First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund
MX ˙ BMV ˙ US33737M3007
SecurityMX:FYC / First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund
InstitutionCwm, Llc
Latest Disclosed Ownership1,042 shares
Latest Disclosed Value $ 101,053
Cwm, Llc reports 5.96% decrease in ownership of FYC / First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund

On May 14, 2026 - Cwm, Llc filed a 13F-HR form disclosing ownership of 1,042 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund (MX:FYC) valued at $101,053 USD as of March 31, 2026. The entity filed a previous 13F-HR on January 26, 2026 disclosing 1,108 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund.

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 SML CP GRW ALP 33737M300 1,042 -66 -5.96 101 0.0003
2026-01-26 2025-12-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,108 184 19.91 0 0.0003
2025-10-15 2025-09-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 924 0 0.00 0 0.0003
2025-07-25 2025-06-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 924 -30 -3.14 0 0.0003
2025-05-01 2025-03-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 954 -326 -25.47 0 0.0003
2025-02-04 2024-12-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,280 356 38.53 0 0.0004
2024-10-08 2024-09-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 924 0 0.00 0 0.0003
2024-07-10 2024-06-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 924 -140 -13.16 0 0.0003
2024-04-05 2024-03-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,064 -104 -8.90 0 0.0003
2024-02-01 2023-12-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,168 216 22.69 0 0.0004
2023-10-11 2023-09-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 952 0 0.00 0 0.0003
2023-08-03 2023-06-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 952 0 0.00 0 0.0004
2023-05-01 2023-03-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 952 0 0.00 0 0.0004
2023-02-01 2022-12-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 952 0 0.00 0 -100.00 0.0004
2022-10-27 2022-09-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 952 -180 -15.90 51 -16.39 0.0004
2022-07-28 2022-06-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,132 16 1.43 61 -19.74 0.0005
2022-04-21 2022-03-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,116 0 0.00 76 -8.43 0.0005
2022-01-31 2021-12-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,116 -18 -1.59 83 0.00 0.0006
2021-09-15 2021-06-30 13F/A-1 FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,134 0 0.00 83 0.00 0.0007
2021-07-29 2021-06-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,134 0 83 0.0007
2021-09-15 2021-03-31 13F/A-1 FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,134 0 0.00 83 0.00 0.0007
2021-04-27 2021-03-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 8,567 7,433 597 0.0053
2021-09-15 2020-12-31 13F/A-1 FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,134 0 0.00 83 0.00 0.0007
2021-01-27 2020-12-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,129 -5 70 0.0007
2021-09-15 2020-09-30 13F/A-1 FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,134 0 0.00 83 0.00 0.0007
2020-10-19 2020-09-30 13F FIRST TR EXCH TRD ALPHDX FD SML CP GRW ALP 33737M300 1,345 211 64 0.0007
2021-09-15 2020-06-30 13F/A-1 FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,134 0 0.00 83 0.00 0.0007
2020-07-22 2020-06-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 2,637 1,503 112 0.0013
2021-09-15 2020-03-31 13F/A-1 FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,134 0 0.00 83 0.00 0.0007
2020-04-28 2020-03-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 4,220 3,086 138 0.0021
2021-09-14 2019-12-31 13F/A-1 FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,134 0 0.00 83 0.00 0.0007
2020-01-27 2019-12-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 107,052 105,918 4,996 0.0638
2021-09-14 2019-09-30 13F/A-1 FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,134 0 0.00 83 0.00 0.0007
2019-10-22 2019-09-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 99,930 98,796 4,384 0.0638
2021-09-14 2019-06-30 13F/A-1 FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,134 0 0.00 83 0.00 0.0007
2019-07-31 2019-06-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 101,520 100,386 4,726 0.0782
2021-09-02 2019-03-31 13F/A-1 FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1,134 -76,890 -98.55 83 -97.35 0.0007
2019-04-22 2019-03-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 82,386 4,362 3,803 0.0763
2019-01-25 2018-12-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 78,024 994 1.29 3,130 -22.33 0.0782
2018-10-29 2018-09-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 77,030 562 0.73 4,030 8.63 0.1029
2018-07-31 2018-06-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 76,468 76,468 3,710 0.1221
2016-04-18 2016-03-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 0 0 0 0.0000
2016-02-01 2015-12-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 0 -450 -100.00 0 -100.00
2015-10-30 2015-09-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 450 450 13 0.0013
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.