FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND - FNK
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| TOTAL INVESTMENT MANAGEMENT INC | History | Added to | 1,341,711 | 76,577 | 8.93% | 9.49% | 1 | +12,120 | 0.91% | Q1 2026 | Apr 13, 2026 |
| WELLS FARGO & COMPANY/MN | History | Added to | 258,612 | 14,760 | 0.0% | 0.0% | 2 | +22,243 | 9.41% | Q1 2026 | May 11, 2026 |
| MORGAN STANLEY | History | Reduced | 235,560 | 13,444 | 0.0% | 0.0% | 3 | -447 | -0.19% | Q1 2026 | May 15, 2026 |
| LPL Financial LLC | History | Added to | 137,586 | 7,852 | 0.0% | 0.0% | 4 | +5,229 | 3.95% | Q1 2026 | May 06, 2026 |
| Cetera Investment Advisers | History | Added to | 105,572 | 6,025 | 0.01% | 0.01% | 5 | +15,551 | 17.27% | Q1 2026 | May 13, 2026 |
| Kingsview Wealth Management, LLC | History | Reduced | 62,667 | 3,576 | 0.05% | 0.05% | 6 | -3,273 | -4.96% | Q1 2026 | May 12, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Added to | 58,777 | 3,354 | 0.0% | 0.0% | 7 | +5,274 | 9.86% | Q1 2026 | May 14, 2026 |
| UBS Group AG | History | Reduced | 51,138 | 2,918 | 0.0% | 0.0% | 8 | -574 | -1.11% | Q1 2026 | May 05, 2026 |
| OSAIC HOLDINGS, INC. | History | Reduced | 50,439 | 2,878 | 0.0% | 0.0% | 9 | -836 | -1.63% | Q1 2026 | May 15, 2026 |
| JONES FINANCIAL COMPANIES LLLP | History | Added to | 37,130 | 2,091 | 0.0% | 0.0% | 10 | +351 | 0.95% | Q1 2026 | May 15, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Reduced | 27,839 | 1,588 | 0.0% | 0.0% | 11 | -2,024 | -6.78% | Q1 2026 | May 15, 2026 |
| ROYAL BANK OF CANADA | History | Reduced | 22,946 | 1,310 | 0.0% | 0.0% | 12 | -52 | -0.23% | Q1 2026 | May 15, 2026 |
| Equitable Holdings, Inc. | History | Added to | 20,790 | 1,158 | 0.01% | 0.01% | 13 | +1,251 | 6.4% | Q1 2026 | May 15, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Reduced | 17,228 | 983 | 0.0% | 0.0% | 14 | -120 | -0.69% | Q1 2026 | Apr 30, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Added to | 16,414 | 936 | 0.0% | 0.0% | 15 | +259 | 1.6% | Q1 2026 | Apr 27, 2026 |
| Keel Point, LLC | History | Added to | 11,847 | 676 | 0.04% | 0.04% | 16 | +90 | 0.77% | Q1 2026 | May 29, 2026 |
| ARS Wealth Advisors Group, LLC | History | Added to | 11,488 | 655 | 0.06% | 0.06% | 17 | +3 | 0.03% | Q1 2026 | Apr 15, 2026 |
| Stratos Wealth Partners, LTD. | History | Reduced | 10,455 | 596 | 0.01% | 0.01% | 18 | -6,674 | -38.96% | Q1 2026 | Apr 28, 2026 |
| Kestra Advisory Services, LLC | History | Added to | 10,335 | 589 | 0.0% | 0.0% | 19 | +1,966 | 23.49% | Q1 2026 | Apr 30, 2026 |
| Private Advisor Group, LLC | History | Added to | 8,252 | 471 | 0.0% | 0.0% | 20 | +27 | 0.33% | Q1 2026 | Apr 24, 2026 |
| CITADEL ADVISORS LLC | History | New | 6,597 | 376 | 0.0% | — | 21 | +6,597 | New | Q1 2026 | May 15, 2026 |
| &PARTNERS | History | Reduced | 5,766 | 329 | 0.0% | 0.0% | 22 | -636 | -9.93% | Q1 2026 | May 15, 2026 |
| LEVEL FOUR ADVISORY SERVICES, LLC | History | No change | 5,614 | 320 | 0.01% | 0.01% | 23 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| BENJAMIN EDWARDS INC | History | Reduced | 5,323 | 304 | 0.0% | 0.01% | 24 | -9,408 | -63.87% | Q1 2026 | May 12, 2026 |
| HighTower Advisors, LLC | History | New | 5,127 | 292 | 0.0% | — | 25 | +5,127 | New | Q1 2026 | May 05, 2026 |
| Janney Montgomery Scott LLC | History | Reduced | 5,045 | 288 | 0.0% | 0.0% | 26 | -145 | -2.79% | Q1 2026 | Apr 22, 2026 |
| Ashton Thomas Private Wealth, LLC | History | Reduced | 4,763 | 271 | 0.01% | 0.04% | 27 | -21,710 | -82.01% | Q1 2026 | May 11, 2026 |
| Advisor OS, LLC | History | New | 4,475 | 255 | 0.02% | — | 28 | +4,475 | New | Q1 2026 | May 07, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Added to | 4,421 | 252 | 0.0% | 0.0% | 29 | +236 | 5.64% | Q1 2026 | May 04, 2026 |
| Sigma Planning Corp | History | Reduced | 4,181 | 238 | 0.01% | 0.01% | 30 | -60 | -1.41% | Q1 2026 | May 04, 2026 |
| DAYMARK WEALTH PARTNERS, LLC | History | Added to | 4,132 | 235 | 0.01% | 0.01% | 31 | +10 | 0.24% | Q1 2026 | May 11, 2026 |
| GREAT VALLEY ADVISOR GROUP, INC. | History | Added to | 3,988 | 227 | 0.0% | 0.0% | 32 | +2 | 0.05% | Q1 2026 | May 11, 2026 |
| Dynamic Advisor Solutions LLC | History | Added to | 3,665 | 209 | 0.01% | 0.01% | 33 | +1 | 0.03% | Q1 2026 | Apr 08, 2026 |
| Triumph Capital Management | History | Reduced | 3,488 | 199 | 0.04% | 0.04% | 34 | -196 | -5.32% | Q1 2026 | May 13, 2026 |
| Founders Financial Alliance, LLC | History | New | 2,919 | 166 | 0.03% | — | 35 | +2,919 | New | Q1 2026 | May 11, 2026 |
| Rockefeller Capital Management L.P. | History | Added to | 2,889 | 164 | 0.0% | 0.0% | 36 | +13 | 0.45% | Q1 2026 | May 14, 2026 |
| Geneos Wealth Management Inc. | History | No change | 2,400 | 136 | 0.0% | 0.0% | 37 | 0 | 0.0% | Q1 2026 | May 04, 2026 |
| Tower Research Capital LLC (TRC) | History | Added to | 2,251 | 128 | 0.0% | 0.0% | 38 | +1,474 | 189.7% | Q1 2026 | May 15, 2026 |
| Parallel Advisors, LLC | History | New | 1,935 | 110 | 0.0% | — | 39 | +1,935 | New | Q1 2026 | Jun 02, 2026 |
| GAMMA Investing LLC | History | No change | 1,816 | 103 | 0.0% | 0.01% | 40 | 0 | 0.0% | Q1 2026 | Apr 06, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | Added to | 1,287 | 73 | 0.0% | 0.0% | 41 | +728 | 130.23% | Q1 2026 | May 07, 2026 |
| Sound Income Strategies, LLC | History | No change | 984 | 56 | 0.0% | 0.0% | 42 | 0 | 0.0% | Q1 2026 | Apr 27, 2026 |
| UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC | History | New | 807 | 46 | 0.0% | — | 43 | +807 | New | Q1 2026 | May 13, 2026 |
| BANK OF MONTREAL /CAN/ | History | New | 568 | 32 | 0.0% | — | 44 | +568 | New | Q1 2026 | May 13, 2026 |
| BESSEMER GROUP INC | History | New | 454 | 26 | 0.0% | — | 45 | +454 | New | Q1 2026 | May 06, 2026 |
| US BANCORP \DE\ | History | Added to | 371 | 21 | 0.0% | 0.0% | 46 | +115 | 44.92% | Q1 2026 | May 14, 2026 |
| Benson Wealth Management INC | History | No change | 356 | 20 | 0.03% | 0.02% | 47 | 0 | 0.0% | Q1 2026 | May 12, 2026 |
| PRIVATE TRUST CO NA | History | No change | 318 | 18 | 0.0% | 0.0% | 48 | 0 | 0.0% | Q1 2026 | Apr 30, 2026 |
| Advisory Services Network, LLC | History | New | 279 | 15 | 0.0% | — | 51 | +279 | New | Q1 2026 | May 15, 2026 |
| FIFTH THIRD BANCORP | History | New | 272 | 15 | 0.0% | — | 50 | +272 | New | Q1 2026 | May 01, 2026 |
| COMERICA BANK | History | No change | 272 | 15 | 0.0% | 0.0% | 49 | 0 | 0.0% | Q4 2025 | Jan 29, 2026 |
| Western Wealth Management, LLC | History | New | 200 | 11 | 0.0% | — | 53 | +200 | New | Q1 2026 | May 19, 2026 |
| Glen Eagle Advisors, LLC | History | No change | 200 | 11 | 0.0% | 0.0% | 52 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 158 | 9 | 0.0% | 0.0% | 54 | 0 | 0.0% | Q1 2026 | May 08, 2026 |
| Steward Partners Investment Advisory, LLC | History | No change | 165 | 9 | 0.0% | 0.0% | 55 | 0 | 0.0% | Q1 2026 | May 08, 2026 |
| Capital Analysts, LLC | History | No change | 94 | 5 | 0.0% | 0.0% | 56 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| Global Retirement Partners, LLC | History | No change | 90 | 5 | 0.0% | 0.0% | 57 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| Quest 10 Wealth Builders, Inc. | History | No change | 50 | 2 | 0.0% | 0.0% | 58 | 0 | 0.0% | Q1 2026 | May 06, 2026 |
| Russell Investments Group, Ltd. | History | No change | 24 | 1 | 0.0% | 0.0% | 59 | 0 | 0.0% | Q1 2026 | May 08, 2026 |
| STIFEL FINANCIAL CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -10,566 | -100.0% | Q1 2026 | May 12, 2026 |
| Arete Wealth Advisors, LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -4,475 | -100.0% | Q1 2026 | May 20, 2026 |
| TWO SIGMA INVESTMENTS, LP | History | Closed out | 0 | 0 | — | 0.0% | — | -3,600 | -100.0% | Q1 2026 | May 15, 2026 |
| HARBOUR INVESTMENTS, INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -107 | -100.0% | Q1 2026 | May 15, 2026 |
| Transamerica Financial Advisors, LLC | History | Reduced | 5 | 0 | — | — | — | -1 | -16.67% | Q1 2026 | May 15, 2026 |
| FMR LLC | History | No change | 3 | 0 | — | — | — | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| Hilton Head Capital Partners, LLC | History | No change | 1 | 0 | — | — | — | 0 | 0.0% | Q1 2026 | Apr 20, 2026 |