FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND - FTRI
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 | 1,079,853 | 17,137 | 0.0% | 0.0% | 1 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| ROYAL BANK OF CANADA | History | No change | 805,957 | 12,790 | 0.0% | 0.0% | 2 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Reduced | 274,563 | 4,608 | 0.01% | 0.01% | 3 | -32,244 | -10.51% | Q3 2026 | Nov 02, 2026 |
| PARK NATIONAL CORP /OH/ | History | Reduced | 264,553 | 4,440 | 0.12% | 0.12% | 4 | -8,749 | -3.2% | Q3 2026 | Oct 05, 2026 |
| MORGAN STANLEY | History | No change | 240,905 | 3,823 | 0.0% | 0.0% | 5 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Cetera Investment Advisers | History | No change | 217,030 | 3,444 | 0.0% | 0.0% | 6 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| BANK OF AMERICA CORP /DE/ | History | No change | 174,310 | 2,766 | 0.0% | 0.0% | 7 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | No change | 169,980 | 2,697 | 0.0% | 0.0% | 8 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Farther Finance Advisors, LLC | History | Added to | 144,448 | 2,424 | 0.02% | 0.02% | 9 | +11,780 | 8.88% | Q3 2026 | Oct 08, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 143,659 | 2,411 | 0.0% | 0.0% | 10 | -34,359 | -19.3% | Q3 2026 | Nov 02, 2026 |
| Concurrent Investment Advisors, LLC | History | New | 104,651 | 1,756 | 0.01% | — | 11 | +104,651 | New | Q3 2026 | Oct 16, 2026 |
| D.A. DAVIDSON & CO. | History | Added to | 88,397 | 1,483 | 0.01% | 0.01% | 12 | +5,591 | 6.75% | Q3 2026 | Oct 27, 2026 |
| Security National Bank | History | Added to | 87,820 | 1,473 | 0.17% | 0.15% | 13 | +8,837 | 11.19% | Q3 2026 | Oct 26, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | No change | 91,909 | 1,458 | 0.0% | 0.0% | 14 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Lauer Wealth, LLC | History | Added to | 78,750 | 1,312 | 0.82% | 0.72% | 15 | +5,850 | 8.02% | Q3 2026 | Oct 13, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | No change | 74,985 | 1,190 | 0.0% | 0.0% | 16 | 0 | 0.0% | Q2 2026 | Sep 23, 2026 |
| JANE STREET GROUP, LLC | History | No change | 66,294 | 1,052 | 0.0% | 0.0% | 17 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Gladstone Institutional Advisory LLC | History | No change | 51,649 | 819 | 0.03% | 0.03% | 18 | 0 | 0.0% | Q2 2026 | Jul 27, 2026 |
| Kestra Advisory Services, LLC | History | Added to | 42,155 | 707 | 0.0% | 0.0% | 19 | +2,337 | 5.87% | Q3 2026 | Nov 02, 2026 |
| MANCHESTER FINANCIAL INC | History | Reduced | 38,525 | 646 | 0.11% | 0.11% | 20 | -728 | -1.85% | Q3 2026 | Oct 15, 2026 |
| Integrated Wealth Concepts LLC | History | No change | 37,344 | 592 | 0.0% | 0.0% | 21 | 0 | 0.0% | Q2 2026 | Sep 08, 2026 |
| OLD MISSION CAPITAL LLC | History | No change | 36,269 | 575 | 0.01% | 0.01% | 22 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Summit Financial, LLC | History | No change | 35,218 | 558 | 0.01% | 0.01% | 23 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| OSAIC HOLDINGS, INC. | History | No change | 34,145 | 541 | 0.0% | 0.0% | 24 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Modern Wealth Management, LLC | History | No change | 33,128 | 525 | 0.01% | 0.01% | 25 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Van Diest Capital, LLC | History | No change | 32,623 | 517 | 0.46% | 0.46% | 26 | 0 | 0.0% | Q2 2026 | Aug 04, 2026 |
| Rockefeller Capital Management L.P. | History | No change | 30,042 | 476 | 0.0% | 0.0% | 27 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Private Advisor Group, LLC | History | No change | 28,982 | 459 | 0.0% | 0.0% | 28 | 0 | 0.0% | Q2 2026 | Jul 27, 2026 |
| Treasure Coast Financial Planning | History | No change | 25,256 | 423 | 0.2% | 0.2% | 29 | 0 | 0.0% | Q3 2026 | Nov 03, 2026 |
| Crumly & Associates Inc. | History | Added to | 24,928 | 418 | 0.07% | 0.07% | 30 | +2,245 | 9.9% | Q3 2026 | Oct 07, 2026 |
| Focus Financial Network, Inc. | History | Added to | 22,315 | 374 | 0.01% | 0.01% | 31 | +2,421 | 12.17% | Q3 2026 | Oct 14, 2026 |
| STIFEL FINANCIAL CORP | History | No change | 23,309 | 369 | 0.0% | 0.0% | 32 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Walkner Condon Financial Advisors LLC | History | Added to | 21,981 | 368 | 0.04% | 0.04% | 33 | +50 | 0.23% | Q3 2026 | Oct 30, 2026 |
| Waterfront Wealth Inc. | History | Added to | 20,506 | 349 | 0.06% | 0.05% | 34 | +6 | 0.03% | Q3 2026 | Nov 03, 2026 |
| Chris Bulman Inc | History | Reduced | 19,921 | 334 | 0.12% | 0.13% | 35 | -3,336 | -14.34% | Q3 2026 | Oct 20, 2026 |
| PRINCIPAL SECURITIES, INC. | History | No change | 20,961 | 332 | 0.0% | 0.0% | 36 | 0 | 0.0% | Q2 2026 | Aug 04, 2026 |
| Quad-Cities Investment Group, LLC | History | Added to | 18,606 | 312 | 0.11% | 0.11% | 37 | +50 | 0.27% | Q3 2026 | Oct 15, 2026 |
| Cambridge Advisors Inc. | History | Added to | 17,120 | 287 | 0.05% | 0.05% | 38 | +17 | 0.1% | Q3 2026 | Oct 19, 2026 |
| Brookstone Capital Management | History | Reduced | 16,989 | 285 | 0.0% | 0.0% | 39 | -3,637 | -17.63% | Q3 2026 | Oct 22, 2026 |
| UMB Bank, n.a. | History | No change | 16,625 | 263 | 0.0% | 0.0% | 40 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| HARBOUR INVESTMENTS, INC. | History | No change | 15,676 | 248 | 0.0% | 0.0% | 41 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| TRUIST FINANCIAL CORP | History | New | 14,660 | 246 | 0.0% | — | 42 | +14,660 | New | Q3 2026 | Oct 30, 2026 |
| INDEPENDENT FINANCIAL GROUP, LLC | History | Added to | 14,585 | 244 | 0.0% | 0.0% | 43 | +1,501 | 11.47% | Q3 2026 | Oct 13, 2026 |
| Sanctuary Advisors, LLC | History | No change | 14,681 | 232 | 0.0% | 0.0% | 44 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| COLUMBIA ADVISORY PARTNERS LLC | History | Reduced | 13,486 | 226 | 0.12% | 0.12% | 45 | -90 | -0.66% | Q3 2026 | Oct 15, 2026 |
| Independent Wealth Network Inc. | History | No change | 13,519 | 226 | 0.06% | 0.05% | 46 | 0 | 0.0% | Q3 2026 | Oct 19, 2026 |
| FLOW TRADERS U.S. LLC | History | No change | 13,343 | 212 | 0.01% | 0.01% | 47 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Holos Integrated Wealth LLC | History | No change | 11,655 | 197 | 0.09% | 0.09% | 48 | 0 | 0.0% | Q3 2026 | Oct 23, 2026 |
| Janney Montgomery Scott LLC | History | No change | 11,865 | 188 | 0.0% | 0.0% | 49 | 0 | 0.0% | Q2 2026 | Aug 05, 2026 |
| FSB PREMIER WEALTH MANAGEMENT, INC. | History | No change | 11,841 | 187 | 0.05% | 0.05% | 50 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Koshinski Asset Management, Inc. | History | Reduced | 10,242 | 171 | 0.01% | 0.01% | 51 | -1,392 | -11.96% | Q3 2026 | Oct 29, 2026 |
| AE Wealth Management LLC | History | No change | 8,942 | 141 | 0.0% | 0.0% | 52 | 0 | 0.0% | Q2 2026 | Aug 03, 2026 |
| Keating Financial Advisory Services, Inc. | History | No change | 8,809 | 139 | 0.02% | 0.02% | 53 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| NewEdge Advisors, LLC | History | No change | 2,423 | 38 | 0.0% | 0.0% | 54 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Arax Advisory Partners | History | No change | 1,308 | 20 | 0.0% | 0.0% | 55 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| Golden State Wealth Management, LLC | History | Added to | 1,114 | 18 | 0.0% | 0.0% | 56 | +5 | 0.45% | Q3 2026 | Nov 02, 2026 |
| BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | History | No change | 814 | 12 | 0.0% | 0.0% | 57 | 0 | 0.0% | Q2 2026 | Oct 30, 2026 |
| BFC Planning, Inc. | History | No change | 814 | 12 | 0.0% | 0.0% | 58 | 0 | 0.0% | Q2 2026 | Oct 29, 2026 |
| WELLS FARGO & COMPANY/MN | History | No change | 695 | 11 | 0.0% | 0.0% | 59 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| US BANCORP \DE\ | History | No change | 540 | 8 | 0.0% | 0.0% | 60 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Avion Wealth | History | No change | 506 | 8 | 0.0% | 0.0% | 61 | 0 | 0.0% | Q3 2026 | Nov 03, 2026 |
| Capital Analysts, LLC | History | No change | 400 | 6 | 0.0% | 0.0% | 62 | 0 | 0.0% | Q2 2026 | Aug 05, 2026 |
| Parallel Advisors, LLC | History | Reduced | 250 | 4 | 0.0% | 0.0% | 64 | -680 | -73.12% | Q3 2026 | Nov 03, 2026 |
| Ancora Advisors LLC | History | No change | 313 | 4 | 0.0% | 0.0% | 63 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| MARSHALL INVESTMENT MANAGEMENT, LLC | History | No change | 278 | 4 | 0.0% | 0.0% | 65 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Triumph Capital Management | History | No change | 200 | 3 | 0.0% | 0.0% | 66 | 0 | 0.0% | Q3 2026 | Oct 14, 2026 |
| Piscataqua Savings Bank | History | No change | 230 | 3 | 0.0% | 0.0% | 67 | 0 | 0.0% | Q3 2026 | Oct 21, 2026 |
| FMR LLC | History | No change | 135 | 2 | 0.0% | 0.0% | 68 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Financial Network Wealth Advisors LLC | History | No change | 110 | 1 | 0.0% | 0.0% | 69 | 0 | 0.0% | Q3 2026 | Oct 27, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -1,600 | -100.0% | Q3 2026 | Nov 02, 2026 |
| ASSETMARK, INC | History | Closed out | 0 | 0 | — | 0.0% | — | -1,096 | -100.0% | Q3 2026 | Oct 21, 2026 |
| SIMPLEX TRADING, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -100 | -100.0% | Q3 2026 | Nov 04, 2026 |
| SIGNATUREFD, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -93 | -100.0% | Q3 2026 | Oct 23, 2026 |
| Trust Co | History | No change | 30 | 0 | — | — | — | 0 | 0.0% | Q3 2026 | Oct 09, 2026 |
| DHJJ Financial Advisors, Ltd. | History | No change | 16 | 0 | — | — | — | 0 | 0.0% | Q3 2026 | Oct 23, 2026 |
| Sankala Group LLC | History | No change | 7 | 0 | — | — | — | 0 | 0.0% | Q2 2026 | Aug 18, 2026 |