Security Snapshot

First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund (FXU) Institutional Ownership

CUSIP: 33734X184

13F Institutional Holders and Ownership History from Q1 2014 to Q1 2026

Latest Period

Q1 2026

Institutions Reporting

189

Shares (Excl. Options)

12,259,257

Price

$49.59

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Type / Class
Equity / First Trust Utilities AlphaDEX(R) Fund
Symbol
FXU
Shares outstanding
17,345,806
Price per share
$49.42
All holders as of 31 Mar 2026
Q1 2026
Total 13F shares
12,259,257
Total reported value
$607,526,536
% of total 13F portfolios
0%
Share change
-21,641,823
Value change
-$990,080,729
Number of holders
189
Reported Shares, Excluding Options vs Price
Reported Value, Excluding Options
Total Investors

Quick Takeaways

  • FXU - First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund is tracked under CUSIP 33734X184.
  • 189 institutions reported positions in Q1 2026.
  • 1 significant owner is listed from Schedule 13D/13G reporting.

What Changed

  • Holder count moved from 197 to 189 between Q4 2025 and Q1 2026.
  • Reported value moved from $1,594,669,033 to $607,526,536.

Why This Matters

  • You can quickly see who holds this security, then open quarter and manager detail pages for full evidence.
  • 13F and Schedule 13D/13G sections are kept together so you can cross-check institutional and beneficial ownership context.

Source Evidence

Source: SEC Form 13F

Latest holder context comes from 189 institutions filings for Q1 2026.

Open SEC Evidence

Investment Quick Answers

What is CUSIP 33734X184?
CUSIP 33734X184 identifies FXU - First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund in SEC 13F datasets.

Where can I see the latest institutional holders?
Review the Q1 2026 holders report and the ownership history table below.

Significant Owners of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund (FXU) based on Schedule 13D/G filings

Filer Ownership Change % Holdings Value Net Change Nb Shares Change % Reporting Name Report Period
FIRST TRUST PORTFOLIOS LP 0.62% -99% $4,840,555 -$739,091,386 107,544 -99% First Trust Portfolios L.P. 31 Jan 2026

As of 31 Mar 2026, 189 institutional investors reported holding 12,259,257 shares of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund (FXU). This represents 71% of the company’s total 17,345,806 outstanding shares.

Top 25 Institutional Shareholders

The largest institutional shareholders of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund (FXU) together control 58% of the company’s outstanding shares — a level of ownership often associated with strong institutional conviction and long‑term capital commitment.

Institution Ownership % Shares Held Share Change % Portfolio % Holdings Value
MORGAN STANLEY 11% 1,872,458 -41% 0.01% $92,855,231
LPL Financial LLC 10% 1,790,249 +4.9% 0.02% $88,778,431
WELLS FARGO & COMPANY/MN 5.2% 904,981 -46% 0.01% $44,877,994
RAYMOND JAMES FINANCIAL INC 4% 695,324 -28% 0.01% $34,481,101
UBS Group AG 3.3% 571,796 +4.5% 0.01% $28,355,364
EARNED WEALTH ADVISORS, LLC 2.2% 379,257 +1.5% 1.3% $18,807,342
TRUIST FINANCIAL CORP 2.2% 373,182 +22% 0.02% $18,506,100
TWO SIGMA INVESTMENTS, LP 2% 349,700 0.01% $17,341,623
Cetera Investment Advisers 1.9% 335,969 +13% 0.02% $16,660,690
ENVESTNET ASSET MANAGEMENT INC 1.6% 272,594 +52% 0% $13,517,913
Csenge Advisory Group 1.5% 252,320 +3.7% 0.57% $12,512,561
Rockport Wealth LLC 1.3% 228,438 +3196% 2.1% $11,326,454
STIFEL FINANCIAL CORP 1.2% 214,746 -34% 0.01% $10,649,218
OSAIC HOLDINGS, INC. 1% 176,423 -33% 0.01% $8,749,360
PGIM Custom Harvest LLC 0.99% 171,978 -0.14% 0.13% $8,528,377
Delos Wealth Advisors, LLC 0.94% 163,441 +5.1% 4.6% $8,105,040
COMMONWEALTH EQUITY SERVICES, LLC 0.93% 161,741 +1.3% 0.01% $8,020,723
Janney Montgomery Scott LLC 0.91% 158,068 +0.48% 0.02% $7,839,000
Summit Financial, LLC 0.9% 156,473 -2.2% 0.1% $7,759,492
Cambridge Investment Research Advisors, Inc. 0.88% 152,410 +6.4% 0.02% $7,558,000
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.85% 147,403 +10% 0% $7,309,720
Virtue Capital Management, LLC 0.82% 143,002 1.1% $7,071,449
Milestones Private Investment Advisors LLC 0.7% 122,270 +3.3% 5.3% $6,063,369
Foundations Investment Advisors, LLC 0.54% 93,161 +0.49% 0.06% $4,619,840
ROYAL BANK OF CANADA 0.5% 87,583 -61% 0% $4,344,000

Institutional Holders of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund (FXU) across Reporting Periods

Period Reported Shares, Excl. Options Value, Excl. Options Value Change Price (Median) Investors
2026 Q1 12,259,257 $607,526,536 -$990,080,729 $49.59 189
2025 Q4 35,427,205 $1,594,669,033 +$109,960,156 $45.01 197
2025 Q3 33,342,841 $1,515,187,775 -$28,708,606 $45.45 188
2025 Q2 34,140,690 $1,447,967,350 -$42,400,987 $42.38 195
2025 Q1 36,920,837 $1,514,018,858 +$1,196,043,109 $41.01 166
2024 Q4 5,877,577 $222,360,077 +$7,420,732 $37.83 137
2024 Q3 5,644,431 $217,019,960 +$24,685,129 $38.48 120
2024 Q2 5,025,156 $166,193,298 +$18,781,333 $33.07 109
2024 Q1 4,453,404 $144,471,853 -$15,208,366 $32.46 101
2023 Q4 4,932,557 $156,222,673 +$6,737,902 $31.68 98
2023 Q3 4,742,804 $135,663,897 -$65,169,694 $28.56 97
2023 Q2 6,971,408 $221,606,299 +$10,220,528 $31.79 97
2023 Q1 6,625,312 $217,482,931 -$36,103,029 $32.82 102
2022 Q4 7,676,541 $254,935,871 -$55,860,153 $33.21 112
2022 Q3 9,599,129 $293,310,780 +$65,422,495 $30.55 108
2022 Q2 7,449,515 $240,650,093 +$95,429,753 $32.31 94
2022 Q1 4,427,113 $150,571,108 +$51,161,277 $34.01 78
2021 Q4 2,920,386 $95,463,950 +$6,494,438 $32.69 81
2021 Q3 2,671,402 $79,075,723 +$157,901 $29.60 73
2021 Q2 2,668,763 $79,885,761 +$451,933 $29.93 77
2021 Q1 2,641,310 $78,740,177 -$31,666,250 $29.81 71
2020 Q4 3,691,842 $104,779,573 -$10,599,756 $28.38 74
2020 Q3 4,134,825 $110,716,030 -$39,178,298 $26.47 72
2020 Q2 5,536,066 $142,728,530 -$501,687,826 $25.78 77
2020 Q1 25,674,114 $630,324,296 -$231,832,957 $24.55 90
2019 Q4 35,093,274 $1,025,034,196 -$24,198,327 $29.21 99
2019 Q3 35,903,605 $1,064,198,496 -$90,511,476 $29.65 102
2019 Q2 39,111,709 $1,122,096,408 +$875,767,196 $28.71 102
2019 Q1 8,642,454 $244,365,082 -$11,628,123 $28.28 91
2018 Q4 9,087,479 $243,394,828 +$39,189,857 $26.78 86
2018 Q3 7,453,297 $205,481,595 +$27,736,039 $27.57 74
2018 Q2 6,457,647 $168,910,236 +$42,734,151 $26.18 69
2018 Q1 4,837,102 $122,676,542 -$45,415,962 $25.36 84
2017 Q4 6,625,025 $172,369,051 -$896,440,042 $26.02 75
2017 Q3 40,296,936 $1,088,524,097 -$75,864,999 $27.02 99
2017 Q2 43,108,040 $1,170,700,276 +$25,177,023 $27.17 103
2017 Q1 42,180,679 $1,155,286,927 -$93,502,118 $27.39 106
2016 Q4 46,105,295 $1,231,115,394 -$213,997,911 $26.73 97
2016 Q3 54,538,548 $1,414,115,383 -$19,418,388 $25.93 102
2016 Q2 55,567,803 $1,501,948,896 +$44,261,874 $27.03 105
2016 Q1 53,699,190 $1,394,563,123 +$1,299,739,684 $25.98 94
2015 Q4 3,660,436 $81,983,762 -$13,365,663 $22.39 51
2015 Q3 4,200,832 $95,098,527 +$30,618,073 $22.63 43
2015 Q2 2,841,928 $62,873,346 -$78,398,133 $22.00 49
2015 Q1 6,053,863 $143,121,965 -$508,824,337 $23.64 61
2014 Q4 27,329,683 $680,115,710 +$522,889,235 $24.88 64
2014 Q3 6,191,949 $140,118,239 -$331,539,019 $22.63 44
2014 Q2 20,309,400 $480,543,925 +$379,584,595 $23.86 54
2014 Q1 4,258,969 $94,711,953 +$14,354,034 $22.24 30
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