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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| LPL Financial LLC | History | No change | 370,816 | 20,172 | 0.0% | 0.0% | 1 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| ASSETMARK, INC | History | Added to | 270,889 | 15,353 | 0.03% | 0.02% | 2 | +106,604 | 64.89% | Q3 2026 | Oct 21, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | No change | 234,612 | 12,762 | 0.0% | 0.0% | 3 | 0 | 0.0% | Q2 2026 | Sep 23, 2026 |
| Kestra Advisory Services, LLC | History | Added to | 168,804 | 9,567 | 0.03% | 0.03% | 4 | +6,017 | 3.7% | Q3 2026 | Nov 02, 2026 |
| Cetera Investment Advisers | History | No change | 116,782 | 6,352 | 0.01% | 0.01% | 5 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | New | 106,115 | 6,015 | 0.01% | — | 6 | +106,115 | New | Q3 2026 | Nov 02, 2026 |
| Castle Rock Wealth Management, LLC | History | New | 50,690 | 2,986 | 0.56% | — | 7 | +50,690 | New | Q3 2026 | Oct 09, 2026 |
| Bullseye Investment Management, LLC | History | Reduced | 51,311 | 2,908 | 1.44% | 3.96% | 8 | -96,880 | -65.38% | Q3 2026 | Oct 29, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | No change | 52,388 | 2,849 | 0.0% | 0.0% | 9 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | No change | 52,241 | 2,841 | 0.0% | 0.0% | 10 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| CENTAURUS FINANCIAL, INC. | History | No change | 49,986 | 2,719 | 0.11% | 0.11% | 11 | 0 | 0.0% | Q2 2026 | Aug 17, 2026 |
| BENJAMIN EDWARDS INC | History | No change | 49,759 | 2,706 | 0.02% | 0.02% | 12 | 0 | 0.0% | Q2 2026 | Jul 24, 2026 |
| RFG Advisory, LLC | History | Added to | 41,072 | 2,327 | 0.03% | 0.01% | 13 | +23,450 | 133.07% | Q3 2026 | Nov 03, 2026 |
| Gateway Wealth Partners, LLC | History | No change | 32,001 | 1,740 | 0.1% | 0.1% | 14 | 0 | 0.0% | Q2 2026 | Aug 04, 2026 |
| Atria Investments, Inc | History | Added to | 27,186 | 1,540 | 0.02% | 0.01% | 15 | +9,179 | 50.97% | Q3 2026 | Oct 15, 2026 |
| IAMS WEALTH MANAGEMENT, LLC | History | New | 25,514 | 1,446 | 0.42% | — | 16 | +25,514 | New | Q3 2026 | Oct 15, 2026 |
| AE Wealth Management LLC | History | No change | 26,097 | 1,419 | 0.01% | 0.01% | 17 | 0 | 0.0% | Q2 2026 | Aug 03, 2026 |
| Prospera Financial Services Inc | History | No change | 25,469 | 1,385 | 0.02% | 0.02% | 18 | 0 | 0.0% | Q2 2026 | Jul 15, 2026 |
| Chicago Partners Investment Group LLC | History | Added to | 25,876 | 1,377 | 0.03% | 0.02% | 19 | +9,370 | 56.77% | Q3 2026 | Oct 26, 2026 |
| Bank of New York Mellon Corp | History | No change | 24,178 | 1,315 | 0.0% | 0.0% | 20 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| TRUIST FINANCIAL CORP | History | New | 22,981 | 1,302 | 0.0% | — | 21 | +22,981 | New | Q3 2026 | Oct 30, 2026 |
| Pacific Excel Wealth Advisors, Inc. | History | New | 19,490 | 1,101 | 1.22% | — | 22 | +19,490 | New | Q3 2026 | Oct 27, 2026 |
| Janney Montgomery Scott LLC | History | No change | 20,057 | 1,091 | 0.0% | 0.0% | 23 | 0 | 0.0% | Q2 2026 | Aug 05, 2026 |
| Orion Porfolio Solutions, LLC | History | No change | 18,827 | 1,024 | 0.01% | 0.01% | 24 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| PARK AVENUE SECURITIES LLC | History | Added to | 17,939 | 1,017 | 0.01% | 0.0% | 25 | +5,566 | 44.99% | Q3 2026 | Oct 26, 2026 |
| RPS ADVISORY SOLUTIONS LLC | History | No change | 18,657 | 1,014 | 0.67% | 0.67% | 26 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Keystone Wealth Services, LLC | History | Added to | 16,095 | 910 | 0.16% | 0.05% | 27 | +11,380 | 241.36% | Q3 2026 | Nov 03, 2026 |
| Element Wealth, LLC | History | No change | 16,013 | 871 | 0.33% | 0.33% | 28 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| KINGSWOOD WEALTH ADVISORS, LLC | History | No change | 14,750 | 836 | 0.03% | 0.03% | 29 | 0 | 0.0% | Q3 2026 | Oct 23, 2026 |
| JANE STREET GROUP, LLC | History | No change | 15,091 | 820 | 0.0% | 0.0% | 30 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| OneAscent Financial Services LLC | History | No change | 12,882 | 700 | 0.03% | 0.03% | 31 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| IFP Advisors, Inc | History | Added to | 12,261 | 694 | 0.01% | 0.01% | 32 | +29 | 0.24% | Q3 2026 | Oct 16, 2026 |
| NewEdge Advisors, LLC | History | No change | 12,669 | 689 | 0.0% | 0.0% | 33 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| D.A. DAVIDSON & CO. | History | New | 11,608 | 657 | 0.0% | — | 34 | +11,608 | New | Q3 2026 | Oct 27, 2026 |
| Sowell Financial Services LLC | History | Added to | 11,335 | 642 | 0.02% | 0.01% | 35 | +5,177 | 84.07% | Q3 2026 | Oct 23, 2026 |
| NewEdge Wealth, LLC | History | No change | 11,376 | 618 | 0.01% | 0.01% | 36 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| HARBOUR INVESTMENTS, INC. | History | No change | 11,297 | 614 | 0.01% | 0.01% | 37 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| OSAIC HOLDINGS, INC. | History | No change | 10,271 | 558 | 0.0% | 0.0% | 38 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| CITADEL ADVISORS LLC | History | No change | 9,996 | 543 | 0.0% | 0.0% | 39 | 0 | 0.0% | Q2 2026 | Sep 02, 2026 |
| ACORN FINANCIAL ADVISORY SERVICES INC /ADV | History | No change | 9,544 | 540 | 0.07% | 0.07% | 40 | 0 | 0.0% | Q3 2026 | Nov 02, 2026 |
| GTS SECURITIES LLC | History | No change | 9,297 | 505 | 0.01% | 0.01% | 41 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Concurrent Investment Advisors, LLC | History | New | 8,118 | 460 | 0.0% | — | 42 | +8,118 | New | Q3 2026 | Oct 16, 2026 |
| Atlas Private Wealth Advisors | History | New | 7,325 | 415 | 0.09% | — | 43 | +7,325 | New | Q3 2026 | Oct 23, 2026 |
| Chris Bulman Inc | History | Reduced | 7,087 | 401 | 0.14% | 0.15% | 44 | -249 | -3.39% | Q3 2026 | Oct 20, 2026 |
| WEDBUSH SECURITIES INC | History | Reduced | 6,585 | 373 | 0.01% | 0.01% | 45 | -1,366 | -17.18% | Q3 2026 | Oct 22, 2026 |
| Apollon Wealth Management, LLC | History | New | 6,546 | 371 | 0.0% | — | 46 | +6,546 | New | Q3 2026 | Oct 23, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | New | 6,420 | 363 | 0.0% | — | 47 | +6,420 | New | Q3 2026 | Nov 02, 2026 |
| INTEGRITY ALLIANCE, LLC. | History | Added to | 6,170 | 349 | 0.01% | 0.01% | 48 | +700 | 12.8% | Q3 2026 | Oct 29, 2026 |
| KESTRA PRIVATE WEALTH SERVICES, LLC | History | Added to | 6,072 | 344 | 0.0% | 0.0% | 49 | +2,018 | 49.78% | Q3 2026 | Oct 30, 2026 |
| SILVER OAK SECURITIES, INCORPORATED | History | No change | 6,014 | 327 | 0.02% | 0.02% | 50 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| Redhawk Wealth Advisors, Inc. | History | No change | 5,759 | 326 | 0.03% | 0.03% | 51 | 0 | 0.0% | Q3 2026 | Oct 14, 2026 |
| Sanctuary Advisors, LLC | History | No change | 5,393 | 293 | 0.0% | 0.0% | 52 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| MML INVESTORS SERVICES, LLC | History | No change | 5,306 | 288 | 0.0% | 0.0% | 53 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| TOUNJIAN ADVISORY PARTNERS, LLC | History | No change | 4,841 | 263 | 0.11% | 0.11% | 54 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| Kestra Investment Management, LLC | History | No change | 4,790 | 260 | 0.01% | 0.01% | 55 | 0 | 0.0% | Q2 2026 | Aug 05, 2026 |
| Advisory Services Network, LLC | History | No change | 4,545 | 247 | 0.0% | 0.0% | 56 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| PRINCIPAL SECURITIES, INC. | History | No change | 4,461 | 242 | 0.0% | 0.0% | 57 | 0 | 0.0% | Q2 2026 | Aug 04, 2026 |
| Envestnet Portfolio Solutions, Inc. | History | No change | 4,401 | 239 | 0.0% | 0.0% | 58 | 0 | 0.0% | Q2 2026 | Sep 23, 2026 |
| INSIGNEO ADVISORY SERVICES, LLC | History | No change | 4,384 | 238 | 0.01% | 0.01% | 59 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Tower Wealth Partners, Inc. | History | No change | 4,261 | 231 | 0.11% | 0.11% | 60 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Aurora Private Wealth, Inc. | History | No change | 3,852 | 218 | 0.14% | 0.13% | 61 | 0 | 0.0% | Q3 2026 | Oct 20, 2026 |
| Brookstone Capital Management | History | Added to | 3,785 | 214 | 0.0% | 0.0% | 62 | +4 | 0.11% | Q3 2026 | Oct 22, 2026 |
| Main Street Financial Solutions, LLC | History | No change | 3,889 | 211 | 0.01% | 0.01% | 63 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| Ashton Thomas Private Wealth, LLC | History | Added to | 2,335 | 132 | 0.0% | 0.0% | 64 | +809 | 53.01% | Q3 2026 | Nov 02, 2026 |
| CULLEN/FROST BANKERS, INC. | History | Added to | 2,179 | 123 | 0.0% | 0.0% | 65 | +1,183 | 118.78% | Q3 2026 | Oct 28, 2026 |
| Steward Partners Investment Advisory, LLC | History | No change | 1,880 | 102 | 0.0% | 0.0% | 66 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| BankPlus Trust Department | History | No change | 1,636 | 88 | 0.02% | 0.02% | 67 | 0 | 0.0% | Q2 2026 | Jul 28, 2026 |
| Signature Equity Partners, LLC | History | Added to | 1,100 | 62 | 0.02% | 0.01% | 68 | +821 | 294.27% | Q3 2026 | Oct 29, 2026 |
| Arax Advisory Partners | History | No change | 801 | 43 | 0.0% | 0.0% | 69 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| Capital Investment Advisory Services, LLC | History | Added to | 403 | 22 | 0.0% | 0.0% | 70 | +205 | 103.54% | Q3 2026 | Oct 30, 2026 |
| Larson Financial Group LLC | History | No change | 340 | 18 | 0.0% | 0.0% | 71 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Benson Wealth Management INC | History | No change | 235 | 12 | 0.01% | 0.01% | 72 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| LANARK FINANCIAL, INC. | History | No change | 189 | 10 | 0.0% | 0.0% | 73 | 0 | 0.0% | Q3 2026 | Oct 26, 2026 |
| Buck Wealth Strategies, LLC | History | Added to | 176 | 9 | 0.0% | 0.0% | 74 | +41 | 30.37% | Q3 2026 | Oct 28, 2026 |
| PRIVATE TRUST CO NA | History | Added to | 134 | 7 | 0.0% | 0.0% | 75 | +49 | 57.65% | Q3 2026 | Oct 20, 2026 |
| Silver Grove Financial Group, Inc. | History | No change | 107 | 5 | 0.0% | 0.0% | 76 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Lloyd Advisory Services, LLC. | History | Added to | 84 | 4 | 0.0% | 0.0% | 77 | +33 | 64.71% | Q3 2026 | Nov 02, 2026 |
| IFG Advisory, LLC | History | No change | 61 | 3 | 0.0% | 0.0% | 78 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| CoreCap Advisors, LLC | History | New | 45 | 2 | 0.0% | — | 84 | +45 | New | Q3 2026 | Oct 08, 2026 |
| Quest 10 Wealth Builders, Inc. | History | Added to | 51 | 2 | 0.0% | — | 80 | +34 | 200.0% | Q3 2026 | Nov 02, 2026 |
| CX Institutional | History | New | 32 | 2 | 0.0% | — | 83 | +32 | New | Q3 2026 | Oct 02, 2026 |
| Key Capital Management, INC | History | Added to | 43 | 2 | 0.0% | 0.0% | 81 | +15 | 53.57% | Q3 2026 | Nov 03, 2026 |
| Global Retirement Partners, LLC | History | No change | 37 | 2 | 0.0% | 0.0% | 79 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| FIDUCIARY FINANCIAL ADVISORS | History | No change | 39 | 2 | 0.0% | 0.0% | 82 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| BFC Planning, Inc. | History | No change | 29 | 1 | 0.0% | 0.0% | 85 | 0 | 0.0% | Q2 2026 | Oct 29, 2026 |
| TUCKER ASSET MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -1,837 | -100.0% | Q3 2026 | Oct 29, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -600 | -100.0% | Q3 2026 | Nov 02, 2026 |
| SBI Securities Co., Ltd. | History | Reduced | 15 | 0 | — | 0.0% | — | -42 | -73.68% | Q3 2026 | Oct 21, 2026 |