First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund
US ˙ NasdaqGM ˙ US33737M3007

SecurityFYC / First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund
InstitutionIFP Advisors, Inc
Latest Disclosed Ownership86,846 shares
Latest Disclosed Value $ 8,422,325
IFP Advisors, Inc reports 2.22% decrease in ownership of FYC / First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund

On April 13, 2026 - IFP Advisors, Inc filed a 13F-HR form disclosing ownership of 86,846 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund (US:FYC) valued at $8,422,325 USD as of March 31, 2026. The entity filed a previous 13F-HR on February 6, 2026 disclosing 88,816 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund. This represents a change in shares of -2.22% during the quarter. The current value of the position is $9,827,980 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)
2026-04-13 2026-03-31 13F FIRST TR EXCHANGE-TRADED ALP mc 33737M300 86,846 -1,970 -2.22 8,422 -1.34 0.1746
2026-02-06 2025-12-31 13F FIRST TR EXCHANGE-TRADED ALP mc 33737M300 88,816 -552 -0.62 8,537 5.30 0.1916
2026-02-06 2025-09-30 13F/A-1 FIRST TR EXCHANGE-TRADED ALPSML CP GRW ALP mc 33737M300 89,368 -1,630 -1.79 8,107 11.95 0.2105
2025-12-02 2025-09-30 13F FIRST TR EXCHANGE-TRADED ALPSML CP GRW ALP mc 33737M300 89,369 -1,629 8,107 0.2091
2025-07-24 2025-06-30 13F FIRST TR mc 33737M300 90,998 3,762 4.31 7,242 20.66 0.2059
2025-05-05 2025-03-31 13F FIRST TR EXCHANGE-TRADED ALP mc 33737M300 87,236 -3,673 -4.04 6,002 -14.75 0.1851
2025-02-04 2024-12-31 13F FIRST TR EXCHANGE-TRADED ALP mc 33737M300 90,909 -2,127 -2.29 7,039 1.73 0.2305
2025-02-04 2024-09-30 13F FIRST TR EXCHANGE-TRADED ALP mc 33737M300 93,036 -17,164 -15.58 6,919 -4.71 0.2494
2024-07-30 2024-06-30 13F FIRST TR EXCHANGE-TRADED ALP mc 33737M300 110,200 -4,832 -4.20 7,261 -3.92 0.2882
2024-07-30 2024-03-31 13F FIRST TR EXCHANGE-TRADED ALP mc 33737M300 115,032 -4,655 -3.89 7,557 0.36 0.3314
2024-01-09 2023-12-31 13F FIRST TR EXCHANGE-TRADED ALP mc 33737M300 119,687 10,531 9.65 7,531 22.40 0.3555
2023-10-12 2023-09-30 13F FIRST TR EXCHANGE-TRADED ALP mc 33737M300 109,156 6,575 6.41 6,152 -0.37 0.2766
2023-08-14 2023-06-30 13F/A-1 FIRST TR EXCHANGE-TRADED ALP mc 33737M300 102,581 5,481 5.64 6,176 32.57 0.2583
2023-08-04 2023-06-30 13F FIRST TR EXCHANGE-TRADED ALP mc 33737M300 102,581 5,481 4,922 0.2277
2023-04-18 2023-03-31 13F FIRST TR EXCHANGE-TRADED ALP mc 33737M300 97,100 27,494 39.50 4,659 155,166.67 0.2027
2023-02-07 2022-12-31 13F FIRST TR EXCHANGE-TRADED ALP mc 33737M300 69,606 13,466 23.99 3 -99.89 0.0928
2022-11-08 2022-09-30 13F FIRST TR EXCHANGE-TRADED ALP mc 33737M300 56,140 9,509 20.39 2,857 19.24 0.0745
2022-09-06 2022-06-30 13F/A-1 FIRST TR EXCHANGE-TRADED ALP mc 33737M300 46,631 0 0.00 2,396 0.00 0.0768
2022-08-12 2022-06-30 13F FIRST TR EXCHANGETRADED ALP SML CP GRW ALP CEF 33737M300 141 -46,490 8 0.0143
2022-09-06 2022-03-31 13F/A-1 FIRST TR EXCHANGE-TRADED ALP mc 33737M300 46,631 21,000 81.93 2,396 19.44 0.0768
2022-08-08 2022-03-31 13F FIRST TR EXCHANGETRADED ALP SML CP GRW ALP CEF 33737M300 34,947 9,316 1,873 0.0382
2022-01-12 2021-12-31 13F FIRST TR EXCHANGETRADED ALP SML CP GRW ALP CEF 33737M300 25,631 23,431 1,065.05 2,006 1,161.64 0.0392
2021-10-06 2021-09-30 13F FIRST TR EXCHANGETRADED ALP SML CP GRW ALP CEF 33737M300 2,200 -3 -0.14 159 -1.85 0.0032
2021-07-13 2021-06-30 13F FIRST TR EXCHANGETRADED ALP SML CP GRW ALP CEF 33737M300 2,203 -1,279 -36.73 162 -33.33 0.0034
2021-04-30 2021-03-31 13F FIRST TR EXCHANGETRADED ALP SML CP GRW ALP CEF 33737M300 3,482 427 13.98 243 29.26 0.0047
2021-01-25 2020-12-31 13F FIRST TR EXCHANGETRADED ALP SML CP GRW ALP CEF 33737M300 3,055 0 0.00 188 31.47 0.0076
2020-10-29 2020-09-30 13F FIRST TR EXCH TRD ALPHDX FD SML CP GRW ALP CEF 33737M300 3,055 72 2.41 143 16.26 0.0085
2020-08-05 2020-06-30 13F FIRST TR EXCHANGETRADED ALP SML CP GRW ALP CEF 33737M300 2,983 -202 -6.34 123 14.95 0.0097
2020-05-12 2020-03-31 13F FIRST TR EXCHANGETRADED ALP SML CP GRW ALP CEF 33737M300 3,185 -510 -13.80 107 -37.79 0.0108
2020-01-17 2019-12-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP CEF 33737M300 3,695 -23,854 -86.59 172 -85.70 0.0129
2019-11-07 2019-09-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP CEF 33737M300 27,549 26,213 1,962.05 1,203 1,840.32 0.0806
2019-05-15 2019-03-31 13F FIRST TRUST SMALL CAPGROWTH ALPHADEX ETF ETF 33737M300 1,336 -16,699 -92.59 62 -91.35 0.0085
2019-06-03 2018-12-31 13F/A-10 FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 18,035 -3,191 -15.03 717 -35.46 0.0437
2019-01-23 2018-12-31 13F FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 18,035 -3,191 717 0.0437
2019-06-03 2018-09-30 13F/A-9 FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 21,226 3,394 19.03 1,111 28.44 0.0453
2018-10-25 2018-09-30 13F FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 21,226 3,394 1,111 0.0453
2019-06-03 2018-06-30 13F/A-8 FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 17,832 10,304 136.88 865 170.31 0.0364
2018-08-07 2018-06-30 13F FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 17,832 7,651 865
2019-06-03 2018-03-31 13F/A-7 FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 7,528 0 0.00 320 0.00 0.0145
2018-05-09 2018-03-31 13F FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 10,181 2,653 442
2019-06-03 2017-12-31 13F/A-6 FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 7,528 -199 -2.58 320 0.63 0.0145
2018-01-24 2017-12-31 13F FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 7,528 -199 320
2017-10-30 2017-09-30 13F FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 7,727 0 0.00 318 7.07 0.0126
2019-06-03 2017-06-30 13F/A-5 FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 7,727 -51,636 -86.98 297 -86.27 0.0126
2017-07-31 2017-06-30 13F FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 7,727 -51,636 297
2019-06-03 2017-03-31 13F/A-4 FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 59,363 51,586 663.31 2,163 704.09 0.0942
2017-04-26 2017-03-31 13F FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 59,363 51,586 2,163
2019-06-03 2016-12-31 13F/A-3 FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 7,777 1,395 21.86 269 24.54 0.0130
2017-02-14 2016-12-31 13F FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 7,777 1,395 269
2016-11-04 2016-09-30 13F FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 6,382 -1,711 -21.14 216 -14.62 0.0112
2019-06-03 2016-06-30 13F/A-2 FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 8,093 6,757 505.76 253 308.06 0.0141
2016-08-22 2016-06-30 13F FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 8,093 6,757 253
2019-06-03 2016-03-31 13F/A-1 FIRST TRUST SMALL CAPGROWTH ALPHADEX ETF ETF 33737M300 1,336 -7,415 -84.73 62 -76.78 0.0085
2016-05-02 2016-03-31 13F FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 6,935 -1,816 209
2016-02-11 2015-12-31 13F FIRST TRUST SMALL CAP GROWTH ALPHADEX FUND ETF 33737M300 8,751 8,751 267 0.0179
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.