FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND - FAD
Detailed investor-level table based on 13F positions.
Early Q1 2026 data: only 19 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MORGAN STANLEY | History | Added to | 308,449 | 49,923 | 0.0% | 0.0% | 1 | +12,117 | 4.09% | Q4 2025 | Feb 13, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Added to | 138,552 | 22,425 | 0.01% | 0.01% | 2 | +20,905 | 17.77% | Q4 2025 | Feb 18, 2026 |
| WELLS FARGO & COMPANY/MN | History | Added to | 136,980 | 22,170 | 0.0% | 0.0% | 3 | +6,702 | 5.14% | Q4 2025 | Feb 13, 2026 |
| LPL Financial LLC | History | Reduced | 125,108 | 20,249 | 0.01% | 0.01% | 4 | -1,299 | -1.03% | Q4 2025 | Feb 11, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 58,043 | 9,394 | 0.01% | 0.01% | 5 | -1,112 | -1.88% | Q4 2025 | Feb 12, 2026 |
| GOLDMAN SACHS GROUP INC | History | No change | 50,000 | 8,092 | 0.0% | 0.0% | 6 | 0 | 0.0% | Q4 2025 | Mar 25, 2026 |
| OSAIC HOLDINGS, INC. | History | Added to | 48,706 | 7,883 | 0.01% | 0.01% | 7 | +355 | 0.73% | Q4 2025 | Feb 17, 2026 |
| TRUIST FINANCIAL CORP | History | Reduced | 47,162 | 7,633 | 0.01% | 0.01% | 8 | -3,963 | -7.75% | Q4 2025 | Feb 02, 2026 |
| Plotkin Financial Advisors, LLC | History | Reduced | 44,906 | 7,268 | 3.55% | 3.62% | 9 | -726 | -1.59% | Q4 2025 | Feb 19, 2026 |
| Keystone Wealth Services, LLC | History | New | 53,800 | 6,549 | 1.38% | — | 10 | +53,800 | New | Q4 2025 | Jan 26, 2026 |
| RPg Family Wealth Advisory, LLC | History | Reduced | 31,779 | 5,143 | 1.13% | 1.15% | 11 | -860 | -2.63% | Q4 2025 | Feb 13, 2026 |
| ROYAL BANK OF CANADA | History | New | 31,756 | 5,140 | 0.0% | — | 12 | +31,756 | New | Q4 2025 | Feb 17, 2026 |
| BANK OF AMERICA CORP /DE/ | History | Reduced | 30,225 | 4,891 | 0.0% | 0.0% | 13 | -133 | -0.44% | Q4 2025 | Feb 17, 2026 |
| Synergy Investment Management, LLC | History | Added to | 26,450 | 4,281 | 1.52% | 1.61% | 14 | +180 | 0.69% | Q4 2025 | Feb 06, 2026 |
| WEDBUSH SECURITIES INC | History | New | 26,204 | 4,241 | 0.12% | — | 15 | +26,204 | New | Q4 2025 | Feb 12, 2026 |
| Creative Planning | History | Reduced | 25,376 | 4,107 | 0.0% | 0.0% | 16 | -52 | -0.2% | Q4 2025 | Feb 17, 2026 |
| Wealth Management Partners, LLC | History | Added to | 25,026 | 4,050 | 1.16% | 1.26% | 17 | +329 | 1.33% | Q4 2025 | Jan 12, 2026 |
| Geneos Wealth Management Inc. | History | Added to | 21,942 | 3,551 | 0.09% | 0.09% | 18 | +360 | 1.67% | Q4 2025 | Jan 28, 2026 |
| UBS Group AG | History | Added to | 17,744 | 2,871 | 0.0% | 0.0% | 19 | +5,111 | 40.46% | Q4 2025 | Jan 29, 2026 |
| JONES FINANCIAL COMPANIES LLLP | History | Added to | 17,250 | 2,791 | 0.0% | 0.0% | 20 | +4,815 | 38.72% | Q4 2025 | Feb 17, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | Added to | 14,615 | 2,365 | 0.0% | 0.0% | 21 | +13,643 | 1403.6% | Q4 2025 | Feb 10, 2026 |
| Private Advisor Group, LLC | History | Added to | 14,180 | 2,295 | 0.01% | 0.01% | 22 | +47 | 0.33% | Q4 2025 | Feb 17, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Reduced | 14,147 | 2,289 | 0.0% | 0.0% | 23 | -2,358 | -14.29% | Q4 2025 | Feb 10, 2026 |
| Baird Financial Group, Inc. | History | Reduced | 13,867 | 2,244 | 0.0% | 0.0% | 24 | -251 | -1.78% | Q4 2025 | Feb 13, 2026 |
| WCG Wealth Advisors LLC | History | Reduced | 13,410 | 2,170 | 0.06% | 0.14% | 25 | -461 | -3.32% | Q4 2025 | Feb 10, 2026 |
| STIFEL FINANCIAL CORP | History | Added to | 12,671 | 2,050 | 0.0% | 0.0% | 26 | +1,659 | 15.07% | Q4 2025 | Feb 13, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Added to | 12,523 | 2,027 | 0.01% | 0.0% | 27 | +1,772 | 16.48% | Q4 2025 | Feb 05, 2026 |
| Cetera Investment Advisers | History | Added to | 11,223 | 1,816 | 0.0% | 0.0% | 28 | +1,220 | 12.2% | Q4 2025 | Feb 17, 2026 |
| FIFTH THIRD SECURITIES, INC. | History | Added to | 10,876 | 1,760 | 0.12% | 0.11% | 29 | +883 | 8.84% | Q4 2025 | Jan 23, 2026 |
| Stonebridge Financial Planning Group, LLC | History | Added to | 10,415 | 1,685 | 0.61% | 0.62% | 30 | +161 | 1.57% | Q4 2025 | Feb 05, 2026 |
| Janney Montgomery Scott LLC | History | Added to | 9,839 | 1,593 | 0.0% | 0.0% | 31 | +7,939 | 417.84% | Q4 2025 | Feb 11, 2026 |
| 626 Financial, LLC | History | Reduced | 9,068 | 1,467 | 0.63% | 0.65% | 32 | -200 | -2.16% | Q4 2025 | Feb 05, 2026 |
| Kestra Advisory Services, LLC | History | Reduced | 8,818 | 1,427 | 0.01% | 0.01% | 33 | -62 | -0.7% | Q4 2025 | Feb 13, 2026 |
| Vantus Wealth LLC | History | New | 8,275 | 1,339 | 0.99% | — | 34 | +8,275 | New | Q4 2025 | Feb 10, 2026 |
| Advyzon Investment Management, LLC | History | Added to | 8,110 | 1,312 | 0.15% | 0.04% | 35 | +6,602 | 437.8% | Q4 2025 | Feb 13, 2026 |
| Stonebridge Financial Group, LLC / MO | History | New | 7,595 | 1,229 | 1.06% | — | 36 | +7,595 | New | Q4 2025 | Feb 04, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Reduced | 7,128 | 1,153 | 0.0% | 0.0% | 37 | -28,298 | -79.88% | Q4 2025 | Feb 17, 2026 |
| IFP Advisors, Inc | History | Reduced | 6,268 | 1,014 | 0.02% | 0.03% | 38 | -624 | -9.05% | Q4 2025 | Feb 06, 2026 |
| Certified Advisory Corp | History | Reduced | 6,132 | 992 | 0.09% | 0.1% | 39 | -149 | -2.37% | Q4 2025 | Jan 12, 2026 |
| WILLNER & HELLER, LLC | History | Added to | 6,027 | 975 | 0.7% | 0.63% | 40 | +940 | 18.48% | Q4 2025 | Jan 12, 2026 |
| Nova Wealth Management, Inc. | History | Added to | 5,943 | 961 | 0.66% | 0.64% | 41 | +283 | 5.0% | Q4 2025 | Jan 14, 2026 |
| Virtu Financial LLC | History | New | 5,924 | 959 | 0.04% | — | 42 | +5,924 | New | Q4 2025 | Feb 23, 2026 |
| Private Advisory Group LLC | History | Added to | 5,705 | 923 | 0.07% | 0.07% | 43 | +441 | 8.38% | Q4 2025 | Jan 15, 2026 |
| Proactive Wealth Strategies LLC | History | Added to | 5,337 | 863 | 0.34% | 0.37% | 44 | +16 | 0.3% | Q4 2025 | Feb 05, 2026 |
| Apeiron RIA LLC | History | Reduced | 5,133 | 859 | 0.17% | 0.19% | 45 | -86 | -1.65% | Q4 2025 | Feb 03, 2026 |
| Golden State Wealth Management, LLC | History | Reduced | 5,053 | 817 | 0.09% | 0.09% | 46 | -115 | -2.23% | Q4 2025 | Feb 13, 2026 |
| NWAM LLC | History | Added to | 4,054 | 687 | 0.04% | 0.03% | 47 | +196 | 5.08% | Q4 2025 | Feb 04, 2026 |
| Sanctuary Advisors, LLC | History | Added to | 4,193 | 678 | 0.0% | 0.0% | 48 | +80 | 1.95% | Q4 2025 | Jan 29, 2026 |
| Aviance Capital Partners, LLC | History | No change | 2,975 | 481 | 0.06% | 0.06% | 49 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| OPPENHEIMER & CO INC | History | New | 2,647 | 428 | 0.01% | — | 50 | +2,647 | New | Q4 2025 | Feb 02, 2026 |
| L. Roy Papp & Associates, LLP | History | No change | 2,596 | 420 | 0.05% | 0.05% | 51 | 0 | 0.0% | Q4 2025 | Jan 28, 2026 |
| Global Retirement Partners, LLC | History | Reduced | 2,341 | 378 | 0.01% | 0.01% | 52 | -125 | -5.07% | Q4 2025 | Feb 06, 2026 |
| Gateway Wealth Partners, LLC | History | Reduced | 2,189 | 354 | 0.04% | 0.05% | 53 | -18 | -0.82% | Q4 2025 | Feb 11, 2026 |
| QTR Family Wealth, LLC | History | Added to | 2,083 | 352 | 0.15% | 0.16% | 54 | +17 | 0.82% | Q4 2025 | Feb 13, 2026 |
| WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | History | Reduced | 1,896 | 320 | 0.0% | 0.0% | 55 | -46 | -2.37% | Q4 2025 | Jan 08, 2026 |
| Parkway Wealth Management Group, LLC | History | New | 1,923 | 311 | 0.04% | — | 56 | +1,923 | New | Q4 2025 | Feb 10, 2026 |
| PFG Advisors | History | Added to | 1,849 | 299 | 0.01% | 0.01% | 57 | +39 | 2.15% | Q4 2025 | Jan 27, 2026 |
| World Investment Advisors | History | New | 1,798 | 291 | 0.0% | — | 58 | +1,798 | New | Q4 2025 | Mar 12, 2026 |
| Clearstead Advisors, LLC | History | No change | 1,633 | 264 | 0.0% | 0.0% | 59 | 0 | 0.0% | Q4 2025 | Feb 09, 2026 |
| 1ST SOURCE BANK | History | No change | 1,606 | 259 | 0.01% | 0.01% | 60 | 0 | 0.0% | Q4 2025 | Feb 05, 2026 |
| TCFG WEALTH MANAGEMENT, LLC | History | No change | 1,510 | 244 | 0.1% | 0.1% | 61 | 0 | 0.0% | Q4 2025 | Feb 13, 2026 |
| TRUEFG, LLC | History | No change | 1,474 | 238 | 0.06% | 0.07% | 62 | 0 | 0.0% | Q4 2025 | Jan 21, 2026 |
| OneDigital Investment Advisors LLC | History | Reduced | 1,451 | 234 | 0.0% | 0.0% | 63 | -942 | -39.36% | Q4 2025 | Feb 13, 2026 |
| Equitable Holdings, Inc. | History | Added to | 1,366 | 221 | 0.0% | 0.0% | 64 | +45 | 3.41% | Q4 2025 | Feb 17, 2026 |
| THOROUGHBRED FINANCIAL SERVICES, LLC | History | No change | 1,349 | 218 | 0.01% | 0.01% | 65 | 0 | 0.0% | Q4 2025 | Feb 10, 2026 |
| IFG Advisory, LLC | History | No change | 1,310 | 212 | 0.01% | 0.01% | 66 | 0 | 0.0% | Q4 2025 | Feb 10, 2026 |
| Farther Finance Advisors, LLC | History | Reduced | 1,302 | 210 | 0.0% | 0.0% | 67 | -7 | -0.53% | Q4 2025 | Jan 23, 2026 |
| ZACKS INVESTMENT MANAGEMENT | History | New | 1,240 | 200 | 0.0% | — | 68 | +1,240 | New | Q4 2025 | Feb 17, 2026 |
| CWM, LLC | History | No change | 897 | 145 | 0.0% | 0.0% | 69 | 0 | 0.0% | Q4 2025 | Jan 26, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | New | 884 | 143 | 0.01% | — | 70 | +884 | New | Q4 2025 | Feb 03, 2026 |
| Rockefeller Capital Management L.P. | History | Added to | 834 | 135 | 0.0% | 0.0% | 71 | +334 | 66.8% | Q4 2025 | Mar 16, 2026 |
| Smartleaf Asset Management LLC | History | No change | 750 | 122 | 0.0% | 0.01% | 72 | 0 | 0.0% | Q4 2025 | Feb 13, 2026 |
| FLAGSHIP HARBOR ADVISORS, LLC | History | New | 550 | 89 | 0.0% | — | 73 | +550 | New | Q4 2025 | Jan 21, 2026 |
| NewEdge Advisors, LLC | History | Added to | 484 | 78 | 0.0% | 0.0% | 74 | +450 | 1323.53% | Q4 2025 | Feb 18, 2026 |
| Sound Income Strategies, LLC | History | Added to | 460 | 78 | 0.0% | 0.0% | 75 | +370 | 411.11% | Q4 2025 | Jan 21, 2026 |
| FMR LLC | History | No change | 427 | 69 | 0.0% | 0.0% | 76 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| US BANCORP \DE\ | History | Added to | 389 | 62 | 0.0% | 0.0% | 77 | +5 | 1.3% | Q4 2025 | Jan 30, 2026 |
| CULLEN/FROST BANKERS, INC. | History | New | 359 | 58 | 0.0% | — | 78 | +359 | New | Q4 2025 | Feb 06, 2026 |
| Garton & Associates Financial Advisors LLC | History | New | 309 | 50 | 0.03% | — | 79 | +309 | New | Q4 2025 | Feb 18, 2026 |
| O'SHAUGHNESSY ASSET MANAGEMENT, LLC | History | No change | 243 | 39 | 0.0% | 0.0% | 80 | 0 | 0.0% | Q4 2025 | Feb 11, 2026 |
| THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. | History | New | 231 | 37 | 0.01% | — | 81 | +231 | New | Q4 2025 | Jan 20, 2026 |
| HARBOUR INVESTMENTS, INC. | History | No change | 211 | 34 | 0.0% | 0.0% | 82 | 0 | 0.0% | Q4 2025 | Feb 09, 2026 |
| Allworth Financial LP | History | New | 200 | 32 | 0.0% | — | 83 | +200 | New | Q4 2025 | Feb 05, 2026 |
| NBC SECURITIES, INC. | History | No change | 170 | 27 | 0.0% | 0.0% | 84 | 0 | 0.0% | Q4 2025 | Jan 29, 2026 |
| Godfrey Financial Associates, Inc. | History | New | 147 | 23 | 0.02% | — | 85 | +147 | New | Q4 2025 | Feb 10, 2026 |
| N.E.W. Advisory Services LLC | History | New | 138 | 22 | 0.0% | — | 86 | +138 | New | Q4 2025 | Jan 28, 2026 |
| Advocate Investing Services LLC | History | New | 134 | 21 | 0.02% | — | 87 | +134 | New | Q4 2025 | Feb 12, 2026 |
| BLAIR WILLIAM & CO/IL | History | No change | 115 | 18 | 0.0% | 0.0% | 88 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| COMERICA BANK | History | No change | 92 | 14 | 0.0% | 0.0% | 89 | 0 | 0.0% | Q4 2025 | Jan 29, 2026 |
| Blue Trust, Inc. | History | No change | 84 | 13 | 0.0% | 0.0% | 90 | 0 | 0.0% | Q4 2025 | Jan 16, 2026 |
| CITIGROUP INC | History | Reduced | 50 | 8 | 0.0% | 0.0% | 91 | -101 | -66.89% | Q4 2025 | Feb 13, 2026 |
| Steward Partners Investment Advisory, LLC | History | No change | 16 | 2 | 0.0% | 0.0% | 92 | 0 | 0.0% | Q4 2025 | Feb 12, 2026 |
| CITADEL ADVISORS LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -20,011 | -100.0% | Q3 2025 | Nov 14, 2025 |
| Betterment LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -1,391 | -100.0% | Q3 2025 | Nov 13, 2025 |
| Ameritas Advisory Services, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -1,230 | -100.0% | Q3 2025 | Nov 06, 2025 |
| PRINCIPAL SECURITIES, INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -373 | -100.0% | Q3 2025 | Nov 12, 2025 |
| CoreCap Advisors, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -250 | -100.0% | Q3 2025 | Oct 22, 2025 |
| JPMORGAN CHASE & CO | History | Closed out | 0 | 0 | — | 0.0% | — | -39 | -100.0% | Q3 2025 | Nov 26, 2025 |
| Russell Investments Group, Ltd. | History | No change | 6 | 0 | — | — | — | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |