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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MORGAN STANLEY | History | Reduced | 242,445 | 38,530 | 0.0% | 0.0% | 1 | -66,004 | -21.4% | Q1 2026 | May 15, 2026 |
| LPL Financial LLC | History | Added to | 197,933 | 31,455 | 0.01% | 0.01% | 2 | +72,825 | 58.21% | Q1 2026 | May 06, 2026 |
| WELLS FARGO & COMPANY/MN | History | Added to | 175,021 | 27,814 | 0.01% | 0.0% | 3 | +38,041 | 27.77% | Q1 2026 | May 11, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Reduced | 93,573 | 14,870 | 0.0% | 0.01% | 4 | -44,979 | -32.46% | Q1 2026 | May 14, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Added to | 60,837 | 9,668 | 0.01% | 0.01% | 5 | +2,794 | 4.81% | Q1 2026 | Apr 27, 2026 |
| GOLDMAN SACHS GROUP INC | History | No change | 50,000 | 7,946 | 0.0% | 0.0% | 6 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| TRUIST FINANCIAL CORP | History | Added to | 49,292 | 7,833 | 0.01% | 0.01% | 7 | +2,130 | 4.52% | Q1 2026 | Apr 27, 2026 |
| OSAIC HOLDINGS, INC. | History | Reduced | 45,527 | 7,235 | 0.01% | 0.01% | 8 | -3,179 | -6.53% | Q1 2026 | May 15, 2026 |
| Plotkin Financial Advisors, LLC | History | Reduced | 44,666 | 7,098 | 3.56% | 3.55% | 9 | -240 | -0.53% | Q1 2026 | May 11, 2026 |
| BANK OF AMERICA CORP /DE/ | History | Added to | 41,501 | 6,595 | 0.0% | 0.0% | 10 | +11,276 | 37.31% | Q1 2026 | May 15, 2026 |
| ROYAL BANK OF CANADA | History | Added to | 34,241 | 5,442 | 0.0% | 0.0% | 11 | +2,485 | 7.83% | Q1 2026 | May 15, 2026 |
| Kestra Advisory Services, LLC | History | Added to | 31,173 | 4,954 | 0.02% | 0.01% | 12 | +22,355 | 253.52% | Q1 2026 | Apr 30, 2026 |
| RPg Family Wealth Advisory, LLC | History | Reduced | 30,351 | 4,823 | 1.01% | 1.13% | 13 | -1,428 | -4.49% | Q1 2026 | May 14, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Added to | 29,636 | 4,709 | 0.0% | 0.0% | 14 | +22,508 | 315.77% | Q1 2026 | May 15, 2026 |
| JONES FINANCIAL COMPANIES LLLP | History | Added to | 29,510 | 4,583 | 0.0% | 0.0% | 15 | +12,260 | 71.07% | Q1 2026 | May 15, 2026 |
| Synergy Investment Management, LLC | History | Added to | 28,513 | 4,531 | 1.48% | 1.52% | 16 | +2,063 | 7.8% | Q1 2026 | May 14, 2026 |
| WEDBUSH SECURITIES INC | History | Reduced | 25,030 | 3,978 | 0.12% | 0.12% | 17 | -1,174 | -4.48% | Q1 2026 | Apr 21, 2026 |
| Wealth Management Partners, LLC | History | Reduced | 24,907 | 3,958 | 1.13% | 1.16% | 18 | -119 | -0.48% | Q1 2026 | Apr 17, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Added to | 24,741 | 3,931 | 0.0% | 0.0% | 19 | +10,594 | 74.89% | Q1 2026 | May 04, 2026 |
| Creative Planning | History | Reduced | 24,351 | 3,869 | 0.0% | 0.0% | 20 | -1,025 | -4.04% | Q1 2026 | May 12, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Added to | 23,551 | 3,743 | 0.01% | 0.01% | 21 | +11,028 | 88.06% | Q1 2026 | Apr 30, 2026 |
| Geneos Wealth Management Inc. | History | Added to | 23,388 | 3,716 | 0.09% | 0.09% | 22 | +1,446 | 6.59% | Q1 2026 | May 04, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | Added to | 20,998 | 3,336 | 0.0% | 0.0% | 23 | +6,383 | 43.67% | Q1 2026 | May 07, 2026 |
| UBS Group AG | History | Reduced | 17,692 | 2,811 | 0.0% | 0.0% | 24 | -52 | -0.29% | Q1 2026 | May 05, 2026 |
| Private Advisor Group, LLC | History | Added to | 14,184 | 2,254 | 0.01% | 0.01% | 25 | +4 | 0.03% | Q1 2026 | Apr 24, 2026 |
| Cetera Investment Advisers | History | Added to | 14,060 | 2,234 | 0.0% | 0.0% | 26 | +2,837 | 25.28% | Q1 2026 | May 13, 2026 |
| Baird Financial Group, Inc. | History | Added to | 13,910 | 2,210 | 0.0% | 0.0% | 27 | +43 | 0.31% | Q1 2026 | May 14, 2026 |
| WCG Wealth Advisors LLC | History | Added to | 13,705 | 2,178 | 0.06% | 0.06% | 28 | +295 | 2.2% | Q1 2026 | May 12, 2026 |
| Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors | History | New | 13,629 | 2,165 | 0.26% | — | 29 | +13,629 | New | Q1 2026 | May 05, 2026 |
| MGO ONE SEVEN LLC | History | New | 13,526 | 2,149 | 0.04% | — | 30 | +13,526 | New | Q1 2026 | May 14, 2026 |
| STIFEL FINANCIAL CORP | History | Added to | 13,075 | 2,077 | 0.0% | 0.0% | 31 | +404 | 3.19% | Q1 2026 | May 12, 2026 |
| Proactive Wealth Strategies LLC | History | Added to | 10,674 | 1,696 | 0.32% | 0.34% | 32 | +5,337 | 100.0% | Q1 2026 | Apr 29, 2026 |
| Stonebridge Financial Planning Group, LLC | History | Added to | 10,528 | 1,673 | 0.61% | 0.61% | 33 | +113 | 1.08% | Q1 2026 | May 08, 2026 |
| FIFTH THIRD SECURITIES, INC. | History | Reduced | 10,262 | 1,630 | 0.11% | 0.12% | 34 | -614 | -5.65% | Q1 2026 | Apr 15, 2026 |
| 626 Financial, LLC | History | Added to | 9,464 | 1,504 | 0.67% | 0.63% | 35 | +396 | 4.37% | Q1 2026 | Apr 23, 2026 |
| Stonebridge Financial Group, LLC / MO | History | Added to | 9,402 | 1,494 | 1.26% | 1.06% | 36 | +1,807 | 23.79% | Q1 2026 | Apr 17, 2026 |
| J.W. COLE ADVISORS, INC. | History | New | 8,656 | 1,375 | 0.05% | — | 37 | +8,656 | New | Q1 2026 | Apr 23, 2026 |
| Advyzon Investment Management, LLC | History | Added to | 8,595 | 1,365 | 0.12% | 0.15% | 38 | +485 | 5.98% | Q1 2026 | May 12, 2026 |
| Vantus Wealth LLC | History | No change | 8,275 | 1,339 | 0.99% | 0.99% | 39 | 0 | 0.0% | Q4 2025 | Feb 10, 2026 |
| Nova Wealth Management, Inc. | History | Added to | 6,541 | 1,043 | 0.68% | 0.66% | 40 | +598 | 10.06% | Q1 2026 | Apr 14, 2026 |
| WILLNER & HELLER, LLC | History | Added to | 6,523 | 1,036 | 0.77% | 0.7% | 41 | +496 | 8.23% | Q1 2026 | Apr 17, 2026 |
| Certified Advisory Corp | History | Added to | 6,481 | 1,029 | 0.09% | 0.09% | 42 | +349 | 5.69% | Q1 2026 | Apr 17, 2026 |
| IFP Advisors, Inc | History | Added to | 6,397 | 1,016 | 0.02% | 0.02% | 43 | +129 | 2.06% | Q1 2026 | Apr 13, 2026 |
| Golden State Wealth Management, LLC | History | No change | 5,053 | 803 | 0.09% | 0.09% | 44 | 0 | 0.0% | Q1 2026 | Apr 28, 2026 |
| INDEPENDENT FINANCIAL GROUP, LLC | History | Reduced | 4,971 | 790 | 0.02% | 0.02% | 45 | -419 | -7.77% | Q1 2026 | May 15, 2026 |
| Apeiron RIA LLC | History | Reduced | 4,851 | 770 | 0.18% | 0.17% | 46 | -282 | -5.49% | Q1 2026 | Apr 27, 2026 |
| TrueWealth Advisors, LLC | History | New | 4,725 | 750 | 0.19% | — | 47 | +4,725 | New | Q1 2026 | Apr 09, 2026 |
| Sanctuary Advisors, LLC | History | Reduced | 4,159 | 660 | 0.0% | 0.0% | 48 | -34 | -0.81% | Q1 2026 | May 05, 2026 |
| Gateway Wealth Partners, LLC | History | Added to | 3,436 | 546 | 0.02% | 0.04% | 49 | +1,247 | 56.97% | Q1 2026 | May 15, 2026 |
| Merit Financial Group, LLC | History | New | 3,353 | 532 | 0.0% | — | 50 | +3,353 | New | Q1 2026 | Apr 15, 2026 |
| Aviance Capital Partners, LLC | History | No change | 2,975 | 472 | 0.06% | 0.06% | 51 | 0 | 0.0% | Q1 2026 | May 06, 2026 |
| OPPENHEIMER & CO INC | History | Added to | 2,862 | 454 | 0.01% | 0.01% | 52 | +215 | 8.12% | Q1 2026 | Apr 23, 2026 |
| NWAM LLC | History | Reduced | 2,801 | 445 | 0.03% | 0.04% | 53 | -1,253 | -30.91% | Q1 2026 | May 04, 2026 |
| MML INVESTORS SERVICES, LLC | History | New | 2,708 | 430 | 0.0% | — | 54 | +2,708 | New | Q1 2026 | May 04, 2026 |
| L. Roy Papp & Associates, LLP | History | No change | 2,596 | 412 | 0.05% | 0.05% | 55 | 0 | 0.0% | Q1 2026 | Apr 14, 2026 |
| Belpointe Asset Management LLC | History | New | 2,430 | 386 | 0.01% | — | 56 | +2,430 | New | Q1 2026 | Apr 28, 2026 |
| Fortis Capital Advisors, LLC | History | New | 2,430 | 386 | 0.05% | — | 57 | +2,430 | New | Q1 2026 | Apr 28, 2026 |
| QTR Family Wealth, LLC | History | Added to | 2,199 | 380 | 0.16% | 0.15% | 58 | +116 | 5.57% | Q1 2026 | Apr 15, 2026 |
| Global Retirement Partners, LLC | History | No change | 2,341 | 378 | 0.01% | 0.01% | 59 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| Parkway Wealth Management Group, LLC | History | Added to | 1,924 | 324 | 0.04% | 0.04% | 60 | +1 | 0.05% | Q1 2026 | Apr 20, 2026 |
| Janney Montgomery Scott LLC | History | Reduced | 1,934 | 307 | 0.0% | 0.0% | 61 | -7,905 | -80.34% | Q1 2026 | Apr 22, 2026 |
| PFG Advisors | History | Added to | 1,885 | 299 | 0.01% | 0.01% | 62 | +36 | 1.95% | Q1 2026 | May 05, 2026 |
| HARBOUR INVESTMENTS, INC. | History | Added to | 1,873 | 297 | 0.0% | 0.0% | 63 | +1,662 | 787.68% | Q1 2026 | May 15, 2026 |
| WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | History | Reduced | 1,613 | 260 | 0.0% | 0.0% | 64 | -283 | -14.93% | Q1 2026 | Apr 08, 2026 |
| Clearstead Advisors, LLC | History | No change | 1,633 | 259 | 0.0% | 0.0% | 65 | 0 | 0.0% | Q1 2026 | May 06, 2026 |
| 1ST SOURCE BANK | History | No change | 1,606 | 255 | 0.01% | 0.01% | 66 | 0 | 0.0% | Q1 2026 | May 04, 2026 |
| TCFG Investment Advisors, LLC | History | New | 1,510 | 239 | 0.09% | — | 68 | +1,510 | New | Q1 2026 | May 05, 2026 |
| TCFG WEALTH MANAGEMENT, LLC | History | No change | 1,510 | 239 | 0.09% | 0.1% | 67 | 0 | 0.0% | Q1 2026 | Apr 23, 2026 |
| TRUEFG, LLC | History | No change | 1,474 | 234 | 0.06% | 0.06% | 69 | 0 | 0.0% | Q1 2026 | Apr 22, 2026 |
| Equitable Holdings, Inc. | History | Added to | 1,436 | 232 | 0.0% | 0.0% | 70 | +70 | 5.12% | Q1 2026 | May 15, 2026 |
| OneDigital Investment Advisors LLC | History | Reduced | 1,359 | 215 | 0.0% | 0.0% | 71 | -92 | -6.34% | Q1 2026 | May 08, 2026 |
| THOROUGHBRED FINANCIAL SERVICES, LLC | History | No change | 1,349 | 214 | 0.01% | 0.01% | 72 | 0 | 0.0% | Q1 2026 | May 12, 2026 |
| Ethos Financial Group, LLC | History | New | 1,335 | 212 | 0.02% | — | 73 | +1,335 | New | Q1 2026 | May 05, 2026 |
| Farther Finance Advisors, LLC | History | No change | 1,302 | 209 | 0.0% | 0.0% | 74 | 0 | 0.0% | Q1 2026 | Apr 07, 2026 |
| Serenity Investment Advisors | History | New | 1,090 | 200 | 0.09% | — | 75 | +1,090 | New | Q1 2026 | May 26, 2026 |
| CWM, LLC | History | No change | 897 | 142 | 0.0% | 0.0% | 76 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | No change | 884 | 142 | 0.01% | 0.01% | 77 | 0 | 0.0% | Q1 2026 | May 01, 2026 |
| Rockefeller Capital Management L.P. | History | Reduced | 829 | 131 | 0.0% | 0.0% | 78 | -5 | -0.6% | Q1 2026 | May 14, 2026 |
| Smartleaf Asset Management LLC | History | No change | 750 | 114 | 0.0% | 0.0% | 79 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| Western Wealth Management, LLC | History | New | 516 | 82 | 0.0% | — | 80 | +516 | New | Q1 2026 | May 19, 2026 |
| NewEdge Advisors, LLC | History | No change | 484 | 76 | 0.0% | 0.0% | 81 | 0 | 0.0% | Q1 2026 | Jun 02, 2026 |
| Advocate Investing Services LLC | History | Added to | 434 | 68 | 0.06% | 0.02% | 82 | +300 | 223.88% | Q1 2026 | Apr 22, 2026 |
| Sound Income Strategies, LLC | History | Reduced | 416 | 66 | 0.0% | 0.0% | 83 | -44 | -9.57% | Q1 2026 | Apr 27, 2026 |
| US BANCORP \DE\ | History | No change | 389 | 61 | 0.0% | 0.0% | 84 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| FMR LLC | History | Reduced | 370 | 58 | 0.0% | 0.0% | 85 | -57 | -13.35% | Q1 2026 | May 15, 2026 |
| CULLEN/FROST BANKERS, INC. | History | Reduced | 317 | 50 | 0.0% | 0.0% | 86 | -42 | -11.7% | Q1 2026 | May 05, 2026 |
| CREATIVE FINANCIAL DESIGNS INC /ADV | History | New | 304 | 48 | 0.0% | — | 87 | +304 | New | Q1 2026 | Apr 13, 2026 |
| O'SHAUGHNESSY ASSET MANAGEMENT, LLC | History | No change | 243 | 38 | 0.0% | 0.0% | 88 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. | History | No change | 231 | 36 | 0.01% | 0.01% | 89 | 0 | 0.0% | Q1 2026 | Apr 14, 2026 |
| Allworth Financial LP | History | No change | 200 | 31 | 0.0% | 0.0% | 90 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| NBC SECURITIES, INC. | History | No change | 170 | 27 | 0.0% | 0.0% | 91 | 0 | 0.0% | Q1 2026 | Apr 14, 2026 |
| Godfrey Financial Associates, Inc. | History | No change | 147 | 23 | 0.02% | 0.02% | 92 | 0 | 0.0% | Q1 2026 | May 11, 2026 |
| N.E.W. Advisory Services LLC | History | No change | 138 | 21 | 0.0% | 0.0% | 93 | 0 | 0.0% | Q1 2026 | May 04, 2026 |
| BLAIR WILLIAM & CO/IL | History | No change | 115 | 18 | 0.0% | 0.0% | 94 | 0 | 0.0% | Q1 2026 | May 08, 2026 |
| BlackRock, Inc. | History | New | 103 | 16 | 0.0% | — | 95 | +103 | New | Q1 2026 | May 13, 2026 |
| COMERICA BANK | History | No change | 92 | 14 | 0.0% | 0.0% | 96 | 0 | 0.0% | Q4 2025 | Jan 29, 2026 |
| FIFTH THIRD BANCORP | History | New | 88 | 13 | 0.0% | — | 98 | +88 | New | Q1 2026 | May 01, 2026 |
| Blue Trust, Inc. | History | No change | 84 | 13 | 0.0% | 0.0% | 97 | 0 | 0.0% | Q1 2026 | Apr 20, 2026 |
| Arax Advisory Partners | History | New | 58 | 9 | 0.0% | — | 99 | +58 | New | Q1 2026 | May 13, 2026 |
| Legacy Wealth Managment, LLC/ID | History | New | 46 | 7 | 0.0% | — | 101 | +46 | New | Q1 2026 | May 07, 2026 |
| CITIGROUP INC | History | No change | 50 | 7 | 0.0% | 0.0% | 100 | 0 | 0.0% | Q1 2026 | May 11, 2026 |
| Steward Partners Investment Advisory, LLC | History | No change | 16 | 2 | 0.0% | 0.0% | 102 | 0 | 0.0% | Q1 2026 | May 08, 2026 |
| Keystone Wealth Services, LLC | History | Closed out | 0 | 0 | — | 1.38% | — | -53,800 | -100.0% | Q1 2026 | May 13, 2026 |
| Virtu Financial LLC | History | Closed out | 0 | 0 | — | 0.04% | — | -5,924 | -100.0% | Q1 2026 | May 14, 2026 |
| Private Advisory Group LLC | History | Closed out | 0 | 0 | — | 0.07% | — | -5,705 | -100.0% | Q1 2026 | May 08, 2026 |
| World Investment Advisors | History | Closed out | 0 | 0 | — | 0.0% | — | -1,798 | -100.0% | Q1 2026 | Apr 27, 2026 |
| IFG Advisory, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -1,310 | -100.0% | Q1 2026 | May 12, 2026 |
| ZACKS INVESTMENT MANAGEMENT | History | Closed out | 0 | 0 | — | 0.0% | — | -1,240 | -100.0% | Q1 2026 | May 14, 2026 |
| FLAGSHIP HARBOR ADVISORS, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -550 | -100.0% | Q1 2026 | Apr 28, 2026 |
| Garton & Associates Financial Advisors LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -309 | -100.0% | Q1 2026 | May 11, 2026 |
| Russell Investments Group, Ltd. | History | No change | 6 | 0 | — | — | — | 0 | 0.0% | Q1 2026 | May 08, 2026 |