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First Trust Mid Cap Growth AlphaDEX Fund (FNY) Institutional Ownership

First Trust Mid Cap Growth AlphaDEX Fund logo
$97.17 +0.04 (+0.04%)
As of 09:30 AM Eastern
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Institutional Ownership Changes (13F Filings) for First Trust Mid Cap Growth AlphaDEX Fund (NASDAQ:FNY)

Number of
Institutional Buyers
(last 12 months)
61
Total
Institutional Inflows
(last 12 months)
$68.39M
Number of
Institutional Sellers
(last 12 months)
46
Total
Institutional Outflows
(last 12 months)
$45.63M
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FNY Institutional Buying and Selling by Quarter

First Trust Mid 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
10/9/2026Sound Income Strategies LLC2,637$260K0.0%-10.6%0.046%
10/8/2026CoreCap Advisors LLC757$75K0.0%-13.2%0.013%
9/23/2026Envestnet Asset Management Inc.113,923$12.63M0.0%+4.7%2.016%
9/9/2026Integrated Wealth Concepts LLC799$89K0.0%N/A0.014%
9/9/2026NewEdge Advisors LLC182,925$20.28M0.1%-36.6%3.238%
9/9/2026IFP Advisors Inc9,164$1.02M0.0%+4.3%0.162%
9/9/2026Baird Financial Group Inc.7,967$883K0.0%-2.3%0.141%
9/8/2026Allworth Financial LP560$62K0.0%-24.6%0.010%
9/2/2026Citadel Advisors LLC34,999$3.88M0.0%N/A0.619%
8/23/2026PCG Wealth Advisors LLC9,408$1.04M0.2%+3.8%0.167%
7/10/2026Wealthcare Advisory Partners LLC4,473$496K0.0%N/A0.079%
7/7/2026Central Pacific Bank Trust Division400$44K0.0%N/A0.007%
6/8/2026Pine Valley Investments Ltd Liability Co5,766$522K0.0%+7.4%0.112%
6/3/2026NewEdge Advisors LLC288,746$26.13M0.1%+3.3%5.607%
5/19/2026Western Wealth Management LLC420$38K0.0%N/A0.008%
5/19/2026NewEdge Advisors LLC24,217$2.19M0.0%-91.3%0.470%
5/18/2026Royal Bank of Canada50,784$4.60M0.0%+0.8%0.986%
5/16/2026KCM Investment Advisors LLC35,798$3.24M0.1%-5.2%0.695%
5/15/2026Gateway Wealth Partners LLC6,852$620K0.0%+107.0%0.133%
5/13/2026Cetera Investment Advisers177,035$16.02M0.0%+91.0%3.438%
5/5/2026D.A. Davidson & CO.16,889$1.53M0.0%+271.1%0.328%
5/5/2026Geneos Wealth Management Inc.6,630$600K0.0%+26.6%0.129%
5/5/2026Sanctuary Advisors LLC5,562$503K0.0%+3.7%0.108%
5/1/2026Fifth Third Bancorp11,434$1.04M0.0%N/A0.222%
4/30/2026Kestra Advisory Services LLC38,771$3.51M0.0%-27.5%0.753%
4/29/2026Richmond Investment Services LLC2,464$223K0.0%-12.2%0.048%
4/28/2026Ascentis Independent Advisors310$28K0.0%N/A0.006%
4/27/2026PFG Investments LLC2,965$268K0.0%-7.5%0.058%
4/27/2026Private Advisor Group LLC38,635$3.50M0.0%-3.1%0.750%
4/24/2026Barnes Pettey Financial Advisors LLC14,245$1.29M0.6%N/A0.277%
4/22/2026Janney Montgomery Scott LLC47,204$4.27M0.0%-8.0%0.926%
4/22/2026Sylvest Advisors LLC18,793$1.70M0.9%+1.3%0.368%
4/17/2026Wealth Management Partners LLC36,401$3.29M0.9%+1.2%0.714%
4/16/2026Founders Financial Securities LLC6,913$663K0.0%+8.4%0.133%
3/17/2026Rockefeller Capital Management L.P.5,681$518K0.0%+33.0%0.109%
3/5/2026Worthington Financial Partners LLC16,368$1.49M1.3%N/A0.315%
2/25/2026MidFirst Bank573$52K0.0%N/A0.011%
2/18/2026NewEdge Advisors LLC279,644$25.50M0.1%+7.7%5.378%
2/18/2026IHT Wealth Management LLC55,783$5.09M0.1%+1,876.0%1.073%
2/17/2026Cetera Investment Advisers92,688$8.45M0.0%+21.0%1.782%
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2/17/2026Equitable Holdings Inc.22,026$2.01M0.0%+6.0%0.424%
2/17/2026Osaic Holdings Inc.58,375$5.33M0.0%+24.3%1.123%
2/17/2026Private Advisor Group LLC39,853$3.63M0.0%-1.5%0.766%
2/17/2026&PARTNERS155,868$14.22M0.1%+1.8%2.997%
2/17/2026Royal Bank of Canada50,371$4.59M0.0%+48.3%0.969%
2/16/2026MML Investors Services LLC7,600$693K0.0%-10.0%0.146%
2/16/2026Mariner LLC5,774$527K0.0%-2.4%0.111%
2/16/2026KCM Investment Advisors LLC37,766$3.44M0.1%-2.3%0.726%
2/13/2026Kestra Advisory Services LLC53,492$4.88M0.0%+66.0%1.029%
2/13/2026Transamerica Financial Advisors LLC13,958$1.27M0.1%-3.8%0.268%
2/13/2026Stifel Financial Corp15,458$1.41M0.0%-30.7%0.297%
2/13/2026First Trust Advisors LP59,533$5.43M0.0%-1.3%1.145%
2/13/2026Wells Fargo & Company MN584,020$53.26M0.0%+3.9%11.231%
2/13/2026Quadrant Capital Group LLC3,000$274K0.0%N/A0.058%
2/12/2026Commonwealth Equity Services LLC23,318$2.13M0.0%-1.4%0.448%
2/12/2026Steward Partners Investment Advisory LLC30,380$2.77M0.0%+1,494.8%0.584%
2/11/2026Janney Montgomery Scott LLC51,324$4.68M0.0%-0.5%0.987%
2/11/2026LPL Financial LLC726,753$66.28M0.0%+11.7%13.976%
2/10/2026Clear Point Advisors Inc.4,438$405K0.3%-10.1%0.085%
2/10/2026Founders Financial Securities LLC6,379$582K0.0%N/A0.123%
2/10/2026Northwestern Mutual Wealth Management Co.42,282$3.86M0.0%+9.8%0.813%
2/9/2026Kingsview Wealth Management LLC42,871$3.91M0.1%-37.6%0.824%
2/6/2026Empirical Asset Management LLC18,995$1.73M0.3%+64.6%0.365%
2/6/2026Global Retirement Partners LLC22,322$2.04M0.0%-1.0%0.429%
2/5/2026Northwestern Mutual Wealth Management Co.52,503$4.79M0.0%+36.4%1.010%
2/5/2026Cornerstone Wealth Management LLC5,665$517K0.0%-2.5%0.109%
2/5/2026Proactive Wealth Strategies LLC2,947$269K0.1%N/A0.057%
2/5/2026Stonebridge Financial Planning Group LLC7,566$690K0.2%+2.9%0.146%
2/2/2026Truist Financial Corp2,783$254K0.0%-7.9%0.054%
2/2/2026Benjamin Edwards Inc.42,823$3.91M0.0%-31.0%0.824%
2/2/2026Mutual Advisors LLC6,920$631K0.0%+144.4%0.133%
1/30/2026Sigma Planning Corp6,441$587K0.0%+3.7%0.124%
1/29/2026Comerica Bank11,352$1.04M0.0%+5.3%0.220%
1/29/2026Ashton Thomas Private Wealth LLC2,729$249K0.0%+4.2%0.053%
1/29/2026UBS Group AG138,605$12.64M0.0%-3.1%2.691%
1/29/2026Sanctuary Advisors LLC5,361$489K0.0%-3.3%0.104%
1/29/2026TKG Advisors LLC3,044$278K0.1%-6.7%0.059%
1/28/2026Geneos Wealth Management Inc.5,238$478K0.0%+11.8%0.102%
1/28/2026G&S Capital LLC12,303$1.12M0.4%-4.3%0.239%
1/26/2026Pursuit Wealth Management LLC14,856$1.36M1.2%N/A0.288%
1/26/2026CWM LLC1,576$144K0.0%-26.5%0.031%
1/26/2026PFG Investments LLC3,205$292K0.0%N/A0.062%
1/23/2026Transcend Capital Advisors LLC6,890$628K0.0%-10.8%0.134%
1/21/2026Crux Wealth Advisors18,131$1.65M0.6%N/A0.352%
1/21/2026New Wave Wealth Advisors LLC4,488$409K0.1%-11.4%0.087%
1/21/2026Sound Income Strategies LLC2,950$290K0.0%N/A0.057%
1/20/2026Sylvest Advisors LLC18,547$1.69M0.9%+6.5%0.367%
1/20/2026Stratos Wealth Partners LTD.5,918$540K0.0%-34.8%0.117%
1/15/2026Dominguez Wealth Management Solutions Inc.7,782$710K0.4%-1.9%0.154%
1/13/2026CoreCap Advisors LLC915$83K0.0%-15.7%0.018%
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1/12/2026Wealth Management Partners LLC35,966$3.28M0.9%-1.0%0.712%
1/12/2026ARS Wealth Advisors Group LLC7,040$642K0.1%-13.0%0.139%
1/8/2026Wealth Enhancement Advisory Services LLC28,000$2.69M0.0%+2.5%0.554%
1/1/2026JPMorgan Chase & Co.2,276$209K0.0%-44.9%0.046%
12/2/2025IFP Advisors Inc8,916$817K0.0%+20.5%0.180%
11/18/2025Advisory Services Network LLC2,096$192K0.0%N/A0.042%
11/17/2025NewEdge Advisors LLC259,716$23.79M0.1%+31.8%5.247%
11/17/2025Susquehanna International Group LLP36,424$3.34M0.0%N/A0.736%
11/17/2025Northwestern Mutual Wealth Management Co.38,496$3.53M0.0%+4.9%0.778%
11/14/2025Creative Planning6,245$572K0.0%-16.7%0.126%


FNY Institutional Ownership - Frequently Asked Questions

During the previous two years, 120 institutional investors and hedge funds held shares of First Trust Mid Cap Growth AlphaDEX Fund. The most heavily invested institutionals were LPL Financial LLC ($66.28M), Wells Fargo & Company MN ($53.26M), NewEdge Advisors LLC ($20.28M), Cetera Investment Advisers ($16.02M), &PARTNERS ($14.22M), UBS Group AG ($12.64M), and Envestnet Asset Management Inc. ($12.63M).Learn more on First Trust Mid Cap Growth AlphaDEX Fund's institutional investors.

Of the 99 institutional investors that purchased First Trust Mid Cap Growth AlphaDEX Fund's stock in the last 24 months, the following investors and hedge funds have bought the highest volume of shares: Raymond James Financial Inc. ($355.72K), LPL Financial LLC ($187.87K), Cetera Investment Advisers ($121.92K), Envestnet Asset Management Inc. ($113.28K), Benjamin Edwards Inc. ($92.77K), NewEdge Advisors LLC ($91.76K), and IHT Wealth Management LLC ($56.28K).

Institutional investors have bought a total of 740,556 shares in the last 24 months. This purchase volume represents approximately $68.39M in transactions.

Of the 46 institutional investors that sold First Trust Mid Cap Growth AlphaDEX Fund's stock in the last 24 months, the following investors and hedge funds have sold the highest volume of shares: NewEdge Advisors LLC ($361.25K), Kingsview Wealth Management LLC ($27.88K), Benjamin Edwards Inc. ($21.09K), Kestra Advisory Services LLC ($14.72K), UBS Group AG ($11.74K), Stifel Financial Corp ($6.84K), and Janney Montgomery Scott LLC ($4.37K).

Institutional investors have sold a total of 479,492 shares in the last 24 months. This volume of shares sold represents approximately $45.63M in transactions.


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Institutional ownership data for NASDAQ:FNY is compiled from quarterly 13F filings submitted to the U.S. Securities and Exchange Commission (SEC), with the most recent received on 10/9/2026. New 13F filings are added each quarter as they're published.
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