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 | Reduced | 1,250,832 | 73,877 | 7.19% | 8.53% | 1 | -24,950 | -1.96% | Q3 2026 | Oct 22, 2026 |
| WELLS FARGO & COMPANY/MN | History | No change | 260,747 | 15,986 | 0.0% | 0.0% | 2 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| MORGAN STANLEY | History | No change | 249,492 | 15,296 | 0.0% | 0.0% | 3 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| LPL Financial LLC | History | No change | 143,041 | 8,770 | 0.0% | 0.0% | 4 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| Cetera Investment Advisers | History | No change | 130,373 | 7,993 | 0.01% | 0.01% | 5 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Kingsview Wealth Management, LLC | History | No change | 64,005 | 3,924 | 0.05% | 0.05% | 6 | 0 | 0.0% | Q2 2026 | Aug 18, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | No change | 53,954 | 3,308 | 0.0% | 0.0% | 7 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| UBS Group AG | History | No change | 50,793 | 3,114 | 0.0% | 0.0% | 8 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | No change | 46,836 | 2,871 | 0.0% | 0.0% | 9 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| OSAIC HOLDINGS, INC. | History | No change | 45,769 | 2,806 | 0.0% | 0.0% | 10 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| JONES FINANCIAL COMPANIES LLLP | History | No change | 41,807 | 2,582 | 0.0% | 0.0% | 11 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Equitable Holdings, Inc. | History | No change | 20,458 | 1,254 | 0.01% | 0.01% | 12 | 0 | 0.0% | Q2 2026 | Aug 17, 2026 |
| ROYAL BANK OF CANADA | History | No change | 16,630 | 1,020 | 0.0% | 0.0% | 13 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Reduced | 16,718 | 987 | 0.0% | 0.0% | 14 | -298 | -1.75% | Q3 2026 | Nov 02, 2026 |
| &PARTNERS | History | No change | 13,802 | 846 | 0.0% | 0.0% | 15 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 14,243 | 841 | 0.0% | 0.0% | 16 | -1,063 | -6.94% | Q3 2026 | Nov 02, 2026 |
| Keel Point, LLC | History | No change | 11,686 | 716 | 0.04% | 0.04% | 17 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| ARS Wealth Advisors Group, LLC | History | Added to | 11,493 | 678 | 0.05% | 0.06% | 18 | +3 | 0.03% | Q3 2026 | Oct 16, 2026 |
| Kestra Advisory Services, LLC | History | Added to | 10,661 | 629 | 0.0% | 0.0% | 19 | +1,292 | 13.79% | Q3 2026 | Nov 02, 2026 |
| Stratos Wealth Partners, LTD. | History | No change | 9,917 | 608 | 0.01% | 0.01% | 20 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Private Advisor Group, LLC | History | No change | 8,269 | 507 | 0.0% | 0.0% | 21 | 0 | 0.0% | Q2 2026 | Jul 27, 2026 |
| LEVEL FOUR ADVISORY SERVICES, LLC | History | No change | 5,614 | 344 | 0.01% | 0.01% | 22 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| BENJAMIN EDWARDS INC | History | No change | 5,334 | 327 | 0.0% | 0.0% | 23 | 0 | 0.0% | Q2 2026 | Jul 24, 2026 |
| Janney Montgomery Scott LLC | History | No change | 4,888 | 300 | 0.0% | 0.0% | 24 | 0 | 0.0% | Q2 2026 | Aug 05, 2026 |
| Ashton Thomas Private Wealth, LLC | History | No change | 4,763 | 281 | 0.01% | 0.01% | 25 | 0 | 0.0% | Q3 2026 | Nov 02, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | No change | 4,333 | 265 | 0.0% | 0.0% | 26 | 0 | 0.0% | Q2 2026 | Sep 23, 2026 |
| Advisor OS, LLC | History | No change | 4,475 | 264 | 0.02% | 0.02% | 27 | 0 | 0.0% | Q3 2026 | Nov 03, 2026 |
| GREAT VALLEY ADVISOR GROUP, INC. | History | No change | 3,989 | 244 | 0.0% | 0.0% | 28 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| Sigma Planning Corp | History | Reduced | 4,110 | 242 | 0.01% | 0.01% | 29 | -41 | -0.99% | Q3 2026 | Oct 23, 2026 |
| DAYMARK WEALTH PARTNERS, LLC | History | Added to | 3,809 | 224 | 0.01% | 0.01% | 30 | +10 | 0.26% | Q3 2026 | Nov 04, 2026 |
| Dynamic Advisor Solutions LLC | History | Added to | 3,666 | 216 | 0.01% | 0.01% | 31 | +1 | 0.03% | Q3 2026 | Oct 13, 2026 |
| Triumph Capital Management | History | No change | 3,488 | 206 | 0.04% | 0.04% | 32 | 0 | 0.0% | Q3 2026 | Oct 14, 2026 |
| RFG Advisory, LLC | History | Added to | 3,456 | 204 | 0.0% | 0.0% | 33 | +159 | 4.82% | Q3 2026 | Nov 03, 2026 |
| Founders Financial Alliance, LLC | History | No change | 2,927 | 179 | 0.02% | 0.02% | 34 | 0 | 0.0% | Q2 2026 | Aug 04, 2026 |
| Rockefeller Capital Management L.P. | History | No change | 2,614 | 160 | 0.0% | 0.0% | 35 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Geneos Wealth Management Inc. | History | No change | 2,400 | 147 | 0.0% | 0.0% | 36 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| GAMMA Investing LLC | History | No change | 1,816 | 107 | 0.0% | 0.0% | 37 | 0 | 0.0% | Q3 2026 | Oct 08, 2026 |
| Farther Finance Advisors, LLC | History | No change | 1,726 | 101 | 0.0% | 0.0% | 38 | 0 | 0.0% | Q3 2026 | Oct 08, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | No change | 1,289 | 79 | 0.0% | 0.0% | 39 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| AMERIFLEX GROUP, INC. | History | No change | 1,080 | 66 | 0.03% | 0.03% | 40 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC | History | No change | 807 | 49 | 0.0% | 0.0% | 41 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| US BANCORP \DE\ | History | No change | 557 | 34 | 0.0% | 0.0% | 42 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| BESSEMER GROUP INC | History | No change | 454 | 28 | 0.0% | 0.0% | 43 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| FMR LLC | History | No change | 442 | 27 | 0.0% | 0.0% | 44 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Benson Wealth Management INC | History | No change | 356 | 21 | 0.02% | 0.02% | 45 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| ASSETMARK, INC | History | No change | 317 | 18 | 0.0% | 0.0% | 46 | 0 | 0.0% | Q3 2026 | Oct 21, 2026 |
| LFA - Lugano Financial Advisors SA | History | No change | 300 | 17 | 0.01% | 0.01% | 47 | 0 | 0.0% | Q3 2026 | Nov 03, 2026 |
| FIFTH THIRD BANCORP | History | No change | 266 | 16 | 0.0% | 0.0% | 48 | 0 | 0.0% | Q2 2026 | Aug 05, 2026 |
| Tower Research Capital LLC (TRC) | History | No change | 256 | 15 | 0.0% | 0.0% | 49 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Glen Eagle Advisors, LLC | History | No change | 200 | 12 | 0.0% | 0.0% | 50 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Steward Partners Investment Advisory, LLC | History | No change | 165 | 10 | 0.0% | 0.0% | 51 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| BFC Planning, Inc. | History | No change | 170 | 10 | 0.0% | 0.0% | 52 | 0 | 0.0% | Q2 2026 | Oct 29, 2026 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 158 | 9 | 0.0% | 0.0% | 53 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| Capital Analysts, LLC | History | No change | 94 | 6 | 0.0% | 0.0% | 54 | 0 | 0.0% | Q2 2026 | Aug 05, 2026 |
| Parallel Advisors, LLC | History | Reduced | 100 | 5 | 0.0% | 0.0% | 55 | -1,835 | -94.83% | Q3 2026 | Nov 03, 2026 |
| Global Retirement Partners, LLC | History | No change | 90 | 5 | 0.0% | 0.0% | 56 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| Quest 10 Wealth Builders, Inc. | History | No change | 50 | 2 | 0.0% | 0.0% | 57 | 0 | 0.0% | Q3 2026 | Nov 02, 2026 |
| StoneX Group Inc. | History | Closed out | 0 | 0 | — | 0.01% | — | -4,357 | -100.0% | Q3 2026 | Nov 03, 2026 |
| CITIGROUP INC | History | New | 1 | 0 | — | — | — | +1 | New | Q3 2026 | Nov 04, 2026 |
| Transamerica Financial Advisors, LLC | History | No change | 5 | 0 | — | — | — | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |