FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND - FAI
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Kestra Advisory Services, LLC | History | Added to | 133,131 | 4,951 | 0.02% | 0.02% | 1 | +26,211 | 24.51% | Q1 2026 | Apr 30, 2026 |
| CENTAURUS FINANCIAL, INC. | History | Added to | 46,351 | 1,724 | 0.08% | 0.09% | 2 | +333 | 0.72% | Q1 2026 | May 18, 2026 |
| Cetera Investment Advisers | History | Added to | 28,224 | 1,049 | 0.0% | 0.0% | 3 | +2,238 | 8.61% | Q1 2026 | May 13, 2026 |
| JANE STREET GROUP, LLC | History | Added to | 23,591 | 877 | 0.0% | 0.0% | 4 | +11,838 | 100.72% | Q1 2026 | May 12, 2026 |
| RPS ADVISORY SOLUTIONS LLC | History | Reduced | 18,505 | 688 | 0.39% | 0.37% | 5 | -597 | -3.13% | Q1 2026 | May 04, 2026 |
| Chicago Partners Investment Group LLC | History | Added to | 12,887 | 586 | 0.01% | 0.01% | 6 | +677 | 5.54% | Q1 2026 | May 04, 2026 |
| KINGSWOOD WEALTH ADVISORS, LLC | History | Reduced | 14,737 | 548 | 0.03% | 0.03% | 7 | -388 | -2.57% | Q1 2026 | Apr 28, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Added to | 13,623 | 507 | 0.0% | 0.0% | 8 | +2,649 | 24.14% | Q1 2026 | Apr 30, 2026 |
| OSAIC HOLDINGS, INC. | History | Reduced | 11,892 | 442 | 0.0% | 0.0% | 9 | -185 | -1.53% | Q1 2026 | May 15, 2026 |
| Element Wealth, LLC | History | New | 11,249 | 418 | 0.17% | — | 10 | +11,249 | New | Q1 2026 | May 04, 2026 |
| ROYAL BANK OF CANADA | History | Reduced | 9,058 | 337 | 0.0% | 0.0% | 11 | -34,844 | -79.37% | Q1 2026 | May 15, 2026 |
| Redhawk Wealth Advisors, Inc. | History | Reduced | 8,780 | 326 | 0.04% | 0.07% | 12 | -7,200 | -45.06% | Q1 2026 | Apr 15, 2026 |
| ACORN FINANCIAL ADVISORY SERVICES INC /ADV | History | No change | 8,480 | 315 | 0.04% | 0.05% | 13 | 0 | 0.0% | Q1 2026 | Apr 24, 2026 |
| WEDBUSH SECURITIES INC | History | Added to | 6,400 | 238 | 0.01% | 0.01% | 14 | +795 | 14.18% | Q1 2026 | Apr 21, 2026 |
| Chris Bulman Inc | History | Reduced | 6,355 | 236 | 0.1% | 0.13% | 15 | -885 | -12.22% | Q1 2026 | Apr 13, 2026 |
| INTEGRITY ALLIANCE, LLC. | History | Reduced | 5,470 | 203 | 0.01% | 0.01% | 16 | -71 | -1.28% | Q1 2026 | May 11, 2026 |
| Advisory Services Network, LLC | History | New | 3,861 | 143 | 0.0% | — | 17 | +3,861 | New | Q1 2026 | May 15, 2026 |
| HARBOUR INVESTMENTS, INC. | History | Added to | 2,986 | 111 | 0.0% | 0.0% | 18 | +388 | 14.93% | Q1 2026 | May 15, 2026 |
| Steward Partners Investment Advisory, LLC | History | Reduced | 2,456 | 91 | 0.0% | 0.0% | 19 | -1,371 | -35.82% | Q1 2026 | May 08, 2026 |
| TWIN PEAKS WEALTH ADVISORS, LLC | History | New | 1,252 | 46 | 0.01% | — | 20 | +1,252 | New | Q1 2026 | May 08, 2026 |
| Arax Advisory Partners | History | No change | 801 | 29 | 0.0% | 0.0% | 21 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | Reduced | 600 | 22 | 0.0% | 0.0% | 22 | -200 | -25.0% | Q1 2026 | May 01, 2026 |
| BankPlus Trust Department | History | No change | 611 | 22 | 0.01% | 0.01% | 23 | 0 | 0.0% | Q1 2026 | May 11, 2026 |
| AE Wealth Management LLC | History | Added to | 526 | 19 | 0.0% | 0.0% | 24 | +15 | 2.94% | Q1 2026 | May 13, 2026 |
| UBS Group AG | History | Added to | 419 | 15 | 0.0% | 0.0% | 25 | +23 | 5.81% | Q1 2026 | May 05, 2026 |
| Larson Financial Group LLC | History | New | 365 | 13 | 0.0% | — | 26 | +365 | New | Q1 2026 | May 15, 2026 |
| Benson Wealth Management INC | History | No change | 235 | 8 | 0.01% | 0.01% | 27 | 0 | 0.0% | Q1 2026 | May 12, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.0% | — | -13,927 | -100.0% | Q1 2026 | May 04, 2026 |
| MML INVESTORS SERVICES, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -12,747 | -100.0% | Q1 2026 | May 04, 2026 |
| GTS SECURITIES LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -8,556 | -100.0% | Q1 2026 | May 14, 2026 |
| Brookstone Capital Management | History | Closed out | 0 | 0 | — | 0.0% | — | -4,996 | -100.0% | Q1 2026 | Apr 16, 2026 |
| SBI Securities Co., Ltd. | History | New | 4 | 0 | — | — | — | +4 | New | Q1 2026 | Apr 27, 2026 |