Who owns First Trust Small Cap Core AlphaDEX Fund?
Prices and market caps: Cboe delayed data, at least 15 minutes delayed. Not real-time. Fundamentals from company filings.
Institutional ownership of FYX from SEC Form 13F filings across 204 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, 204 institutions disclosed 6.9M shares of First Trust Small Cap Core AlphaDEX Fund worth $992.9M — about 71.3% of shares outstanding; the largest disclosed holder is WELLS FARGO & COMPANY/MN. Source: SEC Form 13F filings, parsed by EvidInvest.
204
13F holders
$992.9M
value, 2026 filers
71.3%
of shares outstanding (6.9M sh)
44
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 FYX's shares outstanding
| # | Manager | Shares | Value | % of fund | % of co. | Δ shares QoQ |
|---|---|---|---|---|---|---|
| 1 | WELLS FARGO & COMPANY/MN | 715,280 | $103.2M | 0.0% | 7.4% | +31.4% |
| 2 | ROYAL BANK OF CANADA | 704,083 | $101.6M | 0.0% | 7.3% | -0.6% |
| 3 | LPL Financial LLC | 683,900 | $98.7M | 0.0% | 7.1% | +11.7% |
| 4 | MORGAN STANLEY | 678,078 | $97.8M | 0.0% | 7% | +3.9% |
| 5 | RAYMOND JAMES FINANCIAL INC | 435,608 | $62.9M | 0.0% | 4.5% | +5.3% |
| 6 | UBS Group AG | 421,883 | $60.9M | 0.0% | 4.4% | +38.5% |
| 7 | BANK OF AMERICA CORP /DE/ | 357,405 | $51.6M | 0.0% | 3.7% | -3.8% |
| 8 | Janney Montgomery Scott LLC | 263,066 | $38.0M | 0.1% | 2.7% | +3.8% |
| 9 | Genesee Capital Advisors, LLC | 163,889 | $23.6M | 7.5% | 1.7% | +142.2% |
| 10 | Cetera Investment Advisers | 151,913 | $21.9M | 0.0% | 1.6% | +17.8% |
| 11 | NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | 120,332 | $17.4M | 0.0% | 1.2% | +3.0% |
| 12 | Concurrent Investment Advisors, LLC | 107,601 | $15.5M | 0.1% | 1.1% | +25.8% |
| 13 | ENVESTNET ASSET MANAGEMENT INC | 101,266 | $14.6M | 0.0% | 1% | +159.5% |
| 14 | Crusonia Wealth Advisors LLC | 73,453 | $10.6M | 1.7% | 0.8% | -0.6% |
| 15 | Chicago Partners Investment Group LLC | 71,639 | $10.1M | 0.2% | 0.7% | -1.4% |
| 16 | Cambridge Investment Research Advisors, Inc. | 67,708 | $9.8M | 0.0% | 0.7% | +0.6% |
| 17 | Per Stirling Capital Management, LLC. | 66,712 | $9.6M | 0.9% | 0.7% | +1.8% |
| 18 | COMMONWEALTH EQUITY SERVICES, LLC | 64,962 | $9.4M | 0.0% | 0.7% | -1.2% |
| 19 | Wealth Alliance Advisory Group, LLC | 59,310 | $8.6M | 1.2% | 0.6% | -0.6% |
| 20 | STIFEL FINANCIAL CORP | 54,429 | $7.9M | 0.0% | 0.6% | +44.3% |
| 21 | Geneos Wealth Management Inc. | 53,610 | $7.7M | 0.2% | 0.6% | +2.4% |
| 22 | FWG Holdings, LLC | 50,930 | $7.2M | 2.5% | 0.5% | +2099.1% |
| 23 | Kestra Advisory Services, LLC | 50,485 | $7.3M | 0.0% | 0.5% | -13.6% |
| 24 | D.A. DAVIDSON & CO. | 48,579 | $7.0M | 0.0% | 0.5% | +0.9% |
| 25 | Mainsail Financial Group, LLC | 44,673 | $6.4M | 2.2% | 0.5% | +11.0% |
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.