First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX Fund
US ˙ NasdaqGM ˙ US33734Y1091

SecurityFYX / First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX Fund
InstitutionCwm, Llc
Latest Disclosed Ownership25,841 shares
Latest Disclosed Value $ 3,084,208
Cwm, Llc reports 4.02% decrease in ownership of FYX / First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX Fund

On May 14, 2026 - Cwm, Llc filed a 13F-HR form disclosing ownership of 25,841 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX Fund (US:FYX) valued at $3,084,242 USD as of March 31, 2026. The entity filed a previous 13F-HR on January 26, 2026 disclosing 26,923 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX Fund. This represents a change in shares of -4.02% during the quarter. The current value of the position is $3,439,801 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)
2026-05-14 2026-03-31 13F FIRST TR EXCHANGE-TRADED ALP COM SHS 33734Y109 25,841 -1,082 -4.02 3,084 102,700.00 0.0080
2026-01-26 2025-12-31 13F FIRST TR EXCHANGE-TRADED ALP COM SHS 33734Y109 26,923 -1,335 -4.72 3 0.00 0.0083
2025-10-15 2025-09-30 13F FIRST TR EXCHANGE-TRADED ALP COM SHS 33734Y109 28,258 59 0.21 3 50.00 0.0093
2025-07-25 2025-06-30 13F FIRST TR EXCHANGE-TRADED ALP COM SHS 33734Y109 28,199 -28,010 -49.83 3 -60.00 0.0097
2025-05-01 2025-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 56,209 2,460 4.58 5 0.00 0.0202
2025-02-04 2024-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 53,749 49,300 1,108.11 5 0.0225
2024-10-08 2024-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 4,449 -1,258 -22.04 0 0.0019
2024-07-10 2024-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 5,707 1,258 28.28 1 0.0024
2024-04-05 2024-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 4,449 0 0.00 0 0.0020
2024-02-01 2023-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 4,449 0 0.00 0 0.0022
2023-10-11 2023-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 4,449 1,538 52.83 0 0.0022
2023-08-03 2023-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,911 0 0.00 0 0.0015
2023-05-01 2023-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,911 0 0.00 0 0.0016
2023-02-01 2022-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,911 0 0.00 0 -100.00 0.0017
2022-10-27 2022-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,911 0 0.00 212 -4.93 0.0017
2022-07-28 2022-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,911 0 0.00 223 -16.48 0.0017
2022-04-21 2022-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,911 1 0.03 267 -5.32 0.0019
2022-01-31 2021-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,910 3 0.10 282 4.06 0.0020
2021-09-15 2021-06-30 13F/A-1 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,907 0 0.00 271 0.00 0.0022
2021-07-29 2021-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,907 0 271 0.0022
2021-09-15 2021-03-31 13F/A-1 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,907 0 0.00 271 0.00 0.0022
2021-04-27 2021-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,907 0 263 0.0023
2021-09-15 2020-12-31 13F/A-1 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,907 0 0.00 271 0.00 0.0022
2021-01-27 2020-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,906 -1 224 0.0021
2021-09-15 2020-09-30 13F/A-1 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,907 0 0.00 271 0.00 0.0022
2020-10-19 2020-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,905 -2 168 0.0019
2021-09-15 2020-06-30 13F/A-1 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,907 0 0.00 271 0.00 0.0022
2020-07-22 2020-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 3,367 460 183 0.0022
2021-09-15 2020-03-31 13F/A-1 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,907 0 0.00 271 0.00 0.0022
2020-04-28 2020-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 3,567 660 147 0.0022
2021-09-14 2019-12-31 13F/A-1 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,907 0 0.00 271 0.00 0.0022
2020-01-27 2019-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 3,280 373 213 0.0027
2021-09-14 2019-09-30 13F/A-1 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,907 0 0.00 271 0.00 0.0022
2019-10-22 2019-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 7,318 4,411 440 0.0064
2021-09-14 2019-06-30 13F/A-1 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,907 0 0.00 271 0.00 0.0022
2019-07-31 2019-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 4,132 1,225 254 0.0042
2021-09-02 2019-03-31 13F/A-1 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2,907 2,907 271 0.0022
2019-04-22 2019-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 70 70 4 0.0001
2017-04-17 2017-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 0 -110 -100.00 0 -100.00
2017-01-19 2016-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 110 -107 -49.31 6 -45.45 0.0004
2016-10-17 2016-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 217 -359 -62.33 11 -59.26 0.0008
2016-07-21 2016-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 576 576 27 0.0020
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.