First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX 펀드
US ˙ NasdaqGM ˙ US33734Y1091

SecurityFYX / First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX Fund
InstitutionAllworth Financial LP
Latest Disclosed Ownership2,357 shares
Latest Disclosed Value $ 281,316
Allworth Financial LP ownership in FYX / First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX Fund

On May 14, 2026 - Allworth Financial LP filed a 13F-HR form disclosing ownership of 2,357 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX Fund (US:FYX) valued at $281,319 USD as of March 31, 2026. The entity filed a previous 13F-HR on February 5, 2026 disclosing 2,357 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX Fund. This represents a change in shares of 0.00% during the quarter. The current value of the position is $320,001 USD.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2026-05-14 2026-03-31 13F FIRST TR EXCHANGE-TRADED ALP COM SHS 33734Y109 2,357 0 0.00 281 5.64 0.0011
2026-02-05 2025-12-31 13F FIRST TR EXCHANGE-TRADED ALP COM SHS 33734Y109 2,357 0 0.00 267 3.91 0.0011
2025-12-02 2025-09-30 13F FIRST TR EXCHANGE-TRADED ALP COM SHS 33734Y109 2,357 0 0.00 257 11.79 0.0011
2025-08-07 2025-06-30 13F FIRST TR EXCHANGE-TRADED ALP COM SHS 33734Y109 2,357 0 0.00 229 11.71 0.0011
2025-04-30 2025-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,357 0 0.00 205 -15.98 0.0012
2025-01-30 2024-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,357 0 0.00 244 4.27 0.0013
2024-10-23 2024-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,357 0 0.00 235 2.63 0.0014
2024-07-24 2024-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,357 0 0.00 228 4.11 0.0015
2024-04-25 2024-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,357 0 0.00 220 1.86 0.0016
2024-01-24 2023-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,357 0 0.00 216 13.16 0.0017
2023-10-31 2023-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,357 -55 -2.28 190 -4.04 0.0016
2023-07-18 2023-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,412 -3,145 -56.60 198 -55.70 0.0017
2023-04-18 2023-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 5,557 -1,836 -24.83 448 -22.93 0.0045
2023-01-13 2022-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 7,393 -1,912 -20.55 580 -14.33 0.0064
2022-11-14 2022-09-30 13F/A-1 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 9,305 -16,764 -64.31 677 -66.12 0.0086
2022-10-18 2022-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 9,305 -16,764 677 0.0086
2022-07-13 2022-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 26,069 -213 -0.81 1,998 -16.99 0.0273
2022-04-22 2022-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 26,282 -640 -2.38 2,407 -7.88 0.0307
2022-01-21 2021-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 26,922 24,891 1,225.55 2,613 1,304.84 0.0370
2021-11-02 2021-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,031 0 0.00 186 -1.59 0.0031
2021-08-02 2021-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,031 0 0.00 189 2.72 0.0035
2021-04-29 2021-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,031 0 0.00 184 17.95 0.0038
2021-01-26 2020-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,031 0 0.00 156 32.20 0.0041
2020-11-03 2020-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,031 0 0.00 118 7.27 0.0036
2020-07-24 2020-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,031 0 0.00 110 30.95 0.0034
2020-04-17 2020-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,031 0 0.00 84 -36.36 0.0028
2020-01-16 2019-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,031 0 0.00 132 8.20 0.0046
2019-10-09 2019-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,031 122 -2.40 0.0047
2019-07-25 2019-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 125 0.00 0.0049
2019-05-07 2019-03-31 13F FIRST TR SML CP CORE ALPHA COM SHS 33734Y109 125 13.64 0.0054
2019-02-11 2018-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 110 -21.43 0.0054
2018-10-29 2018-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 140 0.0063
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.