Who owns First Trust Small Cap Growth AlphaDEX Fund?
Prices and market caps: Cboe delayed data, at least 15 minutes delayed. Not real-time. Fundamentals from company filings.
Institutional ownership of FYC from SEC Form 13F filings across 177 reporting managers. All positions are from one synchronized reporting period — 2026-06-30 books, filed up to 45 days after quarter end — so every row is comparable.
As of the 2026-06-30 reporting period, 177 institutions disclosed 7.6M shares of First Trust Small Cap Growth AlphaDEX Fund worth $965.3M — about 69.3% of shares outstanding; the largest disclosed holder is LPL Financial LLC. Source: SEC Form 13F filings, parsed by EvidInvest.
177
13F holders
$965.3M
value, 2026 filers
69.3%
of shares outstanding (7.6M sh)
40
new positions (2026 filers)
Top institutional holders
ordered by shares owned · positions as of 2026-06-30 · % of fund = share of the manager's own book · % of co. = share of FYC's shares outstanding
| # | Manager | Shares | Value | % of fund | % of co. | Δ shares QoQ |
|---|---|---|---|---|---|---|
| 1 | LPL Financial LLC | 1.5M | $191.5M | 0.0% | 13.7% | +10.5% |
| 2 | RAYMOND JAMES FINANCIAL INC | 649,982 | $82.8M | 0.0% | 5.9% | +19.3% |
| 3 | MORGAN STANLEY | 606,270 | $77.2M | 0.0% | 5.5% | +53.7% |
| 4 | WELLS FARGO & COMPANY/MN | 472,349 | $60.1M | 0.0% | 4.3% | +6.5% |
| 5 | Cetera Investment Advisers | 313,216 | $39.9M | 0.0% | 2.9% | +8.1% |
| 6 | BANK OF AMERICA CORP /DE/ | 248,567 | $31.7M | 0.0% | 2.3% | +1.8% |
| 7 | STIFEL FINANCIAL CORP | 196,711 | $25.0M | 0.0% | 1.8% | 0.0% |
| 8 | ENVESTNET ASSET MANAGEMENT INC | 193,051 | $24.6M | 0.0% | 1.8% | +4.1% |
| 9 | ROYAL BANK OF CANADA | 175,628 | $22.4M | 0.0% | 1.6% | +2.6% |
| 10 | ECLECTIC ASSOCIATES INC /ADV | 158,288 | $20.2M | 2.3% | 1.4% | -0.6% |
| 11 | OSAIC HOLDINGS, INC. | 156,279 | $19.9M | 0.0% | 1.4% | +52.5% |
| 12 | UBS Group AG | 154,862 | $19.7M | 0.0% | 1.4% | -11.3% |
| 13 | Baird Financial Group, Inc. | 124,071 | $15.8M | 0.0% | 1.1% | +70.2% |
| 14 | NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | 112,865 | $14.4M | 0.0% | 1% | +85.4% |
| 15 | NEW WAVE WEALTH ADVISORS LLC | 102,390 | $13.0M | 3.5% | 0.9% | +0.9% |
| 16 | MML INVESTORS SERVICES, LLC | 100,218 | $12.8M | 0.0% | 0.9% | +14.2% |
| 17 | PNC Financial Services Group, Inc. | 99,874 | $12.7M | 0.0% | 0.9% | +8.0% |
| 18 | Integrity Advisory Solutions, LLC | 99,486 | $12.7M | 1.3% | 0.9% | +1.8% |
| 19 | Concurrent Investment Advisors, LLC | 99,023 | $12.6M | 0.1% | 0.9% | -1.4% |
| 20 | Cambridge Investment Research Advisors, Inc. | 95,444 | $12.2M | 0.0% | 0.9% | +4.5% |
| 21 | IFP Advisors, Inc | 90,820 | $11.6M | 0.2% | 0.8% | +4.6% |
| 22 | Bedel Financial Consulting, Inc. | 78,032 | $9.9M | 0.9% | 0.7% | +1.1% |
| 23 | Richmond Investment Services, LLC | 77,150 | $9.8M | 3.1% | 0.7% | -47.5% |
| 24 | ELEVATION POINT WEALTH PARTNERS, LLCNEW | 75,497 | $9.6M | 0.2% | 0.7% | new |
| 25 | Vestmark Advisory Solutions, Inc.NEW | 75,240 | $9.6M | 0.1% | 0.7% | new |
Source: SEC Form 13F-HR filings (institutional managers over $100M in US-listed positions). 13Fs disclose long positions only, up to 45 days after quarter end; each manager's latest filed quarter is shown per row and dollar values are the manager's filed marks. Aggregates labeled "2026 filers" count only managers whose latest book is a 2026 quarter. Related: valuation · options positioning · supply chain. Research, not investment advice.