Public ownership evidence

First Trust Small Cap Growth AlphaDEX Fund (FYC) Ownership Disclosures

Read FYC insider transactions, institutional 13F filings and Congressional disclosures with report dates, public availability and original receipts.

As of 2026-10-10T12:08:28.848Z

Separate the three disclosure sources

Step 1 of 3

Recent institutional filing receipts

First Trust Small Cap Growth AlphaDEX Fund: source evidence dated 2026-10-10T12:08:28.848Z.

Manager
CARLSON FINANCIAL, INC.
Report period
2026-06-30
Available
2026-08-25
Reported shares
2,737
Value (USD)
$349,027
Option
None
What you should see

The displayed owner or issuer and source fields identify the receipt to verify; keep reporting and availability dates separate.

Step 2 of 3

Is this an insider transaction, 13F holding, or Congressional event?

Each source has different dates and units. Raw ticker-matched receipts, including amendments, are not deduplicated current ownership totals.

13F 0002085853-26-001066
What you should see

Follow the source receipt or manager/member profile. Avoid combining transaction value and 13F position value into an ownership percentage.

Step 3 of 3

Read FYC fundamentals

Follow the source receipt or manager/member profile. Avoid combining transaction value and 13F position value into an ownership percentage.

Read FYC fundamentals
What you should see

Keep reporting dates and units beside the answer, and inspect its original citations.

Recent Form 4 activity

No matching purchases, sales or awards were returned in this 90-day public filing window.

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No records are available for this view.

90-day public availability window, up to 50 records.

Recent institutional filing receipts

See the complete recent institutional filing receipts

These are raw ticker-matched positions in recent 13F receipts, including amendments. They are not deduplicated current ownership totals. Open the manager profile to inspect its effective filing book.

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CARLSON FINANCIAL, INC.2026-06-302026-08-252,737$349,027None
CARLSON FINANCIAL, INC.2026-03-312026-08-252,877$278,981None
CARLSON FINANCIAL, INC.2025-12-312026-08-252,803$269,397None
Kingsview Wealth Management, LLC2026-06-302026-08-2046,302$5,896,111None
Archer Investment Corp2026-06-302026-08-20724$92,194None
Transamerica Financial Advisors, LLC2026-06-302026-08-1868$8,663None
Equitable Holdings, Inc.2026-06-302026-08-1854,971$7,000,016None
Ameritas Advisory Services, LLC2026-06-302026-08-151,783$227,084None
NFSG Corp2026-06-302026-08-1520$2,547None
Plotkin Financial Advisors, LLC2026-06-302026-08-152,551$324,844None
Western Wealth Management, LLC2026-06-302026-08-159,864$1,256,019None
OSAIC HOLDINGS, INC.2026-06-302026-08-157,863$1,001,306None
OSAIC HOLDINGS, INC.2026-06-302026-08-155$637None
OSAIC HOLDINGS, INC.2026-06-302026-08-15148,411$18,900,451None
Betterment LLC2026-06-302026-08-1514,109$1,797,000None
JANE STREET GROUP, LLC2026-06-302026-08-153,660$466,064None
SUSQUEHANNA INTERNATIONAL GROUP, LLP2026-06-302026-08-152,205$280,785None
SUSQUEHANNA INTERNATIONAL GROUP, LLP2026-06-302026-08-1543,159$5,495,867None
MARSHALL INVESTMENT MANAGEMENT, LLC2026-06-302026-08-1525$3,120None
Index Technologies Group LLC2026-06-302026-08-159,791$1,246,786None
Quantum Portfolio Management LLC2026-06-302026-08-1516,142$2,055,522None
FIDUCIARY FINANCIAL ADVISORS2026-06-302026-08-15190$24,195None
&PARTNERS2026-06-302026-08-1537,935$4,830,677None
Thrivent Financial for Lutherans2026-06-302026-08-153,126$398,000None
JONES FINANCIAL COMPANIES LLLP2026-06-302026-08-1564,324$7,979,904None
Vestmark Advisory Solutions, Inc.2026-06-302026-08-1575,240$9,581,062None
ROYAL BANK OF CANADA2026-06-302026-08-1587$11,000None
ROYAL BANK OF CANADA2026-06-302026-08-15175,490$22,347,000None
ROYAL BANK OF CANADA2026-06-302026-08-1551$6,000None
CITADEL ADVISORS LLC2026-06-302026-08-1527,644$3,520,187None
IHT Wealth Management, LLC2026-06-302026-08-152,200$280,149None
RAYMOND JAMES FINANCIAL INC2026-06-302026-08-152,824$359,608None
RAYMOND JAMES FINANCIAL INC2026-06-302026-08-15280,275$35,690,182None
RAYMOND JAMES FINANCIAL INC2026-06-302026-08-15366,883$46,718,880None
WELLS FARGO & COMPANY/MN2026-06-302026-08-15134,022$17,066,317None
WELLS FARGO & COMPANY/MN2026-06-302026-08-15338,327$43,082,497None
BANK OF AMERICA CORP /DE/2026-06-302026-08-15185,243$23,588,844None
BANK OF AMERICA CORP /DE/2026-06-302026-08-1563,324$8,063,678None
CreativeOne Wealth, LLC2026-06-302026-08-142,554$325,226None
Rockefeller Capital Management L.P.2026-06-302026-08-141,088$138,625None
Steward Partners Investment Advisory, LLC2026-06-302026-08-1448,899$6,226,807None
UBS Group AG2026-06-302026-08-14154,862$19,720,127None
O'SHAUGHNESSY ASSET MANAGEMENT, LLC2026-06-302026-08-142,302$293,137None
COMPASS CAPITAL CORP /MA/ /ADV2026-06-302026-08-142,235$274,138None
Ameritas Investment Partners, Inc.2026-06-302026-08-1418,216$2,319,618None
MORGAN STANLEY2026-06-302026-08-14156$19,865None
MORGAN STANLEY2026-06-302026-08-1413$1,708None
MORGAN STANLEY2026-06-302026-08-14606,101$77,180,996None
FMR LLC2026-06-302026-08-14671$85,384None
Financial Management, Inc.2026-06-302026-08-1348,568$6,184,706None

90-day public filing window, up to 50 source positions.

CARLSON FINANCIAL, INC. ↗CARLSON FINANCIAL, INC. ↗CARLSON FINANCIAL, INC. ↗Kingsview Wealth Management, LLC ↗Archer Investment Corp ↗Transamerica Financial Advisors, LLC ↗Equitable Holdings, Inc. ↗Ameritas Advisory Services, LLC ↗NFSG Corp ↗Plotkin Financial Advisors, LLC ↗

Recent Congressional disclosures

No matching Congressional transactions were returned in this source preview.

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No records are available for this view.

Bounded public source preview, up to 25 disclosed events.

How to read the disclosure dates

The tables report different things: insider transactions, institutional positions and Congressional transaction ranges. Read each table with its source dates and units. They cannot be added into a combined ownership percentage.

  1. Company insiders

    SEC Form 4 purchases, sales and awards report transactions and their public filing availability.

  2. Institutional managers

    13F reports disclose delayed quarter-end positions. They are not a record of trades between quarters.

  3. Congressional filers

    Periodic transaction reports disclose transaction dates and amount brackets. Public filing dates determine what researchers could know.

Institutional source directory ↗Congressional source directory ↗

Read the transaction codes

Awards use transaction code A, purchases P and sales S. An acquisition from an award is not the same as an open-market purchase. Joint filers may share a transaction. Use original receipts and availability dates to interpret the events.

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