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

Q4 2025

Institutions Reporting

196

Shares (Excl. Options)

35,394,308

Price

$45.01

Save this security page for your next review

Keep this CUSIP in your watchlists so you can revisit quarter changes from one place.

Create free account to save this page Review latest holder period
Type / Class
Equity / First Trust Utilities AlphaDEX(R) Fund
Symbol
FXU
Shares outstanding
17,345,806
Price per share
$49.59
All holders as of 31 Dec 2025
Q4 2025
Total 13F shares
35,394,308
Total reported value
$1,593,188,339
% of total 13F portfolios
0%
Share change
+2,449,157
Value change
+$110,157,660
Number of holders
196
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.
  • 196 institutions reported positions in Q4 2025.
  • 1 significant owner is listed from Schedule 13D/13G reporting.

What Changed

  • Holder count moved from 196 to 31 between Q4 2025 and Q1 2026.
  • Reported value moved from $1,593,188,339 to $28,657,296.

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 196 institutions filings for Q4 2025.

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 Q4 2025 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 Dec 2025, 196 institutional investors reported holding 35,394,308 shares of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund (FXU). This represents 204% 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 181% 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
FIRST TRUST ADVISORS LP 97% 16,901,242 +5.3% 0.55% $760,724,902
MORGAN STANLEY 18% 3,172,178 +7.2% 0.01% $142,779,782
LPL Financial LLC 9.8% 1,707,256 +8.5% 0.02% $76,843,599
WELLS FARGO & COMPANY/MN 9.6% 1,665,698 -12% 0.01% $74,973,048
RAYMOND JAMES FINANCIAL INC 5.6% 969,162 +3.9% 0.01% $43,621,999
BANK OF AMERICA CORP /DE/ 5% 871,496 +1.1% 0% $39,226,033
UBS Group AG 3.2% 547,161 +23% 0% $24,627,717
Nilsine Partners, LLC 2.9% 499,969 +3.2% 1.9% $22,503,605
NewEdge Advisors, LLC 2.7% 466,244 -12% 0.08% $20,985,581
Advisory Services Network, LLC 2.4% 417,989 -7.6% 0.27% $18,813,682
EARNED WEALTH ADVISORS, LLC 2.2% 373,507 1.2% $16,811,531
WCG Wealth Advisors LLC 2.1% 371,681 +173% 0.47% $16,729,551
SUSQUEHANNA INTERNATIONAL GROUP, LLP 2.1% 365,290 +4367% 0.02% $16,441,703
STIFEL FINANCIAL CORP 1.9% 326,539 +4.4% 0.01% $14,697,489
NewSquare Capital LLC 1.8% 312,244 -33% 1.2% $14,054,102
TRUIST FINANCIAL CORP 1.8% 306,980 -0.88% 0.02% $13,817,174
BENJAMIN EDWARDS INC 1.7% 299,523 -4.9% 0.15% $13,483,444
Cetera Investment Advisers 1.7% 296,097 +65% 0.01% $13,327,333
OSAIC HOLDINGS, INC. 1.5% 264,536 +11% 0.02% $11,907,955
&PARTNERS 1.5% 263,064 0.06% $11,840,500
Csenge Advisory Group 1.4% 243,279 +3.7% 0.5% $10,949,975
ROYAL BANK OF CANADA 1.3% 222,884 +7.2% 0% $10,032,000
ENVESTNET ASSET MANAGEMENT INC 1% 178,767 +13% 0% $8,046,320
PGIM Custom Harvest LLC 0.99% 172,215 -5.5% 0.11% $7,751,395
Summit Financial, LLC 0.92% 160,041 +2.4% 0.11% $7,203,449

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 576,982 $28,657,296 +$5,161,311 $49.59 31
2025 Q4 35,394,308 $1,593,188,339 +$110,157,660 $45.01 196
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