Latest Period
Q2 2026
Security Snapshot
First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC) Institutional Ownership
CUSIP: 33737M300
13F Institutional Holders and Ownership History from Q1 2014 to Q2 2026
Institutions Reporting
176
Shares (Excl. Options)
7,574,330
Price
$127.34
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- Security type / class
- Equity / First Trust Small Cap Growth AlphaDEX(R) Fund
- Symbol
- FYC
- All holders as of 30 Jun 2026
- Q2 2026
- Total 13F shares
- 7,574,330
- Total 13F value
- $963,949,789
- Portfolio coverage rank
- 0%
- Share change
- +989,955
- Value change
- +$129,257,450
- Number of holders
- 176
- Shares outstanding
- 6,144,387
- SEC-reported price per share
- $120.52
Latest holder snapshot
5 signals
Issuer context
Names, identifiers, and filing context for this profile.
2 identity fields
13F Shares, Excluding Options vs Price
13F Value, Excluding Options
Total Investors
Key facts
- FYC - First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund is tracked under CUSIP 33737M300.
- 176 institutions reported positions in Q2 2026.
- 1 significant owner is listed from Schedule 13D/13G reporting.
Change
- Holder count moved from 155 to 176 between Q1 2026 and Q2 2026.
- SEC-reported value moved from $638,434,322 to $963,949,789.
Research use
- 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.
Evidence
Source: SEC Form 13F
Open SEC evidence
Latest holder context comes from 176 institutions filings for Q2 2026.
Security key
33737M300
Latest holder period
Q2 2026
13F holders
176
13D/G owners
1
CIK / CUSIP context first
Broader feeds
Recent Quarterly Holder Reports
Open recent reporting periods for CUSIP 33737M300:
13D/G owners
Significant owners
Large-stake holder rows connected to Schedule 13D/G evidence.
Rows
1
Security
FYC
| 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 Jun 2026, 176 institutional investors reported holding 7,574,330 shares of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC). This represents 123% of the company’s total 6,144,387 outstanding shares.
13F concentration
Top 25 institutional shareholders
Largest 13F positions for this security by reported shares and value.
Top holder share
99%
| Institution | Ownership % | Shares Held | Share Change % | Portfolio % | Holdings Value |
|---|---|---|---|---|---|
| LPL Financial LLC | 24% | 1,503,733 | +11% | 0.04% | $191,485,400 |
| RAYMOND JAMES FINANCIAL INC | 11% | 649,982 | +19% | 0.02% | $82,768,670 |
| MORGAN STANLEY | 9.9% | 606,270 | +54% | 0% | $77,202,569 |
| WELLS FARGO & COMPANY/MN | 7.7% | 472,349 | +6.5% | 0.01% | $60,148,814 |
| Cetera Investment Advisers | 5.1% | 313,216 | +8.1% | 0.04% | $39,884,986 |
| BANK OF AMERICA CORP /DE/ | 4% | 248,567 | +1.8% | 0% | $31,652,522 |
| STIFEL FINANCIAL CORP | 3.2% | 196,711 | +0.05% | 0.02% | $25,049,173 |
| ENVESTNET ASSET MANAGEMENT INC | 3.1% | 193,051 | +4.1% | 0.01% | $24,583,069 |
| ROYAL BANK OF CANADA | 2.9% | 175,628 | +2.6% | 0% | $22,364,000 |
| ECLECTIC ASSOCIATES INC /ADV | 2.6% | 158,288 | -0.6% | 2.3% | $20,155,896 |
| OSAIC HOLDINGS, INC. | 2.5% | 156,279 | +52% | 0.02% | $19,902,394 |
| UBS Group AG | 2.5% | 154,862 | -11% | 0% | $19,720,127 |
| Baird Financial Group, Inc. | 2% | 124,071 | +70% | 0.02% | $15,799,201 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | 1.8% | 112,865 | +85% | 0.01% | $14,372,236 |
| NEW WAVE WEALTH ADVISORS LLC | 1.7% | 102,390 | +0.91% | 3.6% | $13,038,343 |
| MML INVESTORS SERVICES, LLC | 1.6% | 100,218 | +14% | 0.03% | $12,761,751 |
| PNC Financial Services Group, Inc. | 1.6% | 99,874 | +8% | 0.01% | $12,717,959 |
| Integrity Advisory Solutions, LLC | 1.6% | 99,486 | +1.8% | 1.3% | $12,668,561 |
| Concurrent Investment Advisors, LLC | 1.6% | 99,023 | -1.4% | 0.11% | $12,609,618 |
| Cambridge Investment Research Advisors, Inc. | 1.6% | 95,479 | +4.6% | 0.03% | $12,158,000 |
| IFP Advisors, Inc | 1.5% | 90,820 | +4.6% | 0.21% | $11,565,019 |
| Bedel Financial Consulting, Inc. | 1.3% | 78,032 | +1.1% | 0.95% | $9,936,595 |
| Richmond Investment Services, LLC | 1.3% | 77,150 | -47% | 3.1% | $9,824,258 |
| ELEVATION POINT WEALTH PARTNERS, LLC | 1.2% | 75,497 | 0.18% | $9,613,788 | |
| Vestmark Advisory Solutions, Inc. | 1.2% | 75,240 | 0.09% | $9,581,062 |
Quarter history
Institutional holders across reporting periods
Holder count, reported shares/value, and median price by quarter.
Periods
50
Latest
Q2 2026
Rows shown
1-25 of 50
| Period | 13F Shares, Excl. Options | Value, Excl. Options | Value Change | Price (Median) | Investors |
|---|---|---|---|---|---|
| 2026 Q2 | 7,574,330 | $963,949,789 | +$129,257,450 | $127.34 | 176 |
| 2026 Q1 | 6,583,530 | $638,434,322 | +$105,914,070 | $96.98 | 155 |
| 2025 Q4 | 5,526,073 | $531,264,475 | +$77,661,276 | $96.12 | 137 |
| 2025 Q3 | 4,611,712 | $418,109,594 | +$43,052,271 | $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 |