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First Trust Multi Cap Growth AlphaDEX Fund (FAD) Institutional Ownership

First Trust Multi Cap Growth AlphaDEX Fund logo
$181.98 -1.01 (-0.55%)
Closing price 04:00 PM Eastern
Extended Trading
$182.11 +0.13 (+0.07%)
As of 07:30 PM Eastern
Extended trading is trading that happens on electronic markets outside of regular trading hours. This is a fair market value extended hours price provided by Massive. Learn more.
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Institutional Ownership Changes (13F Filings) for First Trust Multi Cap Growth AlphaDEX Fund (NASDAQ:FAD)

Number of
Institutional Buyers
(last 12 months)
61
Total
Institutional Inflows
(last 12 months)
$48.04M
Number of
Institutional Sellers
(last 12 months)
29
Total
Institutional Outflows
(last 12 months)
$9.47M
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FAD Institutional Buying and Selling by Quarter

First Trust Multi Cap Growth AlphaDEX Fund Major Shareholders & Ownership History

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Reporting DateMajor Shareholder NameShares HeldMarket Value% of PortfolioQuarterly Change in SharesOwnership in CompanyDetails
10/8/2026Apeiron RIA LLC4,620$843K0.2%-3.5%0.140%
10/7/2026Investors Research Corp155$28K0.0%N/A0.005%
9/23/2026Envestnet Asset Management Inc.30,485$6.10M0.0%+23.2%0.938%
9/9/2026Integrated Wealth Concepts LLC1,221$244K0.0%N/A0.039%
9/9/2026IFP Advisors Inc5,302$1.06M0.0%-17.1%0.171%
9/9/2026Baird Financial Group Inc.8,524$1.71M0.0%-38.7%0.275%
8/23/2026Ameritas Advisory Services LLC1,600$320K0.0%N/A0.052%
8/20/2026Nwam LLC3,074$615K0.0%+9.7%0.099%
8/20/2026RPg Family Wealth Advisory LLC30,273$6.05M1.0%-0.3%0.977%
7/8/2026TrueWealth Advisors LLC5,805$1.16M0.3%+22.9%0.200%
5/26/2026Serenity Investment Advisors1,090$173K0.1%N/A0.042%
5/19/2026Western Wealth Management LLC516$82K0.0%N/A0.020%
5/19/2026Bank of America Corp DE41,501$6.60M0.0%+37.3%1.596%
5/18/2026Royal Bank of Canada34,241$5.44M0.0%+7.8%1.317%
5/15/2026Gateway Wealth Partners LLC3,436$546K0.0%+57.0%0.132%
5/13/2026Cetera Investment Advisers14,060$2.23M0.0%+25.3%0.541%
5/6/2026Independent Financial Group LLC4,775$759K0.0%N/A0.184%
5/5/2026Geneos Wealth Management Inc.23,388$3.72M0.1%+6.6%0.900%
5/5/2026Ethos Financial Group LLC1,335$212K0.0%N/A0.051%
5/5/2026Nwam LLC2,801$445K0.0%-30.9%0.108%
4/30/2026Kestra Advisory Services LLC31,173$4.95M0.0%+253.5%1.199%
4/27/2026Apeiron RIA LLC4,851$771K0.2%-5.5%0.194%
4/23/2026626 Financial LLC9,464$1.50M0.7%+4.4%0.379%
4/22/2026Janney Montgomery Scott LLC1,934$307K0.0%-80.3%0.077%
4/22/2026Advocate Investing Services LLC434$69K0.1%+223.9%0.017%
4/17/2026Wealth Management Partners LLC24,907$3.96M1.1%-0.5%0.996%
4/17/2026Certified Advisory Corp6,481$1.03M0.1%+5.7%0.259%
4/17/2026Stonebridge Financial Group LLC MO9,402$1.49M1.3%+23.8%0.376%
3/17/2026Rockefeller Capital Management L.P.834$135K0.0%+66.8%0.034%
3/13/2026World Investment Advisors1,798$291K0.0%N/A0.073%
2/23/2026Virtu Financial LLC5,924$959K0.0%N/A0.242%
2/19/2026Plotkin Financial Advisors LLC44,906$7.27M3.5%-1.6%1.833%
2/18/2026NewEdge Advisors LLC484$78K0.0%+1,323.5%0.020%
2/18/2026Garton & Associates Financial Advisors LLC309$50K0.0%N/A0.013%
2/18/2026Zacks Investment Management1,240$201K0.0%N/A0.051%
2/17/2026Cetera Investment Advisers11,223$1.82M0.0%+12.2%0.458%
2/17/2026Osaic Holdings Inc.48,706$7.88M0.0%+0.7%1.988%
2/17/2026Royal Bank of Canada31,756$5.14M0.0%+17.1%1.296%
2/13/2026Kestra Advisory Services LLC8,818$1.43M0.0%-0.7%0.360%
2/13/2026Stifel Financial Corp12,671$2.05M0.0%+15.1%0.517%
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2/13/2026Advyzon Investment Management LLC8,110$1.31M0.2%+437.8%0.331%
2/13/2026Golden State Wealth Management LLC5,053$818K0.1%-2.2%0.206%
2/13/2026Wells Fargo & Company MN136,980$22.17M0.0%+5.1%5.591%
2/13/2026RPg Family Wealth Advisory LLC31,779$5.14M1.1%-2.6%1.297%
2/12/2026Commonwealth Equity Services LLC58,043$9.39M0.0%-1.9%2.369%
2/12/2026Wedbush Securities Inc.26,204$4.24M0.1%N/A1.070%
2/11/2026Janney Montgomery Scott LLC9,839$1.59M0.0%+417.8%0.402%
2/11/2026LPL Financial LLC125,108$20.25M0.0%-1.0%5.106%
2/10/2026WCG Wealth Advisors LLC13,410$2.17M0.1%-3.3%0.547%
2/10/2026Vantus Wealth LLC8,275$1.34M1.0%N/A0.338%
2/10/2026Northwestern Mutual Wealth Management Co.14,615$2.37M0.0%+1,403.6%0.597%
2/6/2026Global Retirement Partners LLC2,341$379K0.0%-5.1%0.096%
2/6/2026IFP Advisors Inc6,268$1.01M0.0%-9.1%0.256%
2/6/2026Cullen Frost Bankers Inc.359$58K0.0%N/A0.015%
2/6/2026Synergy Investment Management LLC26,450$4.28M1.5%+0.7%1.080%
2/5/2026626 Financial LLC9,068$1.47M0.6%-2.2%0.370%
2/5/2026Stonebridge Financial Planning Group LLC10,415$1.69M0.6%+1.6%0.425%
2/4/2026Stonebridge Financial Group LLC MO7,595$1.23M1.1%N/A0.310%
2/4/2026World Investment Advisors1,798$291K0.0%N/A0.073%
2/4/2026Nwam LLC4,054$688K0.0%+5.1%0.165%
2/3/2026Apeiron RIA LLC5,133$860K0.2%-1.6%0.210%
2/3/2026International Assets Investment Management LLC884$143K0.0%N/A0.036%
2/2/2026Truist Financial Corp47,162$7.63M0.0%-7.8%1.925%
2/2/2026Oppenheimer & Co. Inc.2,647$428K0.0%N/A0.108%
1/29/2026UBS Group AG17,744$2.87M0.0%+40.5%0.739%
1/28/2026Geneos Wealth Management Inc.21,942$3.55M0.1%+1.7%0.914%
1/26/2026Keystone Wealth Services LLC53,800$8.71M1.8%N/A2.242%
1/23/2026Fifth Third Securities Inc.10,876$1.76M0.1%+8.8%0.453%
1/21/2026Flagship Harbor Advisors LLC550$89K0.0%N/A0.023%
1/21/2026Sound Income Strategies LLC460$78K0.0%+411.1%0.019%
1/20/2026Thurston Springer Miller Herd & Titak Inc.231$37K0.0%N/A0.010%
1/15/2026Private Advisory Group LLC5,705$923K0.1%+8.4%0.248%
1/14/2026Nova Wealth Management Inc.5,943$962K0.7%+5.0%0.258%
1/12/2026Willner & Heller LLC6,027$976K0.7%+18.5%0.262%
1/12/2026Wealth Management Partners LLC25,026$4.05M1.2%+1.3%1.088%
1/12/2026Certified Advisory Corp6,132$993K0.1%-2.4%0.267%
12/2/2025Allworth Financial LP200$32K0.0%-24.5%0.009%
11/18/2025Stonebridge Financial Planning Group LLC10,254$1.65M0.6%-3.0%0.466%
11/17/2025Susquehanna International Group LLP35,426$5.69M0.0%+16.8%1.610%
11/17/2025Northwestern Mutual Wealth Management Co.972$156K0.0%-29.2%0.044%
11/17/2025Citadel Advisors LLC20,011$3.21M0.0%+675.6%0.910%
11/17/2025Bank of America Corp DE30,358$4.87M0.0%-4.3%1.380%
11/14/2025Creative Planning25,428$4.08M0.0%-8.6%1.156%
11/14/2025Raymond James Financial Inc.117,647$18.89M0.0%-12.6%5.348%
11/14/2025Equitable Holdings Inc.1,321$212K0.0%N/A0.060%
11/14/2025WCG Wealth Advisors LLC13,871$2.23M0.1%+1.5%0.631%
11/13/2025UBS Group AG12,633$2.03M0.0%-10.7%0.574%
11/13/2025Private Advisor Group LLC14,133$2.27M0.0%+1.0%0.642%
11/13/2025Certified Advisory Corp6,281$1.01M0.1%-1.6%0.286%
11/13/2025PFG Advisors1,810$291K0.0%-11.9%0.082%
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11/12/2025IFG Advisory LLC1,310$210K0.0%N/A0.060%
11/12/2025RPg Family Wealth Advisory LLC32,639$5.24M1.1%+0.4%1.484%
11/12/2025US Bancorp DE384$62K0.0%N/A0.017%
11/10/2025Thoroughbred Financial Services LLC1,349$216K0.0%N/A0.061%
11/10/2025Private Advisory Group LLC5,264$845K0.1%N/A0.239%
11/10/2025Advyzon Investment Management LLC1,508$242K0.0%N/A0.069%
11/7/2025Synergy Investment Management LLC26,270$4.22M1.6%N/A1.194%
11/7/2025626 Financial LLC9,268$1.49M0.7%-2.6%0.421%
11/6/2025Ameritas Advisory Services LLC1,230$197K0.0%+69.7%0.056%
11/6/2025Truefg LLC1,474$237K0.1%-17.0%0.067%


FAD Institutional Ownership - Frequently Asked Questions

During the previous two years, 91 institutional investors and hedge funds held shares of First Trust Multi Cap Growth AlphaDEX Fund. The most heavily invested institutionals were Wells Fargo & Company MN ($22.17M), LPL Financial LLC ($20.25M), Raymond James Financial Inc. ($18.89M), Commonwealth Equity Services LLC ($9.39M), Keystone Wealth Services LLC ($8.71M), Osaic Holdings Inc. ($7.88M), and Truist Financial Corp ($7.63M).Learn more on First Trust Multi Cap Growth AlphaDEX Fund's institutional investors.

Of the 83 institutional investors that purchased First Trust Multi Cap Growth AlphaDEX Fund's stock in the last 24 months, the following investors and hedge funds have bought the highest volume of shares: International Assets Investment Management LLC ($295.82K), Raymond James Financial Inc. ($134.55K), Strategic Financial Concepts LLC ($69.50K), Keystone Wealth Services LLC ($53.80K), Plotkin Financial Advisors LLC ($46.45K), LPL Financial LLC ($28.06K), and Synergy Investment Management LLC ($26.81K).

Institutional investors have bought a total of 295,962 shares in the last 24 months. This purchase volume represents approximately $48.04M in transactions.

Of the 29 institutional investors that sold First Trust Multi Cap Growth AlphaDEX Fund's stock in the last 24 months, the following investors and hedge funds have sold the highest volume of shares: Raymond James Financial Inc. ($16.91K), Janney Montgomery Scott LLC ($7.91K), Commonwealth Equity Services LLC ($7.14K), Baird Financial Group Inc. ($5.39K), Truist Financial Corp ($3.96K), Creative Planning ($2.40K), and IFP Advisors Inc ($1.72K).

Institutional investors have sold a total of 57,381 shares in the last 24 months. This volume of shares sold represents approximately $9.47M in transactions.


Related Companies

Institutional ownership data for NASDAQ:FAD is compiled from quarterly 13F filings submitted to the U.S. Securities and Exchange Commission (SEC), with the most recent received on 10/8/2026. New 13F filings are added each quarter as they're published.
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