Rockefeller Capital Management’s First Trust Mid Cap Growth AlphaDEX Fund FNY Stock Holding History

Rockefeller Capital Management’s Portfolio FNY Stock Details FNY Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2026 Q1	$614K	Buy	6,780 +1,099	+19%	+$104K	﹤0.01%	1853
2025 Q4	$518K	Buy	5,681 +1,408	+33%	+$129K	﹤0.01%	1885
2025 Q3	$391K	Buy	+4,273	New	+$369K	﹤0.01%	1896
2023 Q2	–	Sell	-3,465	Closed	-$206K	–	1886
2023 Q1	$206K	Hold	3,465	–	–	﹤0.01%	1805
2022 Q4	$195K	Hold	3,465	–	–	﹤0.01%	1671
2022 Q3	$185K	Hold	3,465	–	–	﹤0.01%	1686
2022 Q2	$189K	Sell	3,465 -197	-5%	-$12K	﹤0.01%	1661
2022 Q1	$244K	Buy	3,662 +3,465	+1,759%	+$229K	﹤0.01%	1609
2021 Q4	$14K	Hold	197	–	–	﹤0.01%	2812
2021 Q3	$14K	Buy	+197	New	+$14.5K	﹤0.01%	2733
2020 Q4	–	Sell	-58	Closed	-$3K	–	2902
2020 Q3	$3K	Hold	58	–	–	﹤0.01%	2330
2020 Q2	$3K	Buy	+58	New	+$2.52K	﹤0.01%	2219

Other funds holding FNY

LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

NewEdge Advisors New Orleans, Louisiana $27.7B AUM 22.98% 1-Year Est. Return

Raymond James Financial St Petersburg, Florida $324B AUM 22.36% 1-Year Est. Return

Cetera Investment Advisers Schaumburg, Illinois $94B AUM 20.14% 1-Year Est. Return

&Partners Nashville, Tennessee $20.2B AUM 19.79% 1-Year Est. Return

Cambridge Investment Research Advisors Fairfield, Iowa $38.8B AUM 21.88% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

Envestnet Asset Management Chicago, Illinois $374B AUM 17.66% 1-Year Est. Return

Rockefeller Capital Management's FNY Position: Q1 2026 in Review

Rockefeller Capital Management increased its First Trust Mid Cap Growth AlphaDEX Fund (FNY) stake by 19% in Q1 2026, buying an estimated $104K and bringing the position to 6,780 shares worth $614K. The position accounts for ﹤0.01% of the portfolio, ranked #1853.

Rockefeller Capital Management first reported a position in FNY in Q2 2020 and has held it in 12 quarters since. 122 funds tracked by Wall St. Rank hold FNY as of Q1 2026.

Rockefeller Capital Management held 6,780 shares of First Trust Mid Cap Growth AlphaDEX Fund worth $614K as of Q1 2026.
Rockefeller Capital Management bought 1,099 First Trust Mid Cap Growth AlphaDEX Fund shares in Q1 2026, an estimated $104K.
First Trust Mid Cap Growth AlphaDEX Fund made up ﹤0.01% of Rockefeller Capital Management's portfolio in Q1 2026, its #1853 holding.
Rockefeller Capital Management first reported a position in First Trust Mid Cap Growth AlphaDEX Fund in Q2 2020 and has held it in 12 quarters since.
122 funds tracked by Wall St. Rank held First Trust Mid Cap Growth AlphaDEX Fund as of Q1 2026.

Based on Rockefeller Capital Management's 13F filing for Q1 2026, filed 14 May 2026.