Who owns First Trust Small Cap Value AlphaDEX Fund?
Prices and market caps: Cboe delayed data, at least 15 minutes delayed. Not real-time. Fundamentals from company filings.
Institutional ownership of FYT from SEC Form 13F filings across 74 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, 74 institutions disclosed 1.7M shares of First Trust Small Cap Value AlphaDEX Fund worth $118.9M — about 68.5% of shares outstanding; the largest disclosed holder is LPL Financial LLC. Source: SEC Form 13F filings, parsed by EvidInvest.
74
13F holders
$118.9M
value, 2026 filers
68.5%
of shares outstanding (1.7M sh)
18
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 FYT's shares outstanding
| # | Manager | Shares | Value | % of fund | % of co. | Δ shares QoQ |
|---|---|---|---|---|---|---|
| 1 | LPL Financial LLC | 260,096 | $18.2M | 0.0% | 10.3% | +18.4% |
| 2 | MORGAN STANLEY | 185,118 | $12.9M | 0.0% | 7.3% | -9.4% |
| 3 | WELLS FARGO & COMPANY/MN | 178,000 | $12.4M | 0.0% | 7.1% | +3.6% |
| 4 | ROYAL BANK OF CANADA | 126,963 | $8.9M | 0.0% | 5% | +25.4% |
| 5 | Kingsview Wealth Management, LLC | 122,159 | $8.5M | 0.1% | 4.8% | +0.6% |
| 6 | Proactive Wealth Strategies LLC | 119,349 | $8.3M | 1.3% | 4.7% | -2.7% |
| 7 | RAYMOND JAMES FINANCIAL INC | 100,999 | $7.1M | 0.0% | 4% | -6.8% |
| 8 | Cetera Investment Advisers | 68,397 | $4.8M | 0.0% | 2.7% | +13.5% |
| 9 | ROMAN BUTLER FULLERTON & CONEW | 47,850 | $3.4M | 0.8% | 1.9% | new |
| 10 | TRUIST FINANCIAL CORP | 46,570 | $3.3M | 0.0% | 1.8% | -2.5% |
| 11 | COMMONWEALTH EQUITY SERVICES, LLC | 40,400 | $2.8M | 0.0% | 1.6% | +14.2% |
| 12 | ENVESTNET ASSET MANAGEMENT INC | 40,028 | $2.8M | 0.0% | 1.6% | -7.8% |
| 13 | UBS Group AG | 34,123 | $2.4M | 0.0% | 1.4% | -1.5% |
| 14 | GOLDMAN SACHS GROUP INC | 29,611 | $2.1M | 0.0% | 1.2% | +226.5% |
| 15 | NWAM LLC | 20,098 | $1.4M | 0.1% | 0.8% | 0.0% |
| 16 | IFG Advisory, LLCNEW | 19,854 | $1.4M | 0.0% | 0.8% | new |
| 17 | CITADEL ADVISORS LLCNEW | 16,678 | $1.2M | 0.0% | 0.7% | new |
| 18 | Kestra Advisory Services, LLC | 15,714 | $1.1M | 0.0% | 0.6% | -53.1% |
| 19 | OSAIC HOLDINGS, INC. | 14,508 | $1.0M | 0.0% | 0.6% | +9.2% |
| 20 | TWO SIGMA INVESTMENTS, LP | 14,500 | $1.0M | 0.0% | 0.6% | -6.3% |
| 21 | Cambridge Investment Research Advisors, Inc. | 14,293 | $998 | 0.0% | 0.6% | -92.7% |
| 22 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 12,558 | $876,718 | 0.0% | 0.5% | -37.7% |
| 23 | JONES FINANCIAL COMPANIES LLLP | 12,412 | $869,523 | 0.0% | 0.5% | +96.0% |
| 24 | Gateway Wealth Partners, LLC | 12,397 | $865,485 | 0.1% | 0.5% | -49.7% |
| 25 | Pinnacle Bancorp, Inc. | 12,213 | $852,632 | 0.2% | 0.5% | 0.0% |
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.