FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND - FNK
Detailed investor-level table based on 13F positions.
Early Q1 2026 data: only 5 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| TOTAL INVESTMENT MANAGEMENT INC | History | Added to | 1,329,591 | 73,989 | 9.49% | 9.41% | 1 | +19,423 | 1.48% | Q4 2025 | Feb 03, 2026 |
| WELLS FARGO & COMPANY/MN | History | Reduced | 236,369 | 13,153 | 0.0% | 0.0% | 2 | -5,276 | -2.18% | Q4 2025 | Feb 13, 2026 |
| MORGAN STANLEY | History | Added to | 236,007 | 13,133 | 0.0% | 0.0% | 3 | +5,612 | 2.44% | Q4 2025 | Feb 13, 2026 |
| LPL Financial LLC | History | Added to | 132,357 | 7,365 | 0.0% | 0.0% | 4 | +1,210 | 0.92% | Q4 2025 | Feb 11, 2026 |
| Cetera Investment Advisers | History | Added to | 90,021 | 5,009 | 0.01% | 0.0% | 5 | +12,589 | 16.26% | Q4 2025 | Feb 17, 2026 |
| Kingsview Wealth Management, LLC | History | Added to | 65,940 | 3,669 | 0.05% | 0.03% | 6 | +32,970 | 100.0% | Q4 2025 | Feb 09, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Reduced | 53,503 | 2,977 | 0.0% | 0.0% | 7 | -4,411 | -7.62% | Q4 2025 | Feb 18, 2026 |
| UBS Group AG | History | Reduced | 51,712 | 2,877 | 0.0% | 0.0% | 8 | -144 | -0.28% | Q4 2025 | Jan 29, 2026 |
| OSAIC HOLDINGS, INC. | History | Added to | 51,275 | 2,853 | 0.0% | 0.0% | 9 | +1,358 | 2.72% | Q4 2025 | Feb 17, 2026 |
| JONES FINANCIAL COMPANIES LLLP | History | Added to | 36,779 | 2,046 | 0.0% | 0.0% | 10 | +4,233 | 13.01% | Q4 2025 | Feb 17, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Added to | 29,863 | 1,661 | 0.0% | 0.0% | 11 | +13,211 | 79.34% | Q4 2025 | Feb 17, 2026 |
| Ashton Thomas Private Wealth, LLC | History | New | 26,473 | 1,473 | 0.04% | — | 12 | +26,473 | New | Q4 2025 | Jan 29, 2026 |
| ROYAL BANK OF CANADA | History | New | 22,998 | 1,280 | 0.0% | — | 13 | +22,998 | New | Q4 2025 | Feb 17, 2026 |
| Equitable Holdings, Inc. | History | Added to | 19,539 | 1,087 | 0.01% | 0.01% | 14 | +1,075 | 5.82% | Q4 2025 | Feb 17, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Reduced | 17,348 | 965 | 0.0% | 0.0% | 15 | -1,691 | -8.88% | Q4 2025 | Feb 05, 2026 |
| Stratos Wealth Partners, LTD. | History | Reduced | 17,129 | 953 | 0.01% | 0.01% | 16 | -1,557 | -8.33% | Q4 2025 | Jan 20, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 16,155 | 898 | 0.0% | 0.0% | 17 | -3,393 | -17.36% | Q4 2025 | Feb 12, 2026 |
| BENJAMIN EDWARDS INC | History | Reduced | 14,731 | 819 | 0.01% | 0.02% | 18 | -16,072 | -52.18% | Q4 2025 | Feb 02, 2026 |
| Keel Point, LLC | History | Added to | 11,757 | 654 | 0.04% | 0.04% | 19 | +848 | 7.77% | Q4 2025 | Feb 12, 2026 |
| ARS Wealth Advisors Group, LLC | History | Reduced | 11,485 | 639 | 0.06% | 0.07% | 20 | -1,378 | -10.71% | Q4 2025 | Jan 12, 2026 |
| STIFEL FINANCIAL CORP | History | Reduced | 10,566 | 587 | 0.0% | 0.0% | 21 | -8,810 | -45.47% | Q4 2025 | Feb 13, 2026 |
| Kestra Advisory Services, LLC | History | Added to | 8,369 | 465 | 0.0% | 0.0% | 22 | +1,317 | 18.68% | Q4 2025 | Feb 13, 2026 |
| Private Advisor Group, LLC | History | Reduced | 8,225 | 457 | 0.0% | 0.0% | 23 | -241 | -2.85% | Q4 2025 | Feb 17, 2026 |
| &PARTNERS | History | Reduced | 6,402 | 356 | 0.0% | 0.0% | 24 | -370 | -5.46% | Q4 2025 | Feb 17, 2026 |
| LEVEL FOUR ADVISORY SERVICES, LLC | History | No change | 5,614 | 312 | 0.01% | 0.01% | 25 | 0 | 0.0% | Q4 2025 | Feb 13, 2026 |
| Janney Montgomery Scott LLC | History | No change | 5,190 | 289 | 0.0% | 0.0% | 26 | 0 | 0.0% | Q4 2025 | Feb 11, 2026 |
| Arete Wealth Advisors, LLC | History | No change | 4,475 | 249 | 0.02% | 0.02% | 27 | 0 | 0.0% | Q4 2025 | Feb 13, 2026 |
| Sigma Planning Corp | History | Reduced | 4,241 | 235 | 0.01% | 0.01% | 28 | -11 | -0.26% | Q4 2025 | Jan 30, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Reduced | 4,185 | 232 | 0.0% | 0.0% | 29 | -78 | -1.83% | Q4 2025 | Feb 10, 2026 |
| DAYMARK WEALTH PARTNERS, LLC | History | Added to | 4,122 | 229 | 0.01% | 0.01% | 30 | +10 | 0.24% | Q4 2025 | Jan 12, 2026 |
| GREAT VALLEY ADVISOR GROUP, INC. | History | No change | 3,986 | 222 | 0.0% | 0.0% | 31 | 0 | 0.0% | Q4 2025 | Feb 12, 2026 |
| Triumph Capital Management | History | Reduced | 3,684 | 205 | 0.04% | 0.06% | 32 | -299 | -7.51% | Q4 2025 | Feb 12, 2026 |
| Dynamic Advisor Solutions LLC | History | Added to | 3,664 | 203 | 0.01% | 0.01% | 33 | +1 | 0.03% | Q4 2025 | Jan 09, 2026 |
| TWO SIGMA INVESTMENTS, LP | History | New | 3,600 | 200 | 0.0% | — | 34 | +3,600 | New | Q4 2025 | Feb 17, 2026 |
| Rockefeller Capital Management L.P. | History | Added to | 2,876 | 160 | 0.0% | 0.0% | 35 | +1,183 | 69.88% | Q4 2025 | Mar 16, 2026 |
| Geneos Wealth Management Inc. | History | No change | 2,400 | 133 | 0.0% | 0.0% | 36 | 0 | 0.0% | Q4 2025 | Jan 28, 2026 |
| GAMMA Investing LLC | History | Reduced | 1,816 | 101 | 0.01% | 0.01% | 37 | -209 | -10.32% | Q4 2025 | Jan 05, 2026 |
| Sound Income Strategies, LLC | History | New | 984 | 57 | 0.0% | — | 38 | +984 | New | Q4 2025 | Jan 21, 2026 |
| Tower Research Capital LLC (TRC) | History | Reduced | 777 | 43 | 0.0% | 0.01% | 39 | -4,129 | -84.16% | Q4 2025 | Feb 17, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | No change | 559 | 31 | 0.0% | 0.0% | 40 | 0 | 0.0% | Q4 2025 | Feb 10, 2026 |
| Benson Wealth Management INC | History | New | 356 | 19 | 0.02% | — | 41 | +356 | New | Q4 2025 | Feb 12, 2026 |
| PRIVATE TRUST CO NA | History | No change | 318 | 17 | 0.0% | 0.0% | 42 | 0 | 0.0% | Q4 2025 | Jan 26, 2026 |
| COMERICA BANK | History | No change | 272 | 15 | 0.0% | 0.0% | 43 | 0 | 0.0% | Q4 2025 | Jan 29, 2026 |
| US BANCORP \DE\ | History | Added to | 256 | 14 | 0.0% | 0.0% | 44 | +153 | 148.54% | Q4 2025 | Jan 30, 2026 |
| Glen Eagle Advisors, LLC | History | No change | 200 | 11 | 0.0% | 0.0% | 45 | 0 | 0.0% | Q4 2025 | Feb 13, 2026 |
| Steward Partners Investment Advisory, LLC | History | No change | 165 | 9 | 0.0% | 0.0% | 46 | 0 | 0.0% | Q4 2025 | Feb 12, 2026 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 158 | 8 | 0.0% | 0.0% | 47 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| HARBOUR INVESTMENTS, INC. | History | No change | 107 | 5 | 0.0% | 0.0% | 48 | 0 | 0.0% | Q4 2025 | Feb 09, 2026 |
| Capital Analysts, LLC | History | No change | 94 | 5 | 0.0% | 0.0% | 49 | 0 | 0.0% | Q4 2025 | Feb 11, 2026 |
| Global Retirement Partners, LLC | History | No change | 90 | 5 | 0.0% | 0.0% | 50 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| Quest 10 Wealth Builders, Inc. | History | No change | 50 | 2 | 0.0% | 0.0% | 51 | 0 | 0.0% | Q4 2025 | Jan 29, 2026 |
| Russell Investments Group, Ltd. | History | No change | 24 | 1 | 0.0% | 0.0% | 52 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| CITADEL ADVISORS LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -44,666 | -100.0% | Q3 2025 | Nov 14, 2025 |
| Founders Financial Alliance, LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -2,891 | -100.0% | Q3 2025 | Nov 07, 2025 |
| Advisory Services Network, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -279 | -100.0% | Q3 2025 | Nov 18, 2025 |
| Farther Finance Advisors, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -278 | -100.0% | Q3 2025 | Oct 14, 2025 |
| GPS Wealth Strategies Group, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -67 | -100.0% | Q3 2025 | Nov 03, 2025 |
| Hilton Head Capital Partners, LLC | History | New | 1 | 0 | — | — | — | +1 | New | Q4 2025 | Feb 11, 2026 |
| FMR LLC | History | No change | 3 | 0 | — | — | — | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| Transamerica Financial Advisors, LLC | History | No change | 6 | 0 | — | — | — | 0 | 0.0% | Q4 2025 | Feb 13, 2026 |