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First Trust Small Cap Core AlphaDEX Fund (FYX) Institutional Ownership

First Trust Small Cap Core AlphaDEX Fund logo
$135.60 +0.10 (+0.07%)
Closing price 04:00 PM Eastern
Extended Trading
$135.52 -0.08 (-0.06%)
As of 07:50 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 Small Cap Core AlphaDEX Fund (NASDAQ:FYX)

Number of
Institutional Buyers
(last 12 months)
77
Total
Institutional Inflows
(last 12 months)
$126.99M
Number of
Institutional Sellers
(last 12 months)
72
Total
Institutional Outflows
(last 12 months)
$60.61M
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Skip Chart & View Institutional Buying and Selling Data

FYX Institutional Buying and Selling by Quarter

First Trust Small Cap Core AlphaDEX Fund Major Shareholders & Ownership History

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Reporting DateMajor Shareholder NameShares HeldMarket Value% of PortfolioQuarterly Change in SharesOwnership in CompanyDetails
10/9/2026GAMMA Investing LLC2,061$277K0.0%+21.1%0.021%
10/8/2026Farther Finance Advisors LLC958$129K0.0%-29.8%0.010%
10/5/2026Park National Corp OH21,359$2.88M0.1%-5.4%0.215%
10/2/2026 CX Institutional720$97K0.0%-21.0%0.007%
9/23/2026Envestnet Asset Management Inc.101,266$14.61M0.0%+159.5%1.018%
9/9/2026MCF Advisors LLC546$79K0.0%N/A0.006%
9/9/2026RFG Advisory LLC11,459$1.65M0.0%-62.9%0.119%
9/9/2026NewEdge Advisors LLC4,614$666K0.0%-3.7%0.048%
9/9/2026Baird Financial Group Inc.30,593$4.41M0.0%-1.3%0.317%
9/2/2026Citadel Advisors LLC2,331$336K0.0%-92.1%0.024%
8/23/2026Ameritas Advisory Services LLC2,333$337K0.0%N/A0.024%
8/22/2026Three Seasons Wealth LLC12,719$1.84M0.2%-3.0%0.132%
8/22/2026Tudor Financial Inc.4,180$603K0.3%+20.8%0.043%
8/22/2026Concurrent Investment Advisors LLC107,601$15.53M0.1%+25.8%1.115%
8/22/2026Power Wealth Management LLC7,056$1.02M0.4%N/A0.073%
8/21/2026Triumph Capital Management9,001$1.30M0.2%-20.4%0.093%
8/15/2026First Bancorp Inc ME 300$43K0.0%N/A0.003%
7/10/2026City Holding Co.35,861$5.17M0.6%+14.4%0.376%
7/10/2026Fulcrum Equity Management1,711$247K0.2%N/A0.018%
7/7/2026Boston Standard Wealth Management LLC1,611$233K0.0%N/A0.017%
5/19/2026Western Wealth Management LLC29,514$3.52M0.1%+7.5%0.324%
5/19/2026NewEdge Advisors LLC4,358$520K0.0%-10.1%0.048%
5/19/2026Arkadios Wealth Advisors3,499$418K0.0%-2.2%0.038%
5/18/2026Royal Bank of Canada708,400$84.55M0.0%+17.2%7.785%
5/15/2026Gateway Wealth Partners LLC2,316$276K0.0%N/A0.025%
5/13/2026Cetera Investment Advisers128,909$15.39M0.0%-1.7%1.417%
5/6/2026MTM Investment Management LLC36,261$4.33M1.4%+1.7%0.398%
5/6/2026Independent Financial Group LLC2,570$307K0.0%N/A0.028%
5/5/2026D.A. Davidson & CO.48,158$5.75M0.0%+1.6%0.529%
5/5/2026Three Seasons Wealth LLC13,107$1.56M0.6%-6.9%0.144%
5/5/2026Geneos Wealth Management Inc.52,376$6.25M0.1%-1.3%0.576%
5/5/2026Sanctuary Advisors LLC17,923$2.14M0.0%-1.1%0.197%
5/4/2026Milestones Private Investment Advisors LLC17,394$2.08M1.8%+1.9%0.191%
5/4/2026Chicago Partners Investment Group LLC72,627$9.57M0.2%+1.8%0.798%
5/1/2026Fifth Third Bancorp22,002$2.63M0.0%N/A0.242%
4/30/2026Kestra Advisory Services LLC58,405$6.97M0.0%+4.4%0.642%
4/29/2026Hapanowicz & Associates Financial Services Inc42,480$5.07M2.0%-8.1%0.467%
4/28/2026NBT Bank N A NY257$31K0.0%+127.4%0.003%
4/27/2026Private Advisor Group LLC6,938$828K0.0%+18.6%0.076%
4/25/2026KPP Advisory Services LLC4,955$591K0.1%-9.6%0.055%
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4/24/2026Root Financial Partners LLC5,926$707K0.0%-3.2%0.066%
4/22/2026Janney Montgomery Scott LLC253,525$30.26M0.1%+6.1%2.817%
4/21/2026Maridea Wealth Management LLC12,775$1.53M0.2%+60.8%0.142%
4/20/2026Kestra Private Wealth Services LLC2,701$322K0.0%-3.2%0.030%
4/20/2026RFG Advisory LLC30,871$3.69M0.1%N/A0.343%
4/16/2026Park National Corp OH23,108$2.76M0.1%-1.1%0.260%
3/17/2026Rockefeller Capital Management L.P.8,933$1.01M0.0%+50.1%0.106%
2/20/2026Catalyst Investment Management LLC14,623$1.65M1.6%N/A0.173%
2/19/2026Axxcess Wealth Management LLC4,678$529K0.0%N/A0.055%
2/18/2026Troutman Wealth Management LLC32,340$3.66M3.0%N/A0.383%
2/18/2026NewEdge Advisors LLC4,848$548K0.0%+370.2%0.057%
2/18/2026Crusonia Wealth Advisors LLC73,421$8.31M1.8%N/A0.869%
2/18/2026Evolve Private Wealth LLC2,280$258K0.0%N/A0.027%
2/17/2026Cetera Investment Advisers131,196$14.84M0.0%-8.0%1.553%
2/17/2026Equitable Holdings Inc.15,242$1.72M0.0%-6.3%0.180%
2/17/2026Osaic Holdings Inc.42,859$4.86M0.0%-29.4%0.507%
2/17/2026Captrust Financial Advisors5,171$585K0.0%-18.2%0.061%
2/17/2026&PARTNERS14,629$1.66M0.0%-9.0%0.173%
2/17/2026Royal Bank of Canada604,479$68.39M0.0%+13.5%7.154%
2/16/2026Potentia Wealth6,983$790K0.3%-7.7%0.083%
2/16/2026MML Investors Services LLC17,049$1.93M0.0%-5.1%0.202%
2/16/2026Mariner LLC6,253$707K0.0%+70.3%0.074%
2/16/2026Arax Advisory Partners2,105$238K0.0%N/A0.025%
2/13/2026Kestra Advisory Services LLC55,928$6.33M0.0%-1.4%0.662%
2/13/2026Stifel Financial Corp38,188$4.32M0.0%-13.6%0.452%
2/13/2026Morgan Stanley667,395$75.51M0.0%+6.8%7.898%
2/13/2026Integrated Wealth Concepts LLC13,239$1.50M0.0%-7.2%0.157%
2/13/2026QTR Family Wealth LLC2,773$346K0.2%-3.7%0.033%
2/13/2026Wells Fargo & Company MN548,726$62.08M0.0%-2.1%6.494%
2/12/2026Triumph Capital Management13,009$1.47M0.3%+4.8%0.154%
2/12/2026Elevation Point Wealth Partners LLC2,242$254K0.0%N/A0.027%
2/11/2026Janney Montgomery Scott LLC238,963$27.04M0.1%+68.0%2.828%
2/11/2026LPL Financial LLC583,241$65.99M0.0%-0.5%6.902%
2/11/2026O Shaughnessy Asset Management LLC701$79K0.0%-45.6%0.008%
2/11/2026JPMorgan Chase & Co.37,509$4.24M0.0%-13.3%0.444%
2/11/2026Hilton Head Capital Partners LLC5,238$593K0.3%N/A0.062%
2/11/2026Hapanowicz & Associates Financial Services Inc46,231$5.23M2.0%-2.1%0.547%
2/11/2026Vise Technologies Inc.4,954$560K0.0%N/A0.059%
2/10/2026REAP Financial Group LLC709$80K0.0%-23.7%0.008%
2/10/2026Tidemark LLC2,385$270K0.1%-7.9%0.028%
2/10/2026Beto Financial Group LLC1,774$216K0.1%N/A0.021%
2/10/2026Root Financial Partners LLC6,125$693K0.0%-14.1%0.072%
2/10/2026Northwestern Mutual Wealth Management Co.103,303$11.69M0.0%+17.2%1.223%
2/10/2026IFG Advisory LLC20,211$2.29M0.1%-1.1%0.239%
2/9/2026MTM Investment Management LLC35,640$4.03M1.3%+1.9%0.422%
2/6/2026GPS Wealth Strategies Group LLC1,829$207K0.2%-75.1%0.022%
2/6/2026Axxcess Wealth Management LLC4,678$529K0.0%N/A0.055%
2/6/2026Keystone Financial Group14,446$1.63M0.1%-3.0%0.171%
2/6/2026HighTower Advisors LLC36,391$4.12M0.0%-2.4%0.431%
2/6/2026Envestnet Portfolio Solutions Inc.5,107$578K0.0%+4.4%0.060%
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2/5/2026Northwestern Mutual Wealth Management Co.17,230$1.95M0.0%-80.5%0.204%
2/5/2026Western Wealth Management LLC27,443$3.11M0.1%-3.2%0.327%
2/4/2026Summit Wealth Group LLC Co.1,986$225K0.0%N/A0.024%
2/2/2026FWG Holdings LLC23,355$2.81M1.1%N/A0.278%
2/2/2026Truist Financial Corp10,873$1.23M0.0%-8.1%0.129%
2/2/2026Sun Financial Inc11,903$1.35M0.8%N/A0.142%
2/2/2026Oppenheimer & Co. Inc.4,129$467K0.0%-18.4%0.049%
1/29/2026Comerica Bank21,790$2.47M0.0%-5.4%0.259%
1/29/2026D.A. Davidson & CO.47,422$5.37M0.0%+0.7%0.565%
1/29/2026Kestra Private Wealth Services LLC2,791$316K0.0%+5.5%0.033%


FYX Institutional Ownership - Frequently Asked Questions

During the previous two years, 177 institutional investors and hedge funds held shares of First Trust Small Cap Core AlphaDEX Fund. The most heavily invested institutionals were Royal Bank of Canada ($84.55M), Morgan Stanley ($75.51M), LPL Financial LLC ($65.99M), Wells Fargo & Company MN ($62.08M), Bank of America Corp DE ($41.83M), Raymond James Financial Inc. ($31.25M), and Janney Montgomery Scott LLC ($30.26M).Learn more on First Trust Small Cap Core AlphaDEX Fund's institutional investors.

Of the 151 institutional investors that purchased First Trust Small Cap Core 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. ($887.72K), Main Line Retirement Advisors LLC ($209.32K), Royal Bank of Canada ($175.86K), Northwestern Mutual Wealth Management Co. ($168.32K), GAMMA Investing LLC ($125.53K), Janney Montgomery Scott LLC ($119.92K), and Concurrent Investment Advisors LLC ($97.21K).

Institutional investors have bought a total of 1,088,351 shares in the last 24 months. This purchase volume represents approximately $126.99M in transactions.

Of the 72 institutional investors that sold First Trust Small Cap Core AlphaDEX Fund's stock in the last 24 months, the following investors and hedge funds have sold the highest volume of shares: Northwestern Mutual Wealth Management Co. ($151.61K), Raymond James Financial Inc. ($74.89K), UBS Group AG ($39.10K), Citadel Advisors LLC ($37.65K), Lakeridge Wealth Management LLC ($35.25K), Bank of America Corp DE ($25.07K), and RFG Advisory LLC ($19.41K).

Institutional investors have sold a total of 529,541 shares in the last 24 months. This volume of shares sold represents approximately $60.61M in transactions.


Related Companies

Institutional ownership data for NASDAQ:FYX 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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