Principal Securities’s First Trust Small Cap Growth AlphaDEX Fund FYC Stock Holding History

Principal Securities’s Portfolio FYC Stock Details FYC Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2025 Q4	–	Sell	-271	Closed	-$24.6K	–	2184
2025 Q3	$24.6K	Hold	271	–	–	﹤0.01%	2317
2025 Q2	$21.6K	Hold	271	–	–	﹤0.01%	2272
2025 Q1	$21K	Hold	271	–	–	﹤0.01%	2172
2024 Q4	$21K	Hold	271	–	–	﹤0.01%	2168
2024 Q3	$20.2K	Hold	271	–	–	﹤0.01%	2122
2024 Q2	$17.9K	Hold	271	–	–	﹤0.01%	2115
2024 Q1	$17.8K	Hold	271	–	–	﹤0.01%	2059
2023 Q4	$17.1K	Buy	+271	New	+$15.4K	﹤0.01%	2007

Other funds holding FYC

LPL Financial San Diego, California $445B AUM 25.58% 1-Year Est. Return

Raymond James Financial St Petersburg, Florida $369B AUM 28.27% 1-Year Est. Return

Wells Fargo San Francisco, California $617B AUM 30.33% 1-Year Est. Return

Morgan Stanley New York $1.89T AUM 35.08% 1-Year Est. Return

Cetera Investment Advisers Schaumburg, Illinois $110B AUM 26.29% 1-Year Est. Return

First Trust Advisors Wheaton, Illinois $170B AUM 46.21% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.55T AUM 33.47% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $672B AUM 33.48% 1-Year Est. Return

Envestnet Asset Management Chicago, Illinois $424B AUM 22.9% 1-Year Est. Return

Eclectic Associates Fullerton, California $895M AUM 10.23% 1-Year Est. Return

Principal Securities's FYC Position: Q4 2025 in Review

Principal Securities sold out of First Trust Small Cap Growth AlphaDEX Fund (FYC) in Q4 2025, closing a stake of 271 shares — an estimated $24.6K sold.

Principal Securities first reported a position in FYC in Q4 2023 and held it in 8 quarters. The position peaked at $24.6K in Q3 2025. 140 funds tracked by Wall St. Rank hold FYC as of Q4 2025.

Principal Securities reported no remaining First Trust Small Cap Growth AlphaDEX Fund position as of Q4 2025 after selling out during the quarter.
Principal Securities sold 271 First Trust Small Cap Growth AlphaDEX Fund shares in Q4 2025, an estimated $24.6K.
Principal Securities first reported a position in First Trust Small Cap Growth AlphaDEX Fund in Q4 2023 and held it in 8 quarters.
Principal Securities's First Trust Small Cap Growth AlphaDEX Fund position peaked at $24.6K in Q3 2025.
140 funds tracked by Wall St. Rank held First Trust Small Cap Growth AlphaDEX Fund as of Q4 2025.

Based on Principal Securities's 13F filing for Q4 2025, filed 12 Feb 2026.