FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND - FNY
Detailed investor-level table based on 13F positions.
Early Q1 2026 data: only 26 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| LPL Financial LLC | History | Added to | 726,753 | 66,275 | 0.02% | 0.02% | 1 | +76,380 | 11.74% | Q4 2025 | Feb 11, 2026 |
| WELLS FARGO & COMPANY/MN | History | Added to | 584,020 | 53,259 | 0.01% | 0.01% | 2 | +22,042 | 3.92% | Q4 2025 | Feb 13, 2026 |
| MORGAN STANLEY | History | Reduced | 391,891 | 35,738 | 0.0% | 0.0% | 3 | -7,959 | -1.99% | Q4 2025 | Feb 13, 2026 |
| NewEdge Advisors, LLC | History | Added to | 279,644 | 25,501 | 0.09% | 0.11% | 4 | +19,928 | 7.67% | Q4 2025 | Feb 18, 2026 |
| &PARTNERS | History | Added to | 155,868 | 14,214 | 0.07% | 0.09% | 5 | +2,805 | 1.83% | Q4 2025 | Feb 17, 2026 |
| UBS Group AG | History | Reduced | 138,605 | 12,639 | 0.0% | 0.0% | 6 | -4,442 | -3.11% | Q4 2025 | Jan 29, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Reduced | 105,133 | 9,587 | 0.0% | 0.0% | 7 | -9,395 | -8.2% | Q4 2025 | Feb 10, 2026 |
| Cetera Investment Advisers | History | Added to | 92,688 | 8,452 | 0.01% | 0.01% | 8 | +16,102 | 21.02% | Q4 2025 | Feb 17, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Reduced | 65,757 | 5,996 | 0.0% | 0.0% | 9 | -31,525 | -32.41% | Q4 2025 | Feb 18, 2026 |
| FIRST TRUST ADVISORS LP | History | Reduced | 59,533 | 5,429 | 0.0% | 0.0% | 10 | -798 | -1.32% | Q4 2025 | Feb 13, 2026 |
| OSAIC HOLDINGS, INC. | History | Added to | 58,375 | 5,324 | 0.01% | 0.01% | 11 | +11,403 | 24.28% | Q4 2025 | Feb 17, 2026 |
| IHT Wealth Management, LLC | History | Added to | 55,783 | 5,087 | 0.12% | 0.01% | 12 | +52,960 | 1876.02% | Q4 2025 | Feb 17, 2026 |
| Kestra Advisory Services, LLC | History | Added to | 53,492 | 4,878 | 0.02% | 0.01% | 13 | +21,273 | 66.03% | Q4 2025 | Feb 13, 2026 |
| Janney Montgomery Scott LLC | History | Reduced | 51,324 | 4,680 | 0.01% | 0.01% | 14 | -254 | -0.49% | Q4 2025 | Feb 11, 2026 |
| ROYAL BANK OF CANADA | History | New | 50,371 | 4,594 | 0.0% | — | 15 | +50,371 | New | Q4 2025 | Feb 17, 2026 |
| GOLDMAN SACHS GROUP INC | History | No change | 50,000 | 4,559 | 0.0% | 0.0% | 16 | 0 | 0.0% | Q4 2025 | Mar 25, 2026 |
| Kingsview Wealth Management, LLC | History | Reduced | 42,871 | 3,909 | 0.06% | 0.1% | 17 | -25,883 | -37.65% | Q4 2025 | Feb 09, 2026 |
| BENJAMIN EDWARDS INC | History | Reduced | 42,823 | 3,908 | 0.04% | 0.06% | 18 | -19,223 | -30.98% | Q4 2025 | Feb 02, 2026 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | Added to | 42,282 | 3,855 | 0.0% | 0.0% | 19 | +3,786 | 9.83% | Q4 2025 | Feb 10, 2026 |
| Private Advisor Group, LLC | History | Reduced | 39,853 | 3,634 | 0.02% | 0.02% | 20 | -587 | -1.45% | Q4 2025 | Feb 17, 2026 |
| KCM INVESTMENT ADVISORS LLC | History | Reduced | 37,766 | 3,444 | 0.11% | 0.11% | 21 | -900 | -2.33% | Q4 2025 | Feb 13, 2026 |
| Wealth Management Partners, LLC | History | Reduced | 35,966 | 3,279 | 0.94% | 1.06% | 22 | -372 | -1.02% | Q4 2025 | Jan 12, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Added to | 32,991 | 3,009 | 0.01% | 0.01% | 23 | +379 | 1.16% | Q4 2025 | Feb 05, 2026 |
| Steward Partners Investment Advisory, LLC | History | Added to | 30,380 | 2,770 | 0.02% | 0.0% | 24 | +28,475 | 1494.75% | Q4 2025 | Feb 12, 2026 |
| WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | History | Added to | 28,000 | 2,690 | 0.0% | 0.0% | 25 | +689 | 2.52% | Q4 2025 | Jan 08, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 23,318 | 2,126 | 0.0% | 0.0% | 26 | -343 | -1.45% | Q4 2025 | Feb 12, 2026 |
| Global Retirement Partners, LLC | History | Reduced | 22,322 | 2,035 | 0.04% | 0.05% | 27 | -215 | -0.95% | Q4 2025 | Feb 06, 2026 |
| Equitable Holdings, Inc. | History | Added to | 22,026 | 2,008 | 0.01% | 0.01% | 28 | +1,253 | 6.03% | Q4 2025 | Feb 17, 2026 |
| CITADEL ADVISORS LLC | History | New | 21,279 | 1,940 | 0.0% | — | 29 | +21,279 | New | Q4 2025 | Feb 17, 2026 |
| JONES FINANCIAL COMPANIES LLLP | History | Added to | 20,230 | 1,844 | 0.0% | 0.0% | 30 | +553 | 2.81% | Q4 2025 | Feb 17, 2026 |
| Empirical Asset Management, LLC | History | Added to | 18,995 | 1,732 | 0.49% | 0.29% | 31 | +7,454 | 64.59% | Q4 2025 | Feb 06, 2026 |
| Sylvest Advisors, LLC | History | Added to | 18,547 | 1,691 | 0.9% | 0.86% | 32 | +1,138 | 6.54% | Q4 2025 | Jan 20, 2026 |
| CRUX WEALTH ADVISORS | History | New | 18,131 | 1,653 | 0.62% | — | 33 | +18,131 | New | Q4 2025 | Jan 21, 2026 |
| MTM Investment Management, LLC | History | Reduced | 17,681 | 1,612 | 0.51% | 0.52% | 34 | -87 | -0.49% | Q4 2025 | Feb 09, 2026 |
| Worthington Financial Partners, LLC | History | New | 16,368 | 1,492 | 1.32% | — | 35 | +16,368 | New | Q4 2025 | Mar 05, 2026 |
| STIFEL FINANCIAL CORP | History | Reduced | 15,458 | 1,409 | 0.0% | 0.0% | 36 | -6,838 | -30.67% | Q4 2025 | Feb 13, 2026 |
| Pursuit Wealth Management LLC | History | New | 14,856 | 1,354 | 1.16% | — | 37 | +14,856 | New | Q4 2025 | Jan 26, 2026 |
| Transamerica Financial Advisors, LLC | History | Reduced | 13,958 | 1,272 | 0.11% | 0.11% | 38 | -554 | -3.82% | Q4 2025 | Feb 13, 2026 |
| G&S Capital LLC | History | Reduced | 12,303 | 1,121 | 0.4% | 0.44% | 39 | -559 | -4.35% | Q4 2025 | Jan 28, 2026 |
| GTS SECURITIES LLC | History | No change | 12,252 | 1,117 | 0.04% | 0.04% | 40 | 0 | 0.0% | Q4 2025 | Feb 13, 2026 |
| COMERICA BANK | History | Added to | 11,352 | 1,035 | 0.0% | 0.0% | 41 | +573 | 5.32% | Q4 2025 | Jan 29, 2026 |
| AssuredPartners Investment Advisors, LLC | History | No change | 11,245 | 1,025 | 0.15% | 0.23% | 42 | 0 | 0.0% | Q4 2025 | Feb 03, 2026 |
| PCG Wealth Advisors, LLC | History | Added to | 9,603 | 875 | 0.25% | 0.25% | 43 | +88 | 0.92% | Q4 2025 | Feb 05, 2026 |
| IFP Advisors, Inc | History | Added to | 8,942 | 815 | 0.02% | 0.02% | 44 | +26 | 0.29% | Q4 2025 | Feb 06, 2026 |
| GREAT VALLEY ADVISOR GROUP, INC. | History | No change | 8,481 | 773 | 0.01% | 0.02% | 45 | 0 | 0.0% | Q4 2025 | Feb 12, 2026 |
| Baird Financial Group, Inc. | History | Added to | 8,002 | 729 | 0.0% | 0.0% | 46 | +225 | 2.89% | Q4 2025 | Feb 13, 2026 |
| World Investment Advisors | History | No change | 7,830 | 714 | 0.01% | 0.01% | 47 | 0 | 0.0% | Q4 2025 | Mar 12, 2026 |
| Dominguez Wealth Management Solutions, Inc. | History | Reduced | 7,782 | 709 | 0.43% | 0.46% | 48 | -148 | -1.87% | Q4 2025 | Jan 15, 2026 |
| MML INVESTORS SERVICES, LLC | History | Reduced | 7,600 | 693 | 0.0% | 0.0% | 49 | -846 | -10.02% | Q4 2025 | Feb 13, 2026 |
| Stonebridge Financial Planning Group, LLC | History | Added to | 7,566 | 690 | 0.25% | 0.25% | 50 | +214 | 2.91% | Q4 2025 | Feb 05, 2026 |
| Purus Wealth Management, LLC | History | Reduced | 7,270 | 662 | 0.21% | 0.21% | 51 | -20 | -0.27% | Q4 2025 | Jan 27, 2026 |
| ARS Wealth Advisors Group, LLC | History | Reduced | 7,040 | 642 | 0.06% | 0.07% | 52 | -1,056 | -13.04% | Q4 2025 | Jan 12, 2026 |
| Mutual Advisors, LLC | History | Added to | 6,920 | 631 | 0.01% | 0.01% | 53 | +4,089 | 144.44% | Q4 2025 | Feb 02, 2026 |
| TRANSCEND CAPITAL ADVISORS, LLC | History | Reduced | 6,890 | 628 | 0.05% | 0.05% | 54 | -833 | -10.79% | Q4 2025 | Jan 23, 2026 |
| Sigma Planning Corp | History | Added to | 6,441 | 587 | 0.02% | 0.02% | 55 | +228 | 3.67% | Q4 2025 | Jan 30, 2026 |
| FOUNDERS FINANCIAL SECURITIES LLC | History | New | 6,379 | 581 | 0.03% | — | 56 | +6,379 | New | Q4 2025 | Feb 10, 2026 |
| Creative Planning | History | No change | 6,245 | 569 | 0.0% | 0.0% | 57 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| Stratos Wealth Partners, LTD. | History | Reduced | 5,918 | 539 | 0.01% | 0.01% | 58 | -3,163 | -34.83% | Q4 2025 | Jan 20, 2026 |
| Mariner, LLC | History | Reduced | 5,774 | 526 | 0.0% | 0.0% | 59 | -141 | -2.38% | Q4 2025 | Feb 13, 2026 |
| US BANCORP \DE\ | History | Added to | 5,689 | 518 | 0.0% | 0.0% | 60 | +5,000 | 725.69% | Q4 2025 | Jan 30, 2026 |
| Rockefeller Capital Management L.P. | History | Added to | 5,681 | 518 | 0.0% | 0.0% | 61 | +1,408 | 32.95% | Q4 2025 | Mar 16, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Reduced | 5,666 | 516 | 0.0% | 0.0% | 62 | -30,758 | -84.44% | Q4 2025 | Feb 17, 2026 |
| Cornerstone Wealth Management, LLC | History | Reduced | 5,665 | 516 | 0.03% | 0.03% | 63 | -143 | -2.46% | Q4 2025 | Feb 05, 2026 |
| Pine Valley Investments Ltd Liability Co | History | Added to | 5,370 | 489 | 0.02% | 0.02% | 64 | +220 | 4.27% | Q4 2025 | Feb 13, 2026 |
| Sanctuary Advisors, LLC | History | Added to | 5,361 | 488 | 0.0% | 0.0% | 65 | +2,137 | 66.28% | Q4 2025 | Jan 29, 2026 |
| Pinnacle Financial Partners, Inc. | History | New | 5,345 | 487 | 0.0% | — | 66 | +5,345 | New | Q4 2025 | Feb 18, 2026 |
| Geneos Wealth Management Inc. | History | Added to | 5,238 | 477 | 0.01% | 0.01% | 67 | +553 | 11.8% | Q4 2025 | Jan 28, 2026 |
| Element Wealth, LLC | History | Reduced | 5,104 | 465 | 0.19% | 0.2% | 68 | -14 | -0.27% | Q4 2025 | Feb 13, 2026 |
| THRIVENT FINANCIAL FOR LUTHERANS | History | No change | 4,646 | 424 | 0.0% | 0.0% | 69 | 0 | 0.0% | Q4 2025 | Feb 05, 2026 |
| BostonPremier Wealth LLC | History | Reduced | 4,637 | 422 | 0.22% | 0.21% | 70 | -10 | -0.22% | Q4 2025 | Jan 13, 2026 |
| D.A. DAVIDSON & CO. | History | Added to | 4,551 | 415 | 0.0% | 0.0% | 71 | +47 | 1.04% | Q4 2025 | Jan 29, 2026 |
| NEW WAVE WEALTH ADVISORS LLC | History | Reduced | 4,488 | 409 | 0.15% | 0.16% | 72 | -576 | -11.37% | Q4 2025 | Jan 21, 2026 |
| Clear Point Advisors Inc. | History | Reduced | 4,438 | 404 | 0.31% | 0.35% | 73 | -498 | -10.09% | Q4 2025 | Feb 10, 2026 |
| Keystone Wealth Services, LLC | History | No change | 4,198 | 382 | 0.08% | 0.08% | 74 | 0 | 0.0% | Q4 2025 | Jan 26, 2026 |
| KEYBANK NATIONAL ASSOCIATION/OH | History | No change | 3,926 | 358 | 0.0% | 0.0% | 75 | 0 | 0.0% | Q4 2025 | Jan 30, 2026 |
| Gateway Wealth Partners, LLC | History | Reduced | 3,310 | 301 | 0.03% | 0.04% | 76 | -21 | -0.63% | Q4 2025 | Feb 11, 2026 |
| PFG Investments, LLC | History | New | 3,205 | 292 | 0.01% | — | 77 | +3,205 | New | Q4 2025 | Jan 26, 2026 |
| Sound Income Strategies, LLC | History | New | 2,950 | 290 | 0.01% | — | 78 | +2,950 | New | Q4 2025 | Jan 21, 2026 |
| HARBOUR INVESTMENTS, INC. | History | Reduced | 3,099 | 282 | 0.01% | 0.01% | 79 | -2 | -0.06% | Q4 2025 | Feb 09, 2026 |
| TKG Advisors, LLC | History | Reduced | 3,044 | 277 | 0.11% | 0.13% | 80 | -217 | -6.65% | Q4 2025 | Jan 29, 2026 |
| QUADRANT CAPITAL GROUP LLC | History | New | 3,000 | 273 | 0.01% | — | 81 | +3,000 | New | Q4 2025 | Feb 13, 2026 |
| Proactive Wealth Strategies LLC | History | New | 2,947 | 268 | 0.11% | — | 82 | +2,947 | New | Q4 2025 | Feb 05, 2026 |
| Venture Visionary Partners LLC | History | No change | 2,800 | 255 | 0.01% | 0.01% | 83 | 0 | 0.0% | Q4 2025 | Feb 13, 2026 |
| Richmond Investment Services, LLC | History | No change | 2,806 | 255 | 0.04% | 0.05% | 84 | 0 | 0.0% | Q4 2025 | Feb 12, 2026 |
| TRUIST FINANCIAL CORP | History | Reduced | 2,783 | 253 | 0.0% | 0.0% | 85 | -239 | -7.91% | Q4 2025 | Feb 02, 2026 |
| Ashton Thomas Private Wealth, LLC | History | Added to | 2,729 | 248 | 0.01% | 0.01% | 86 | +109 | 4.16% | Q4 2025 | Jan 29, 2026 |
| Arete Wealth Advisors, LLC | History | No change | 2,650 | 242 | 0.01% | 0.02% | 87 | 0 | 0.0% | Q4 2025 | Feb 13, 2026 |
| J.W. COLE ADVISORS, INC. | History | No change | 2,970 | 241 | 0.01% | 0.01% | 88 | 0 | 0.0% | Q4 2025 | Feb 11, 2026 |
| 1776 Wealth LLC | History | No change | 2,642 | 240 | 0.09% | 0.09% | 89 | 0 | 0.0% | Q4 2025 | Feb 11, 2026 |
| OPPENHEIMER & CO INC | History | No change | 2,602 | 237 | 0.0% | 0.0% | 90 | 0 | 0.0% | Q4 2025 | Feb 02, 2026 |
| PRIVATE TRUST CO NA | History | No change | 2,499 | 227 | 0.02% | 0.02% | 91 | 0 | 0.0% | Q4 2025 | Jan 26, 2026 |
| Koshinski Asset Management, Inc. | History | Reduced | 2,240 | 204 | 0.01% | 0.01% | 92 | -100 | -4.27% | Q4 2025 | Feb 03, 2026 |
| JPMORGAN CHASE & CO | History | Reduced | 2,076 | 189 | 0.0% | 0.0% | 93 | -200 | -8.79% | Q4 2025 | Feb 11, 2026 |
| CWM, LLC | History | Reduced | 1,576 | 144 | 0.0% | 0.0% | 94 | -568 | -26.49% | Q4 2025 | Jan 26, 2026 |
| BlackRock, Inc. | History | New | 1,200 | 109 | 0.0% | — | 95 | +1,200 | New | Q4 2025 | Feb 12, 2026 |
| MPWM ADVISORY SOLUTIONS, LLC | History | Added to | 1,054 | 96 | 0.05% | 0.06% | 96 | +10 | 0.96% | Q4 2025 | Feb 17, 2026 |
| CoreCap Advisors, LLC | History | Reduced | 915 | 83 | 0.0% | 0.0% | 97 | -170 | -15.67% | Q4 2025 | Jan 13, 2026 |
| GPS Wealth Strategies Group, LLC | History | No change | 648 | 59 | 0.05% | 0.01% | 98 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| MidFirst Bank | History | New | 573 | 52 | 0.0% | — | 99 | +573 | New | Q4 2025 | Feb 25, 2026 |
| Allworth Financial LP | History | New | 560 | 51 | 0.0% | — | 100 | +560 | New | Q4 2025 | Feb 05, 2026 |
| Signature Equity Partners, LLC | History | New | 545 | 49 | 0.03% | — | 101 | +545 | New | Q4 2025 | Feb 17, 2026 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 482 | 43 | 0.0% | 0.0% | 102 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| Pinnacle Wealth Planning Services, Inc. | History | New | 463 | 42 | 0.0% | — | 103 | +463 | New | Q4 2025 | Feb 13, 2026 |
| GAMMA Investing LLC | History | No change | 445 | 40 | 0.0% | 0.0% | 104 | 0 | 0.0% | Q4 2025 | Jan 05, 2026 |
| HHM Wealth Advisors, LLC | History | No change | 404 | 36 | 0.0% | 0.0% | 105 | 0 | 0.0% | Q4 2025 | Jan 22, 2026 |
| Gunpowder Capital Management, LLC dba Oliver Wealth Management | History | New | 220 | 20 | 0.02% | — | 106 | +220 | New | Q4 2025 | Mar 05, 2026 |
| FMR LLC | History | Reduced | 148 | 13 | 0.0% | 0.0% | 107 | -36 | -19.57% | Q4 2025 | Feb 17, 2026 |
| FARMERS & MERCHANTS INVESTMENTS INC | History | No change | 137 | 12 | 0.0% | 0.0% | 108 | 0 | 0.0% | Q4 2025 | Feb 03, 2026 |
| Sunbelt Securities, Inc. | History | No change | 100 | 9 | 0.0% | 0.0% | 109 | 0 | 0.0% | Q4 2025 | Feb 20, 2026 |
| Hilltop National Bank | History | No change | 91 | 8 | 0.0% | 0.0% | 110 | 0 | 0.0% | Q4 2025 | Jan 07, 2026 |
| GABLES CAPITAL MANAGEMENT INC. | History | New | 75 | 6 | 0.0% | — | 112 | +75 | New | Q4 2025 | Feb 06, 2026 |
| NBC SECURITIES, INC. | History | No change | 75 | 6 | 0.0% | 0.0% | 111 | 0 | 0.0% | Q4 2025 | Jan 29, 2026 |
| Caitlin John, LLC | History | No change | 71 | 6 | 0.0% | 0.0% | 113 | 0 | 0.0% | Q4 2025 | Feb 18, 2026 |
| Medallion Wealth Advisors, LLC | History | No change | 50 | 4 | 0.0% | 0.0% | 114 | 0 | 0.0% | Q4 2025 | Apr 24, 2026 |
| ASSETMARK, INC | History | New | 28 | 2 | 0.0% | — | 115 | +28 | New | Q4 2025 | Jan 23, 2026 |
| Aptus Capital Advisors, LLC | History | New | 27 | 2 | 0.0% | — | 116 | +27 | New | Q4 2025 | Feb 13, 2026 |
| Farther Finance Advisors, LLC | History | No change | 17 | 1 | 0.0% | 0.0% | 117 | 0 | 0.0% | Q4 2025 | Jan 23, 2026 |
| Synergy Asset Management, LLC | History | Closed out | 0 | 0 | — | 0.12% | — | -36,016 | -100.0% | Q3 2025 | Oct 21, 2025 |
| WMG Financial Advisors, LLC | History | Closed out | 0 | 0 | — | 0.1% | — | -3,398 | -100.0% | Q3 2025 | Oct 23, 2025 |
| Brookwood Investment Group LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -2,464 | -100.0% | Q3 2025 | Oct 21, 2025 |
| Advisory Services Network, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -2,096 | -100.0% | Q3 2025 | Nov 18, 2025 |
| Founders Financial Alliance, LLC | History | Closed out | 0 | 0 | — | 0.04% | — | -2,096 | -100.0% | Q3 2025 | Nov 07, 2025 |
| Tower Research Capital LLC (TRC) | History | Closed out | 0 | 0 | — | 0.0% | — | -1,760 | -100.0% | Q3 2025 | Nov 14, 2025 |
| MCGUIRE CAPITAL ADVISORS INC | History | New | 10 | 0 | — | — | — | +10 | New | Q4 2025 | Feb 19, 2026 |
| Darwin Wealth Management, LLC | History | New | 8 | 0 | — | — | — | +8 | New | Q4 2025 | Jan 22, 2026 |
| Hilton Head Capital Partners, LLC | History | New | 1 | 0 | — | — | — | +1 | New | Q4 2025 | Feb 11, 2026 |