First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC) Institutional Ownership

13F Institutional Holders and Ownership History from Q1 2014 to Q4 2025

Type / Class
Equity / First Trust Small Cap Growth AlphaDEX(R) Fund
Symbol
FYC
Shares outstanding
6,144,387
Price per share
$96.12
All holders as of 30 Sep 2025
Q3 2025
Total 13F shares
4,611,713
Total reported value
$418,109,719
% of total 13F portfolios
0%
Share change
+465,184
Value change
+$43,052,361
Number of holders
116
Reported Shares, Excluding Options vs Price
Reported Value, Excluding Options
Total Investors

Significant Owners of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC) based on Schedule 13D/G filings

Filer Ownership Change % Holdings Value Net Change Nb Shares Change % Reporting Name Report Period
FIRST TRUST PORTFOLIOS LP 4.1% $17,337,790 250,691 First Trust Portfolios L.P. 31 Dec 2024

As of 30 Sep 2025, 116 institutional investors reported holding 4,611,713 shares of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC). This represents 75% of the company’s total 6,144,387 outstanding shares.

Top 25 Institutional Shareholders

The largest institutional shareholders of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC) together control 64% 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
LPL Financial LLC 13% 827,600 +23% 0.02% $75,074,407
RAYMOND JAMES FINANCIAL INC 5.3% 324,241 +151% 0.01% $29,412,948
WELLS FARGO & COMPANY/MN 4.6% 282,237 -10% 0.01% $25,602,711
MORGAN STANLEY 4.1% 251,823 -47% 0% $22,843,839
FIRST TRUST ADVISORS LP 4% 245,790 -3.6% 0.02% $22,296,446
Cetera Investment Advisers 3.7% 224,472 +17% 0.02% $20,362,646
BANK OF AMERICA CORP /DE/ 3.2% 195,154 -21% 0% $17,703,005
ECLECTIC ASSOCIATES INC /ADV 2.4% 150,002 +4.4% 2.5% $13,607,193
ENVESTNET ASSET MANAGEMENT INC 2.4% 146,356 +138% 0% $13,276,421
ROYAL BANK OF CANADA 2.3% 143,779 +9.1% 0% $13,043,000
Richmond Investment Services, LLC 2.3% 139,501 +2.4% 2.4% $12,655,740
NEW WAVE WEALTH ADVISORS LLC 1.7% 107,085 +12% 3.5% $9,714,044
Concurrent Investment Advisors, LLC 1.6% 98,638 -0.6% 0.15% $8,947,800
IFP Advisors, Inc 1.5% 89,369 -1.8% 0.21% $8,107,000
Brueske Advisory Services, LLC 1.4% 86,960 -3.2% 4.3% $7,888,482
OSAIC HOLDINGS, INC. 1.2% 73,948 +89% 0.01% $6,452,717
Bedel Financial Consulting, Inc. 1.2% 73,630 +3.5% 0.85% $6,679,228
Kingsview Wealth Management, LLC 1.2% 71,338 -4% 0.1% $6,471,334
MML INVESTORS SERVICES, LLC 1.1% 65,853 +850% 0.02% $5,973,724
Redhawk Wealth Advisors, Inc. 1% 63,573 0.67% $5,766,884
PNC Financial Services Group, Inc. 1% 63,401 +16% 0% $5,751,298
Equitable Holdings, Inc. 0.96% 59,131 +1.9% 0.04% $5,363,974
UBS Group AG 0.92% 56,315 +50% 0% $5,108,503
Integrated Wealth Concepts LLC 0.78% 47,741 0.04% $4,330,721
JANE STREET GROUP, LLC 0.77% 47,518 0.01% $4,310,519

Institutional Holders of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC) across Reporting Periods

Period Reported Shares, Excl. Options Value, Excl. Options Value Change Price (Median) Investors
2025 Q4 156,141 $15,059,054 +$423,420 $96.12 18
2025 Q3 4,611,713 $418,109,719 +$43,052,361 $90.71 116
2025 Q2 4,148,263 $330,129,292 +$9,083,680 $79.58 105
2025 Q1 4,038,619 $277,902,491 -$25,980,721 $68.80 106
2024 Q4 4,399,969 $340,655,064 +$93,374,922 $77.43 109
2024 Q3 2,970,066 $220,879,698 +$35,138,460 $74.37 87
2024 Q2 2,554,413 $168,312,378 +$2,038,828 $65.89 78
2024 Q1 2,523,535 $165,786,413 +$24,849,655 $65.70 74
2023 Q4 2,356,801 $148,291,426 -$22,478,399 $62.92 75
2023 Q3 2,705,193 $152,456,668 +$29,648,083 $56.36 65
2023 Q2 2,131,848 $128,315,475 -$5,712,176 $60.20 63
2023 Q1 2,196,388 $126,089,468 +$6,374,919 $57.85 69
2022 Q4 2,068,314 $114,052,088 -$1,837,509 $55.28 70
2022 Q3 2,108,172 $113,582,337 +$6,897,986 $53.89 71
2022 Q2 1,971,121 $106,688,351 -$16,368,721 $54.16 69
2022 Q1 2,155,886 $147,317,831 -$80,064,660 $68.33 79
2021 Q4 3,299,491 $245,580,387 -$3,121,074 $74.56 90
2021 Q3 3,298,159 $236,281,180 -$46,864,510 $71.59 77
2021 Q2 3,952,615 $289,091,761 -$21,890,845 $73.28 82
2021 Q1 4,257,353 $296,318,611 +$119,836,215 $69.67 89
2020 Q4 2,537,229 $156,452,961 +$29,921,056 $61.69 67
2020 Q3 2,045,193 $96,360,569 +$4,976,382 $47.26 55
2020 Q2 1,933,745 $81,752,263 +$274,621 $42.42 55
2020 Q1 1,935,551 $62,945,309 -$48,526,572 $32.61 56
2019 Q4 3,114,910 $145,376,895 -$18,773,558 $46.67 66
2019 Q3 3,478,202 $152,595,799 -$15,311,320 $43.87 62
2019 Q2 3,789,953 $176,414,009 -$50,713 $46.55 60
2019 Q1 3,856,906 $177,587,817 -$30,013,671 $46.16 64
2018 Q4 4,611,178 $184,989,889 -$59,398,557 $40.12 69
2018 Q3 6,021,044 $314,960,264 +$90,777,816 $52.32 68
2018 Q2 4,273,639 $207,354,305 +$91,725,778 $48.52 59
2018 Q1 2,398,089 $104,176,418 +$2,401,588 $43.38 47
2017 Q4 2,342,235 $99,580,251 +$14,663,393 $42.51 44
2017 Q3 1,973,903 $81,345,150 +$10,833,484 $41.20 38
2017 Q2 1,717,981 $66,086,697 -$2,231,926 $38.47 32
2017 Q1 1,781,218 $64,715,556 +$8,235,459 $36.44 34
2016 Q4 1,524,647 $52,827,326 +$13,139,585 $34.60 31
2016 Q3 1,145,753 $38,648,382 +$2,357,415 $33.80 31
2016 Q2 1,097,105 $34,356,130 +$2,887,361 $31.30 32
2016 Q1 925,232 $27,766,014 -$37,572,911 $30.14 28
2015 Q4 2,167,314 $65,747,050 +$21,122,829 $30.50 29
2015 Q3 1,460,111 $42,759,916 -$8,223,708 $29.15 24
2015 Q2 1,690,766 $53,718,110 +$27,630,306 $31.78 26
2015 Q1 821,521 $25,911,048 -$13,541,451 $31.54 25
2014 Q4 1,249,826 $37,737,798 +$8,475,118 $30.20 22
2014 Q3 969,025 $26,767,101 +$4,450,500 $27.67 16
2014 Q2 806,606 $24,309,908 +$2,676,699 $30.14 15
2014 Q1 718,050 $21,423,740 +$10,467,116 $29.83 14