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Public ownership evidence

First Trust Multi Cap Growth AlphaDEX Fund (FAD) Ownership Disclosures

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

As of 2026-11-07T14:03:26.246Z

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Recent Form 4 activity

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

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

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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Serenity Investment Advisors2026-06-302026-08-251,110$207,881None
Equitable Holdings, Inc.2026-06-302026-08-181,712$342,386None
Synergy Investment Management, LLC2026-06-302026-08-153,575$714,867None
Synergy Investment Management, LLC2026-06-302026-08-1524,912$4,981,682None
Modern Wealth Management, LLC2026-06-302026-08-151,007$201,369None
Advyzon Investment Management, LLC2026-06-302026-08-159,640$1,927,704None
Ameritas Advisory Services, LLC2026-06-302026-08-151,600$319,961None
WCG Wealth Advisors LLC2026-06-302026-08-1515,242$3,047,939None
Plotkin Financial Advisors, LLC2026-06-302026-08-1541,711$8,340,919None
Western Wealth Management, LLC2026-06-302026-08-151,132$226,378None
IFG Advisory, LLC2026-06-302026-08-151,525$305,030None
OSAIC HOLDINGS, INC.2026-06-302026-08-152,799$559,714None
OSAIC HOLDINGS, INC.2026-06-302026-08-15255$50,992None
OSAIC HOLDINGS, INC.2026-06-302026-08-1546,654$9,330,081None
Betterment LLC2026-06-302026-08-151,028$206,000None
SUSQUEHANNA INTERNATIONAL GROUP, LLP2026-06-302026-08-154,071$814,075None
SUSQUEHANNA INTERNATIONAL GROUP, LLP2026-06-302026-08-156,977$1,395,186None
JONES FINANCIAL COMPANIES LLLP2026-06-302026-08-1561,706$11,975,712None
ROYAL BANK OF CANADA2026-06-302026-08-1521,047$4,209,000None
GOLDMAN SACHS GROUP INC2026-06-302026-08-1550,000$9,998,465None
RAYMOND JAMES FINANCIAL INC2026-06-302026-08-1581,406$16,278,729None
RAYMOND JAMES FINANCIAL INC2026-06-302026-08-1544,290$8,856,643None
WELLS FARGO & COMPANY/MN2026-06-302026-08-15150,461$30,087,648None
WELLS FARGO & COMPANY/MN2026-06-302026-08-1562,028$12,403,696None
BANK OF AMERICA CORP /DE/2026-06-302026-08-1530,284$6,055,861None
BANK OF AMERICA CORP /DE/2026-06-302026-08-1511,255$2,250,651None
Sanctuary Advisors, LLC2026-06-302026-08-144,347$869,225None
Rockefeller Capital Management L.P.2026-06-302026-08-14829$165,852None
Steward Partners Investment Advisory, LLC2026-06-302026-08-1416$3,200None
UBS Group AG2026-06-302026-08-14191$38,194None
UBS Group AG2026-06-302026-08-1417,191$3,437,667None
Creative Planning2026-06-302026-08-1424,363$4,871,777None
Virtu Financial LLC2026-06-302026-08-1442,443$8,487,000None
O'SHAUGHNESSY ASSET MANAGEMENT, LLC2026-06-302026-08-14243$48,593None
ZACKS INVESTMENT MANAGEMENT2026-06-302026-08-141,133$226,565None
NOMURA ASSET MANAGEMENT CO LTD2026-06-302026-08-143,630$725,889None
Ameritas Investment Partners, Inc.2026-06-302026-08-14204$40,809None
MORGAN STANLEY2026-06-302026-08-142$486None
MORGAN STANLEY2026-06-302026-08-14277,563$55,504,130None
MORGAN STANLEY2026-06-302026-08-143$749None
FMR LLC2026-06-302026-08-14370$73,931None
Smartleaf Asset Management LLC2026-06-302026-08-13750$147,960None
Integrated Wealth Concepts LLC2026-06-302026-08-131,221$244,163None
Cetera Investment Advisers2026-06-302026-08-1318,329$3,665,073None
Baird Financial Group, Inc.2026-06-302026-08-1375$14,998None
Baird Financial Group, Inc.2026-06-302026-08-138,449$1,689,541None
NewEdge Advisors, LLC2026-06-302026-08-13484$96,834None
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO2026-06-302026-08-1335,895$7,178,074None
HARBOUR INVESTMENTS, INC.2026-06-302026-08-132,040$407,949None
STIFEL FINANCIAL CORP2026-06-302026-08-1313,569$2,713,249None

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

Serenity Investment Advisors ↗Equitable Holdings, Inc. ↗Synergy Investment Management, LLC ↗Synergy Investment Management, LLC ↗Modern Wealth Management, LLC ↗Advyzon Investment Management, LLC ↗Ameritas Advisory Services, LLC ↗WCG Wealth Advisors LLC ↗Plotkin Financial Advisors, LLC ↗Western Wealth Management, LLC ↗

Recent Congressional disclosures

No matching Congressional transactions were returned in this source preview.

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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.