FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND - FAD
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 | Added to | 327,023 | 59,282 | 0.01% | 0.01% | 1 | +50,525 | 18.27% | Q3 2026 | Nov 06, 2026 |
| MORGAN STANLEY | History | No change | 277,568 | 55,505 | 0.0% | 0.0% | 2 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| WELLS FARGO & COMPANY/MN | History | No change | 212,489 | 42,491 | 0.01% | 0.01% | 3 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | No change | 125,696 | 25,135 | 0.01% | 0.01% | 4 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| JONES FINANCIAL COMPANIES LLLP | History | No change | 61,706 | 11,975 | 0.0% | 0.0% | 5 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 64,816 | 11,749 | 0.02% | 0.02% | 6 | -3,910 | -5.69% | Q3 2026 | Nov 02, 2026 |
| GOLDMAN SACHS GROUP INC | History | No change | 50,000 | 9,998 | 0.0% | 0.0% | 7 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| OSAIC HOLDINGS, INC. | History | No change | 49,708 | 9,940 | 0.01% | 0.01% | 8 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| DAHRING | CUSMANO LLC | History | New | 54,034 | 9,795 | 4.52% | — | 9 | +54,034 | New | Q3 2026 | Nov 03, 2026 |
| TRUIST FINANCIAL CORP | History | Added to | 49,020 | 8,886 | 0.01% | 0.01% | 10 | +545 | 1.12% | Q3 2026 | Oct 30, 2026 |
| Virtu Financial LLC | History | No change | 42,443 | 8,487 | 0.27% | 0.27% | 11 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Plotkin Financial Advisors, LLC | History | No change | 41,711 | 8,340 | 3.46% | 3.46% | 12 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| BANK OF AMERICA CORP /DE/ | History | No change | 41,539 | 8,306 | 0.0% | 0.0% | 13 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | No change | 35,895 | 7,178 | 0.0% | 0.0% | 14 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Kestra Advisory Services, LLC | History | Added to | 34,812 | 6,310 | 0.02% | 0.02% | 15 | +3,297 | 10.46% | Q3 2026 | Nov 02, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Added to | 33,780 | 6,124 | 0.01% | 0.01% | 16 | +4,470 | 15.25% | Q3 2026 | Nov 02, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | No change | 30,485 | 6,096 | 0.0% | 0.0% | 17 | 0 | 0.0% | Q2 2026 | Sep 23, 2026 |
| RPg Family Wealth Advisory, LLC | History | No change | 30,273 | 6,053 | 1.26% | 1.26% | 18 | 0 | 0.0% | Q2 2026 | Aug 04, 2026 |
| Synergy Investment Management, LLC | History | No change | 28,487 | 5,696 | 1.38% | 1.38% | 19 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Cornerstone Wealth Management, LLC | History | Reduced | 30,502 | 5,529 | 0.23% | 0.27% | 20 | -634 | -2.04% | Q3 2026 | Nov 04, 2026 |
| Geneos Wealth Management Inc. | History | Added to | 25,618 | 4,644 | 0.09% | 0.1% | 21 | +1,851 | 7.79% | Q3 2026 | Nov 09, 2026 |
| Creative Planning | History | Reduced | 24,253 | 4,396 | 0.0% | 0.0% | 22 | -110 | -0.45% | Q3 2026 | Nov 02, 2026 |
| WEDBUSH SECURITIES INC | History | Reduced | 23,747 | 4,305 | 0.11% | 0.12% | 23 | -323 | -1.34% | Q3 2026 | Oct 22, 2026 |
| Wealth Management Partners, LLC | History | Reduced | 23,665 | 4,289 | 1.01% | 1.17% | 24 | -1,286 | -5.15% | Q3 2026 | Oct 21, 2026 |
| ROYAL BANK OF CANADA | History | No change | 21,047 | 4,209 | 0.0% | 0.0% | 25 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Cetera Investment Advisers | History | No change | 18,329 | 3,665 | 0.0% | 0.0% | 26 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| J.W. COLE ADVISORS, INC. | History | Added to | 19,179 | 3,476 | 0.06% | 0.05% | 27 | +5,645 | 41.71% | Q3 2026 | Nov 05, 2026 |
| UBS Group AG | History | No change | 17,382 | 3,475 | 0.0% | 0.0% | 28 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| WCG Wealth Advisors LLC | History | No change | 15,242 | 3,047 | 0.07% | 0.07% | 29 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| FIFTH THIRD SECURITIES, INC. | History | Added to | 16,606 | 3,010 | 0.15% | 0.11% | 30 | +7,333 | 79.08% | Q3 2026 | Oct 21, 2026 |
| MGO ONE SEVEN LLC | History | Added to | 15,485 | 2,807 | 0.05% | 0.05% | 31 | +1,464 | 10.44% | Q3 2026 | Oct 28, 2026 |
| Private Advisor Group, LLC | History | No change | 13,730 | 2,745 | 0.01% | 0.01% | 32 | 0 | 0.0% | Q2 2026 | Jul 27, 2026 |
| Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors | History | No change | 13,577 | 2,714 | 0.3% | 0.3% | 33 | 0 | 0.0% | Q2 2026 | Jul 09, 2026 |
| STIFEL FINANCIAL CORP | History | No change | 13,569 | 2,713 | 0.0% | 0.0% | 34 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | No change | 11,048 | 2,209 | 0.0% | 0.0% | 35 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Stonebridge Financial Group, LLC / MO | History | No change | 10,878 | 2,175 | 1.45% | 1.45% | 36 | 0 | 0.0% | Q2 2026 | Jul 24, 2026 |
| Proactive Wealth Strategies LLC | History | No change | 10,678 | 2,135 | 0.34% | 0.34% | 37 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| Vantus Wealth LLC | History | No change | 9,828 | 1,965 | 1.05% | 1.05% | 38 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| Advyzon Investment Management, LLC | History | No change | 9,640 | 1,927 | 0.14% | 0.14% | 39 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Stonebridge Financial Planning Group, LLC | History | Reduced | 10,125 | 1,835 | 0.58% | 0.66% | 40 | -253 | -2.44% | Q3 2026 | Nov 06, 2026 |
| Serenity Investment Advisors | History | Added to | 9,634 | 1,746 | 0.76% | 0.09% | 41 | +8,524 | 767.93% | Q3 2026 | Oct 30, 2026 |
| 626 Financial, LLC | History | No change | 9,464 | 1,715 | 0.66% | 0.74% | 42 | 0 | 0.0% | Q3 2026 | Nov 04, 2026 |
| Baird Financial Group, Inc. | History | No change | 8,524 | 1,704 | 0.0% | 0.0% | 43 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Merit Financial Group, LLC | History | Added to | 7,616 | 1,380 | 0.01% | 0.01% | 44 | +1,827 | 31.56% | Q3 2026 | Nov 06, 2026 |
| Certified Advisory Corp | History | Added to | 7,204 | 1,306 | 0.11% | 0.11% | 45 | +500 | 7.46% | Q3 2026 | Oct 29, 2026 |
| Nova Wealth Management, Inc. | History | No change | 6,503 | 1,300 | 0.72% | 0.72% | 46 | 0 | 0.0% | Q2 2026 | Jul 13, 2026 |
| TrueWealth Advisors, LLC | History | Added to | 6,704 | 1,215 | 0.27% | 0.26% | 47 | +899 | 15.49% | Q3 2026 | Oct 08, 2026 |
| WILLNER & HELLER, LLC | History | Reduced | 6,144 | 1,113 | 0.7% | 0.81% | 48 | -358 | -5.51% | Q3 2026 | Oct 27, 2026 |
| IFP Advisors, Inc | History | Added to | 5,316 | 963 | 0.02% | 0.02% | 49 | +14 | 0.26% | Q3 2026 | Oct 16, 2026 |
| INDEPENDENT FINANCIAL GROUP, LLC | History | Reduced | 4,863 | 881 | 0.02% | 0.02% | 50 | -47 | -0.96% | Q3 2026 | Oct 13, 2026 |
| Sanctuary Advisors, LLC | History | No change | 4,347 | 869 | 0.0% | 0.0% | 51 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Apeiron RIA LLC | History | Reduced | 4,620 | 843 | 0.19% | 0.25% | 52 | -168 | -3.51% | Q3 2026 | Oct 08, 2026 |
| Golden State Wealth Management, LLC | History | Reduced | 4,353 | 789 | 0.07% | 0.09% | 53 | -400 | -8.42% | Q3 2026 | Nov 02, 2026 |
| MML INVESTORS SERVICES, LLC | History | No change | 3,854 | 770 | 0.0% | 0.0% | 54 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| NOMURA ASSET MANAGEMENT CO LTD | History | No change | 3,630 | 725 | 0.0% | 0.0% | 55 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| THOROUGHBRED FINANCIAL SERVICES, LLC | History | No change | 3,543 | 708 | 0.03% | 0.03% | 56 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| NWAM LLC | History | Added to | 3,781 | 685 | 0.03% | 0.03% | 57 | +707 | 23.0% | Q3 2026 | Nov 09, 2026 |
| OPPENHEIMER & CO INC | History | Added to | 3,324 | 602 | 0.01% | 0.01% | 58 | +475 | 16.67% | Q3 2026 | Oct 26, 2026 |
| Aviance Capital Partners, LLC | History | No change | 2,975 | 539 | 0.06% | 0.06% | 59 | 0 | 0.0% | Q3 2026 | Oct 28, 2026 |
| Ascentis Independent Advisors | History | New | 2,740 | 496 | 0.03% | — | 60 | +2,740 | New | Q3 2026 | Nov 03, 2026 |
| Belpointe Asset Management LLC | History | No change | 2,450 | 489 | 0.02% | 0.02% | 61 | 0 | 0.0% | Q2 2026 | Jul 31, 2026 |
| Fortis Capital Advisors, LLC | History | No change | 2,450 | 489 | 0.05% | 0.05% | 62 | 0 | 0.0% | Q2 2026 | Jul 31, 2026 |
| L. Roy Papp & Associates, LLP | History | No change | 2,596 | 470 | 0.05% | 0.05% | 63 | 0 | 0.0% | Q3 2026 | Oct 21, 2026 |
| HARBOUR INVESTMENTS, INC. | History | No change | 2,040 | 407 | 0.01% | 0.01% | 64 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| QTR Family Wealth, LLC | History | No change | 2,208 | 400 | 0.15% | 0.15% | 65 | 0 | 0.0% | Q3 2026 | Nov 02, 2026 |
| Global Retirement Partners, LLC | History | No change | 1,986 | 397 | 0.01% | 0.01% | 66 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| PFG Advisors | History | Reduced | 1,943 | 352 | 0.02% | 0.02% | 67 | -5 | -0.26% | Q3 2026 | Oct 15, 2026 |
| Parkway Wealth Management Group, LLC | History | Added to | 1,925 | 348 | 0.04% | 0.04% | 68 | +1 | 0.05% | Q3 2026 | Oct 19, 2026 |
| Janney Montgomery Scott LLC | History | No change | 1,726 | 345 | 0.0% | 0.0% | 69 | 0 | 0.0% | Q2 2026 | Aug 05, 2026 |
| Equitable Holdings, Inc. | History | No change | 1,712 | 342 | 0.0% | 0.0% | 70 | 0 | 0.0% | Q2 2026 | Aug 17, 2026 |
| Gateway Wealth Partners, LLC | History | No change | 1,672 | 334 | 0.02% | 0.02% | 71 | 0 | 0.0% | Q2 2026 | Aug 04, 2026 |
| 1ST SOURCE BANK | History | No change | 1,606 | 321 | 0.01% | 0.01% | 72 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| Ameritas Advisory Services, LLC | History | No change | 1,600 | 319 | 0.01% | 0.01% | 73 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | History | Added to | 1,753 | 318 | 0.0% | 0.0% | 74 | +168 | 10.6% | Q3 2026 | Oct 13, 2026 |
| Prospera Financial Services Inc | History | New | 1,707 | 302 | 0.0% | — | 75 | +1,707 | New | Q3 2026 | Nov 04, 2026 |
| Clearstead Advisors, LLC | History | No change | 1,633 | 296 | 0.0% | 0.0% | 76 | 0 | 0.0% | Q3 2026 | Nov 06, 2026 |
| Stratos Wealth Partners, LTD. | History | No change | 1,393 | 278 | 0.0% | 0.0% | 77 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| IFG Advisory, LLC | History | No change | 1,525 | 276 | 0.01% | 0.01% | 78 | 0 | 0.0% | Q3 2026 | Nov 06, 2026 |
| OneDigital Investment Advisors LLC | History | No change | 1,357 | 271 | 0.0% | 0.0% | 79 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| CULLEN/FROST BANKERS, INC. | History | Added to | 1,488 | 269 | 0.0% | 0.0% | 80 | +1,171 | 369.4% | Q3 2026 | Oct 28, 2026 |
| TRUEFG, LLC | History | No change | 1,474 | 267 | 0.06% | 0.07% | 81 | 0 | 0.0% | Q3 2026 | Oct 14, 2026 |
| Concurrent Investment Advisors, LLC | History | New | 1,440 | 261 | 0.0% | — | 82 | +1,440 | New | Q3 2026 | Oct 16, 2026 |
| TCFG Investment Advisors, LLC | History | Reduced | 1,377 | 249 | 0.09% | 0.1% | 83 | -133 | -8.81% | Q3 2026 | Oct 20, 2026 |
| Integrated Wealth Concepts LLC | History | No change | 1,221 | 244 | 0.0% | 0.0% | 84 | 0 | 0.0% | Q2 2026 | Sep 08, 2026 |
| Farther Finance Advisors, LLC | History | No change | 1,302 | 236 | 0.0% | 0.0% | 85 | 0 | 0.0% | Q3 2026 | Oct 08, 2026 |
| ZACKS INVESTMENT MANAGEMENT | History | No change | 1,133 | 226 | 0.0% | 0.0% | 86 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Western Wealth Management, LLC | History | No change | 1,132 | 226 | 0.01% | 0.01% | 87 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Betterment LLC | History | No change | 1,028 | 206 | 0.0% | 0.0% | 88 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Modern Wealth Management, LLC | History | No change | 1,007 | 201 | 0.0% | 0.0% | 89 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Rockefeller Capital Management L.P. | History | No change | 829 | 165 | 0.0% | 0.0% | 90 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Smartleaf Asset Management LLC | History | No change | 750 | 147 | 0.0% | 0.0% | 91 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| NewEdge Advisors, LLC | History | No change | 484 | 96 | 0.0% | 0.0% | 92 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Private Wealth Asset Management, LLC | History | No change | 410 | 81 | 0.01% | 0.01% | 93 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Advocate Investing Services LLC | History | No change | 434 | 78 | 0.06% | 0.07% | 94 | 0 | 0.0% | Q3 2026 | Oct 26, 2026 |
| FMR LLC | History | No change | 370 | 73 | 0.0% | 0.0% | 95 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| US BANCORP \DE\ | History | No change | 389 | 70 | 0.0% | 0.0% | 96 | 0 | 0.0% | Q3 2026 | Nov 05, 2026 |
| CREATIVE FINANCIAL DESIGNS INC /ADV | History | No change | 304 | 55 | 0.0% | 0.0% | 97 | 0 | 0.0% | Q3 2026 | Nov 04, 2026 |
| O'SHAUGHNESSY ASSET MANAGEMENT, LLC | History | No change | 243 | 48 | 0.0% | 0.0% | 98 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Ameritas Investment Partners, Inc. | History | No change | 204 | 40 | 0.0% | 0.0% | 99 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| JPMORGAN CHASE & CO | History | No change | 200 | 39 | 0.0% | 0.0% | 100 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Allworth Financial LP | History | No change | 200 | 39 | 0.0% | 0.0% | 101 | 0 | 0.0% | Q3 2026 | Nov 06, 2026 |
| LANARK FINANCIAL, INC. | History | No change | 170 | 30 | 0.0% | 0.0% | 102 | 0 | 0.0% | Q3 2026 | Oct 26, 2026 |
| Godfrey Financial Associates, Inc. | History | No change | 147 | 29 | 0.02% | 0.02% | 103 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Investors Research Corp | History | New | 155 | 28 | 0.0% | — | 104 | +155 | New | Q3 2026 | Oct 07, 2026 |
| N.E.W. Advisory Services LLC | History | No change | 138 | 24 | 0.0% | 0.0% | 105 | 0 | 0.0% | Q3 2026 | Nov 09, 2026 |
| Arax Advisory Partners | History | No change | 118 | 23 | 0.0% | 0.0% | 106 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| BLAIR WILLIAM & CO/IL | History | No change | 115 | 22 | 0.0% | 0.0% | 107 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| BlackRock, Inc. | History | No change | 103 | 20 | 0.0% | 0.0% | 108 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| Blue Trust, Inc. | History | No change | 84 | 15 | 0.0% | 0.0% | 109 | 0 | 0.0% | Q3 2026 | Oct 15, 2026 |
| Cape Investment Advisory, Inc. | History | No change | 72 | 13 | 0.0% | 0.0% | 110 | 0 | 0.0% | Q3 2026 | Oct 13, 2026 |
| FIFTH THIRD BANCORP | History | Reduced | 65 | 11 | 0.0% | 0.0% | 111 | -3 | -4.41% | Q3 2026 | Nov 05, 2026 |
| Steward Partners Investment Advisory, LLC | History | No change | 16 | 3 | 0.0% | 0.0% | 112 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| MONECO ADVISORS, LLC | History | Closed out | 0 | 0 | — | 0.05% | — | -6,139 | -100.0% | Q3 2026 | Nov 05, 2026 |
| Institute for Wealth Management, LLC. | History | Closed out | 0 | 0 | — | 0.02% | — | -970 | -100.0% | Q3 2026 | Nov 06, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -884 | -100.0% | Q3 2026 | Nov 02, 2026 |
| THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. | History | Closed out | 0 | 0 | — | 0.02% | — | -231 | -100.0% | Q3 2026 | Oct 14, 2026 |