Rockefeller Capital Management’s First Trust Small Cap Growth AlphaDEX Fund FYC Stock Holding History

Rockefeller Capital Management’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
2026 Q1	$49.3K	Hold	508	–	–	﹤0.01%	3285
2025 Q4	$48.8K	Sell	508 -3,500	-87%	-$330K	﹤0.01%	3084
2025 Q3	$364K	Buy	+4,008	New	+$338K	﹤0.01%	1928
2023 Q1	–	Sell	-1,249	Closed	-$69K	–	2706
2022 Q4	$69K	Hold	1,249	–	–	﹤0.01%	2224
2022 Q3	$67K	Buy	1,249 +768	+160%	+$45.2K	﹤0.01%	2202
2022 Q2	$26K	Sell	481 -197	-29%	-$11.7K	﹤0.01%	2599
2022 Q1	$46K	Buy	678 +481	+244%	+$32.3K	﹤0.01%	2340
2021 Q4	$14K	Hold	197	–	–	﹤0.01%	2814
2021 Q3	$14K	Buy	+197	New	+$14.1K	﹤0.01%	2734
2021 Q2	–	Sell	-2,000	Closed	-$139K	–	3494
2021 Q1	$139K	Buy	+2,000	New	+$141K	﹤0.01%	1465

Other funds holding FYC

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

Raymond James Financial St Petersburg, Florida $324B AUM 22.36% 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

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

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

Stifel Financial St. Louis, Missouri $109B AUM 21.36% 1-Year Est. Return

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

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

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

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

Rockefeller Capital Management held its First Trust Small Cap Growth AlphaDEX Fund (FYC) position steady in Q1 2026 at 508 shares worth $49.3K. The position accounts for ﹤0.01% of the portfolio, ranked #3285.

Rockefeller Capital Management first reported a position in FYC in Q1 2021 and has held it in 10 quarters since. The position peaked at $364K in Q3 2025. 154 funds tracked by Wall St. Rank hold FYC as of Q1 2026.

Rockefeller Capital Management held 508 shares of First Trust Small Cap Growth AlphaDEX Fund worth $49.3K as of Q1 2026.
Rockefeller Capital Management left its First Trust Small Cap Growth AlphaDEX Fund share count unchanged in Q1 2026.
First Trust Small Cap Growth AlphaDEX Fund made up ﹤0.01% of Rockefeller Capital Management's portfolio in Q1 2026, its #3285 holding.
Rockefeller Capital Management first reported a position in First Trust Small Cap Growth AlphaDEX Fund in Q1 2021 and has held it in 10 quarters since.
Rockefeller Capital Management's First Trust Small Cap Growth AlphaDEX Fund position peaked at $364K in Q3 2025.
154 funds tracked by Wall St. Rank held First Trust Small Cap Growth AlphaDEX Fund as of Q1 2026.

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