First Trust Mid Cap Growth AlphaDEX

FNY • NASDAQ

First Trust Mid Cap Growth AlphaDEX is an exchange-traded fund on NASDAQ. As of Q3 2025, 104 institutional investors hold shares in this ETF, with total holdings valued at $331.9M. LPL Financial LLC is the largest holder with a position valued at $59.6M.

Overview

Overview of institutional ownership in FNY as of Q3 2025

All Institutions

Institutions: 104
Value Held: $331.9M
Shares Held: 3.6M
Avg Position: $3.2M
Median Position: $620.0K

Hedge Funds

Hedge Funds: 0
Value Held: -
Shares Held: -
Avg Position: -
Median Position: -

Biggest Investors

Institutions with the largest positions in FNY as of Q3 2025

Institution	Key People	Position Value	Ownership	Owned Since	Total AUM (Long)
L LPL Financial LLC Institution	-	$59.6M 0.02% of portfolio	650.4K shares	≤ Q2 2013 Held for 12y 5m+	$340.07B
WELLS FARGO & COMPANY/MN Institution	Charles W. Scharf CEO	$51.5M 0.01% of portfolio	562.0K shares	≤ Q2 2013 Held for 12y 5m+	$488.50B
MORGAN STANLEY RIA/Wealth	Jed Finn CEO	$36.6M 0.00% of portfolio	399.9K shares	≤ Q2 2013 Held for 12y 5m+	$1.65T
Goss Wealth Management LLC RIA/Wealth	Alexander Thomas Goss CEO	$23.8M 0.11% of portfolio	259.7K shares	Q4 2022 Held for 2y 11m	$21.8B
W WILEY BROS.-AINTREE CAPITAL, LLC Institution	-	$14.0M 0.09% of portfolio	153.1K shares	Q3 2024 Held for 1y 2m	$15.5B
UBS Group AG Institution	Sergio P. Ermotti CEO	$13.1M 0.00% of portfolio	143.0K shares	Q4 2014 Held for 10y 11m	$511.54B
ENVESTNET ASSET MANAGEMENT INC Long Only Manager	Christopher Russell Todd CEO	$10.5M 0.00% of portfolio	114.5K shares	Q4 2018 Held for 6y 11m	$341.99B
RAYMOND JAMES FINANCIAL INC RIA/Wealth	Steven Robert Marcus CEO	$8.9M 0.00% of portfolio	97.3K shares	Q4 2024 Held for 11 months	$310.43B
Cetera Investment Advisers RIA/Wealth	Joseph Daniel Neary CEO	$7.0M 0.01% of portfolio	76.6K shares	Q4 2018 Held for 6y 11m	$85.4B
Kingsview Wealth Management, LLC RIA/Wealth	Sean Patrick Mcgillivray CEO	$6.3M 0.10% of portfolio	68.8K shares	Q4 2019 Held for 5y 11m	$6.5B

Net Capital Flow

Institutional buying and selling activity for FNY in Q3 2025

Traded: +$24.0M
Buyers: 40
Sellers: 44
Total Bought: +$31.9M
Total Sold: −$8.0M
Avg Position: $3.0M

Biggest Buyers

Institution	Net Bought	Current Position
WELLS FARGO & COMPANY/MN Institution	+$9.4M +102.4K shares	$51.5M 562.0K shares
Goss Wealth Management LLC RIA/Wealth	+$5.7M +62.7K shares	$23.8M 259.7K shares
SUSQUEHANNA INTERNATIONAL GROUP, LLP Private Equity	+$3.3M +36.4K shares	$3.3M 36.4K shares
Synergy Financial Management, LLC RIA/Wealth	+$3.3M +36.0K shares	$3.3M 36.0K shares
Cetera Investment Advisers RIA/Wealth	+$1.3M +14.1K shares	$7.0M 76.6K shares
Cambridge Investment Research Advisors, Inc. RIA/Wealth	+$1.2M +13.6K shares	$3.0M 32.6K shares
G&S Capital LLC RIA/Wealth	+$1.2M +12.9K shares	$1.2M 12.9K shares
Empirical Asset Management, LLC RIA/Wealth	+$1.1M +11.5K shares	$1.1M 11.5K shares
R ROYAL BANK OF CANADA Institution	+$760.7K +8.3K shares	$3.1M 34.0K shares
MORGAN STANLEY RIA/Wealth	+$593.2K +6.5K shares	$36.6M 399.9K shares

Biggest Sellers

Institution	Net Sold	Current Position
L LPL Financial LLC Institution	−$1.7M −18.4K shares	$59.6M 650.4K shares
JT Stratford LLC RIA/Wealth	−$1.4M −16.5K shares	Sold Off 0 shares
COMMONWEALTH EQUITY SERVICES, LLC. RIA/Wealth	−$936.6K −10.2K shares	$2.2M 23.7K shares
UBS Group AG Institution	−$668.5K −7.3K shares	$13.1M 143.0K shares
Beacon Pointe Advisors, LLC RIA/Wealth	−$453.4K −5.5K shares	Sold Off 0 shares
O OLD MISSION CAPITAL LLC Institution	−$290.7K −3.5K shares	Sold Off 0 shares
Sigma Planning Corp RIA/Wealth	−$280.9K −3.1K shares	$569.2K 6.2K shares
Financial Advocates Investment Management RIA/Wealth	−$276.5K −3.4K shares	Sold Off 0 shares
ENVESTNET ASSET MANAGEMENT INC Long Only Manager	−$261.7K −2.9K shares	$10.5M 114.5K shares
Integrated Advisors Network LLC RIA/Wealth	−$223.2K −2.7K shares	Sold Off 0 shares

Entry and Exit Activity

Institutions that initiated new positions or completely exited FNY in Q3 2025

New Positions: 3
New Value: $1.6M
Exited Positions: 5
Exited Value: $2.6M

New Positions

Institution	Position Value
Empirical Asset Management, LLC RIA/Wealth	$1.1M 11.5K shares
J J.W. COLE ADVISORS, INC. Institution	$272.1K 3.0K shares
Brookwood Investment Group LLC RIA/Wealth	$225.7K 2.5K shares

Exited Positions

Institution	Previous Position
JT Stratford LLC RIA/Wealth	$1.4M 16.5K shares
Beacon Pointe Advisors, LLC RIA/Wealth	$453.4K 5.5K shares
O OLD MISSION CAPITAL LLC Institution	$290.7K 3.5K shares
Financial Advocates Investment Management RIA/Wealth	$276.5K 3.4K shares
Integrated Advisors Network LLC RIA/Wealth	$223.2K 2.7K shares

Options Activity

Institutions with the largest Call and Put options positions in FNY as of Q3 2025

Call Positions: 0
Call Value: -
Put Positions: 0
Put Value: -

Call Positions

Institution	Position Value
No call positions found

Put Positions

Institution	Position Value
No put positions found

Most Committed Institutions

Institutions with FNY as the highest % of their portfolio as of Q3 2025

Institution	Key People	Portfolio Weight	Ownership	Owned Since	Total AUM (Long)
Wealth Management Partners, LLC RIA/Wealth	Morgan Troy Brown Founder	1.06% $3.3M	36.3K shares	Q3 2023 Held for 2y 2m	$314.3M
S Sylvest Advisors, LLC Institution	-	0.86% $1.6M	17.4K shares	Q4 2024 Held for 11 months	$186.2M
B Brueske Advisory Services, LLC Institution	-	0.71% $1.1M	12.3K shares	Q4 2024 Held for 11 months	$159.4M
M MTM Investment Management, LLC RIA/Wealth	David Cordell Taylor CEO	0.52% $1.6M	17.8K shares	Q4 2020 Held for 4y 11m	$314.7M
D Dominguez Wealth Management Solutions, Inc. RIA/Wealth	Jeffrey Paul Dominguez President	0.46% $726.5K	7.9K shares	Q4 2022 Held for 2y 11m	$158.0M
G&S Capital LLC RIA/Wealth	Justin Lloyd Soucie CEO	0.44% $1.2M	12.9K shares	Q3 2025 Held for 2 months	$267.8M
Clear Point Advisors Inc. RIA/Wealth	Steven Charles Brill President	0.36% $452.2K	4.9K shares	Q4 2023 Held for 1y 11m	$126.8M
Empirical Asset Management, LLC RIA/Wealth	Glenn Andrew Caldicott CIO	0.30% $1.1M	11.5K shares	Q3 2025 Held for 2 months	$352.0M
PCG Wealth Advisors, LLC RIA/Wealth	Craig Joseph Kurth CEO	0.26% $871.7K	9.5K shares	Q1 2024 Held for 1y 8m	$340.0M
Stonebridge Financial Planning Group, LLC RIA/Wealth	Dianne Marie Webb President	0.25% $673.6K	7.4K shares	Q4 2019 Held for 5y 11m	$266.3M