PS
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Principal Securities’s First Trust Small Cap Core AlphaDEX Fund FYX Stock Holding History

Principal Securities’s Portfolio FYX Stock Details FYX Fund Activity
Bought
Maintained
Sold
Quarter Market Value Status Shares Change in
Stake 		Trade Value Portfolio Weight Portfolio Position
2025
Q4 		– Sell
-313
Closed -$34.1K – 2185
2025
Q3 		$34.1K Sell
313
-6,113
-95% -$635K ﹤0.01% 2140
2025
Q2 		$625K Buy
6,426
+416
+7% +$37.6K 0.01% 767
2025
Q1 		$607K Hold
6,010
– – 0.01% 706
2024
Q4 		$607K Sell
6,010
-589
-9% -$60.8K 0.01% 701
2024
Q3 		$657K Buy
6,599
+189
+3% +$18.1K 0.02% 670
2024
Q2 		$580K Buy
6,410
+146
+2% +$13.2K 0.02% 651
2024
Q1 		$584K Buy
6,264
+3,663
+141% +$328K 0.02% 607
2023
Q4 		$238K Buy
+2,601
New +$214K 0.01% 877

Other funds holding FYX

Morgan Stanley
Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return
Royal Bank of Canada
Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return
LPL Financial
LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return
Wells Fargo
Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return
Bank of America
Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return
Raymond James Financial
Raymond James Financial St Petersburg, Florida $324B AUM 22.36% 1-Year Est. Return
UBS Group
UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return
Janney Montgomery Scott
Janney Montgomery Scott Philadelphia, Pennsylvania $40.4B AUM 21.2% 1-Year Est. Return
Cetera Investment Advisers
Cetera Investment Advisers Schaumburg, Illinois $94B AUM 20.14% 1-Year Est. Return
Northwestern Mutual Wealth Management
Northwestern Mutual Wealth Management Milwaukee, Wisconsin $162B AUM 16.35% 1-Year Est. Return