Latest Period
Q1 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 Q1 2026
Institutions Reporting
152
Shares (Excl. Options)
6,532,201
Price
$96.98
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- Security type / class
- Equity / First Trust Small Cap Growth AlphaDEX(R) Fund
- Symbol
- FYC
- All holders as of 31 Mar 2026
- Q1 2026
- Total 13F shares
- 6,532,201
- Total 13F value
- $633,456,471
- Portfolio coverage rank
- 0%
- Share change
- +1,088,812
- Value change
- +$105,757,448
- Number of holders
- 152
- Shares outstanding
- 6,144,387
- SEC-reported price per share
- $113.34
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.
- 152 institutions reported positions in Q1 2026.
- 1 significant owner is listed from Schedule 13D/13G reporting.
Change
- Holder count moved from 136 to 152 between Q4 2025 and Q1 2026.
- SEC-reported value moved from $526,793,902 to $633,456,471.
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 152 institutions filings for Q1 2026.
Security key
33737M300
Latest holder period
Q1 2026
13F holders
152
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 31 Mar 2026, 152 institutional investors reported holding 6,532,201 shares of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC). This represents 106% 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
88%
| Institution | Ownership % | Shares Held | Share Change % | Portfolio % | Holdings Value |
|---|---|---|---|---|---|
| LPL Financial LLC | 22% | 1,360,284 | +15% | 0.04% | $131,920,295 |
| RAYMOND JAMES FINANCIAL INC | 8.9% | 544,962 | +24% | 0.02% | $52,850,428 |
| WELLS FARGO & COMPANY/MN | 7.2% | 443,572 | +22% | 0.01% | $43,017,604 |
| MORGAN STANLEY | 6.4% | 394,547 | +35% | 0% | $38,263,227 |
| Cetera Investment Advisers | 4.7% | 289,684 | +14% | 0.03% | $28,093,543 |
| BANK OF AMERICA CORP /DE/ | 4% | 244,266 | +21% | 0% | $23,688,917 |
| STIFEL FINANCIAL CORP | 3.2% | 196,613 | +858% | 0.02% | $19,067,568 |
| ENVESTNET ASSET MANAGEMENT INC | 3% | 185,425 | +17% | 0% | $17,982,512 |
| UBS Group AG | 2.8% | 174,614 | +107% | 0% | $16,934,066 |
| ROYAL BANK OF CANADA | 2.8% | 171,140 | +4.4% | 0% | $16,597,000 |
| ECLECTIC ASSOCIATES INC /ADV | 2.6% | 159,243 | +3.5% | 2.1% | $15,442,029 |
| Richmond Investment Services, LLC | 2.4% | 146,944 | +2.7% | 2.3% | $14,251,826 |
| OSAIC HOLDINGS, INC. | 1.7% | 102,487 | +10% | 0.01% | $9,939,203 |
| NEW WAVE WEALTH ADVISORS LLC | 1.7% | 101,463 | -6.4% | 3.4% | $9,839,882 |
| Concurrent Investment Advisors, LLC | 1.6% | 100,379 | +1.1% | 0.11% | $9,734,767 |
| Integrity Advisory Solutions, LLC | 1.6% | 97,707 | 1.3% | $9,475,625 | |
| PNC FINANCIAL SERVICES GROUP, INC. | 1.5% | 92,515 | +21% | 0.01% | $8,972,124 |
| Cambridge Investment Research Advisors, Inc. | 1.5% | 91,307 | +12% | 0.02% | $8,855,000 |
| MML INVESTORS SERVICES, LLC | 1.4% | 87,736 | +32% | 0.02% | $8,508,606 |
| IFP Advisors, Inc | 1.4% | 86,846 | -2.2% | 0.17% | $8,422,325 |
| Bedel Financial Consulting, Inc. | 1.3% | 77,173 | +3.7% | 0.86% | $7,484,238 |
| Baird Financial Group, Inc. | 1.2% | 72,917 | +301% | 0.01% | $7,071,491 |
| TWO SIGMA INVESTMENTS, LP | 1.1% | 67,700 | 0.01% | $6,565,546 | |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | 0.99% | 60,864 | +40% | 0% | $5,902,606 |
| Equitable Holdings, Inc. | 0.94% | 57,512 | +2.9% | 0.04% | $5,527,973 |
Quarter history
Institutional holders across reporting periods
Holder count, reported shares/value, and median price by quarter.
Periods
49
Latest
Q1 2026
Rows shown
1-25 of 49
| Period | 13F Shares, Excl. Options | Value, Excl. Options | Value Change | Price (Median) | Investors |
|---|---|---|---|---|---|
| 2026 Q1 | 6,532,201 | $633,456,471 | +$105,757,448 | $96.98 | 152 |
| 2025 Q4 | 5,479,562 | $526,793,902 | +$77,661,276 | $96.12 | 136 |
| 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 |
| 2020 Q1 | 1,935,551 | $62,945,309 | -$48,526,572 | $32.61 | 56 |