 0 | 0.0% | Q2 2026 | Jul 27, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | No change | 9,370 | 951 | 0.0% | 0.0% | 15 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| HARBOUR INVESTMENTS, INC. | History | No change | 9,334 | 947 | 0.01% | 0.01% | 16 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Added to | 8,639 | 853 | 0.0% | 0.0% | 17 | +1,141 | 15.22% | Q3 2026 | Nov 02, 2026 |
| Quad-Cities Investment Group, LLC | History | Reduced | 8,147 | 804 | 0.29% | 0.31% | 18 | -390 | -4.57% | Q3 2026 | Oct 15, 2026 |
| UBS Group AG | History | No change | 7,562 | 767 | 0.0% | 0.0% | 19 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Rockefeller Capital Management L.P. | History | No change | 7,475 | 758 | 0.0% | 0.0% | 20 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | No change | 7,271 | 737 | 0.0% | 0.0% | 21 | 0 | 0.0% | Q2 2026 | Sep 23, 2026 |
| JONES FINANCIAL COMPANIES LLLP | History | No change | 7,174 | 734 | 0.0% | 0.0% | 22 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Janney Montgomery Scott LLC | History | No change | 7,220 | 733 | 0.0% | 0.0% | 23 | 0 | 0.0% | Q2 2026 | Aug 05, 2026 |
| Avidian Wealth Enterprises, LLC | History | Added to | 7,346 | 725 | 0.02% | 0.02% | 24 | +31 | 0.42% | Q3 2026 | Oct 08, 2026 |
| Cetera Investment Advisers | History | No change | 6,743 | 684 | 0.0% | 0.0% | 25 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Capital Investment Advisory Services, LLC | History | Reduced | 6,295 | 621 | 0.04% | 0.04% | 26 | -22 | -0.35% | Q3 2026 | Oct 30, 2026 |
| PRINCIPAL SECURITIES, INC. | History | No change | 5,777 | 586 | 0.01% | 0.01% | 27 | 0 | 0.0% | Q2 2026 | Aug 04, 2026 |
| D.A. DAVIDSON & CO. | History | No change | 5,795 | 572 | 0.0% | 0.0% | 28 | 0 | 0.0% | Q3 2026 | Oct 27, 2026 |
| COTTONWOOD CAPITAL ADVISORS, LLC | History | Reduced | 4,851 | 478 | 0.29% | 0.3% | 29 | -1 | -0.02% | Q3 2026 | Oct 20, 2026 |
| Stratos Wealth Partners, LTD. | History | No change | 4,697 | 476 | 0.0% | 0.0% | 30 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| PFG Investments, LLC | History | No change | 4,366 | 443 | 0.02% | 0.02% | 31 | 0 | 0.0% | Q2 2026 | Jul 23, 2026 |
| Virtu Financial LLC | History | No change | 4,274 | 434 | 0.01% | 0.01% | 32 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| HFG Advisors, Inc. | History | No change | 4,095 | 415 | 0.26% | 0.26% | 33 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| TRUIST FINANCIAL CORP | History | Reduced | 3,799 | 375 | 0.0% | 0.0% | 34 | -202 | -5.05% | Q3 2026 | Oct 30, 2026 |
| TCFG Investment Advisors, LLC | History | Reduced | 3,507 | 346 | 0.12% | 0.12% | 35 | -95 | -2.64% | Q3 2026 | Oct 20, 2026 |
| Creative Planning | History | Added to | 3,209 | 316 | 0.0% | 0.0% | 36 | +12 | 0.38% | Q3 2026 | Nov 02, 2026 |
| Apeiron RIA LLC | History | Reduced | 3,046 | 303 | 0.07% | 0.08% | 37 | -188 | -5.81% | Q3 2026 | Oct 08, 2026 |
| Kestra Advisory Services, LLC | History | Reduced | 2,386 | 235 | 0.0% | 0.0% | 39 | -21 | -0.87% | Q3 2026 | Nov 02, 2026 |
| Clearstead Advisors, LLC | History | No change | 2,317 | 235 | 0.0% | 0.0% | 38 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| Moors & Cabot, Inc. | History | No change | 2,254 | 228 | 0.01% | 0.01% | 40 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| PACIFIC SUN FINANCIAL CORP | History | No change | 2,110 | 214 | 0.09% | 0.09% | 41 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| IFG Advisory, LLC | History | No change | 1,949 | 197 | 0.01% | 0.01% | 42 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| CENTAURUS FINANCIAL, INC. | History | No change | 1,113 | 113 | 0.0% | 0.0% | 43 | 0 | 0.0% | Q2 2026 | Aug 17, 2026 |
| Golden State Wealth Management, LLC | History | No change | 985 | 97 | 0.01% | 0.01% | 44 | 0 | 0.0% | Q3 2026 | Nov 02, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | No change | 811 | 82 | 0.0% | 0.0% | 45 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| FMR LLC | History | No change | 789 | 80 | 0.0% | 0.0% | 46 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| JPMORGAN CHASE & CO | History | No change | 769 | 78 | 0.0% | 0.0% | 47 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Private Wealth Asset Management, LLC | History | No change | 762 | 77 | 0.01% | 0.01% | 48 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| IFP Advisors, Inc | History | No change | 697 | 68 | 0.0% | 0.0% | 49 | 0 | 0.0% | Q3 2026 | Oct 16, 2026 |
| Parkside Financial Bank & Trust | History | No change | 600 | 59 | 0.0% | 0.0% | 50 | 0 | 0.0% | Q3 2026 | Oct 27, 2026 |
| NewEdge Advisors, LLC | History | No change | 320 | 32 | 0.0% | 0.0% | 51 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Geneos Wealth Management Inc. | History | No change | 246 | 24 | 0.0% | 0.0% | 52 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| TRUST CO OF TOLEDO NA /OH/ | History | No change | 200 | 19 | 0.0% | 0.0% | 53 | 0 | 0.0% | Q3 2026 | Oct 16, 2026 |
| UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC | History | No change | 100 | 10 | 0.0% | 0.0% | 54 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| ASSETMARK, INC | History | No change | 102 | 10 | 0.0% | 0.0% | 55 | 0 | 0.0% | Q3 2026 | Oct 21, 2026 |
| Godfrey Financial Associates, Inc. | History | No change | 100 | 10 | 0.01% | 0.01% | 56 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 98 | 9 | 0.0% | 0.0% | 57 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| Parallel Advisors, LLC | History | No change | 100 | 9 | 0.0% | 0.0% | 58 | 0 | 0.0% | Q3 2026 | Nov 03, 2026 |
| LANARK FINANCIAL, INC. | History | No change | 90 | 8 | 0.0% | 0.0% | 59 | 0 | 0.0% | Q3 2026 | Oct 26, 2026 |
| Allworth Financial LP | History | No change | 70 | 7 | 0.0% | 0.0% | 60 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Arax Advisory Partners | History | No change | 75 | 7 | 0.0% | 0.0% | 61 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| Larson Financial Group LLC | History | No change | 42 | 4 | 0.0% | 0.0% | 62 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Global Retirement Partners, LLC | History | No change | 15 | 1 | 0.0% | 0.0% | 63 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -280 | -100.0% | Q3 2026 | Nov 02, 2026 |
| AdvisorNet Financial, Inc | History | Closed out | 0 | 0 | — | 0.0% | — | -37 | -100.0% | Q3 2026 | Oct 15, 2026 |
| CITIGROUP INC | History | Closed out | 0 | 0 | — | — | — | -1 | -100.0% | Q3 2026 | Nov 04, 2026 |