Rockefeller Capital Management’s First Trust Small Cap Core AlphaDEX Fund FYX Stock Holding History

Rockefeller Capital Management’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
2026 Q2	$1.93M	Buy	13,381 +4,464	+50%	+$593K	﹤0.01%	1395
2026 Q1	$1.06M	Sell	8,917 -16	-0.2%	-$1.93K	﹤0.01%	1583
2025 Q4	$1.01M	Buy	8,933 +2,980	+50%	+$331K	﹤0.01%	1553
2025 Q3	$649K	Buy	+5,953	New	+$618K	﹤0.01%	1639
2024 Q1	–	Sell	-10,668	Closed	-$977K	–	1689
2023 Q4	$977K	Buy	+10,668	New	+$876K	﹤0.01%	1144
2023 Q3	–	Sell	-7,528	Closed	-$619K	–	1611
2023 Q2	$619K	Buy	7,528 +5,005	+198%	+$395K	﹤0.01%	1258
2023 Q1	$203K	Buy	2,523 +2,100	+496%	+$175K	﹤0.01%	1811
2022 Q4	$33K	Buy	423 +2	+0.5%	+$159	﹤0.01%	2579
2022 Q3	$30K	Buy	421 +101	+32%	+$8.21K	﹤0.01%	2589
2022 Q2	$24K	Buy	+320	New	+$26.8K	﹤0.01%	2637
2021 Q4	–	Sell	-840	Closed	-$76K	–	3841
2021 Q3	$76K	Buy	840 +1	+0.1%	+$91	﹤0.01%	1977
2021 Q2	$78K	Buy	839 +407	+94%	+$37.9K	﹤0.01%	1898
2021 Q1	$39K	Sell	432 -249	-37%	-$21.9K	﹤0.01%	1987
2020 Q4	$52K	Buy	+681	New	+$46.5K	﹤0.01%	1674

Other funds holding FYX

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

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

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

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

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

UBS Group Zurich, Switzerland $786B AUM 40.34% 1-Year Est. Return

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

Janney Montgomery Scott Philadelphia, Pennsylvania $51.6B AUM 27.34% 1-Year Est. Return

GCA

Genesee Capital Advisors Auburn, New York $317M AUM 35.41% 1-Year Est. Return

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

Rockefeller Capital Management's FYX Position: Q2 2026 in Review

Rockefeller Capital Management increased its First Trust Small Cap Core AlphaDEX Fund (FYX) stake by 50% in Q2 2026, buying an estimated $593K and bringing the position to 13,381 shares worth $1.93M. The position accounts for ﹤0.01% of the portfolio, ranked #1395.

Rockefeller Capital Management first reported a position in FYX in Q4 2020 and has held it in 14 quarters since. 204 funds tracked by Wall St. Rank hold FYX as of Q2 2026.

Rockefeller Capital Management held 13,381 shares of First Trust Small Cap Core AlphaDEX Fund worth $1.93M as of Q2 2026.
Rockefeller Capital Management bought 4,464 First Trust Small Cap Core AlphaDEX Fund shares in Q2 2026, an estimated $593K.
First Trust Small Cap Core AlphaDEX Fund made up ﹤0.01% of Rockefeller Capital Management's portfolio in Q2 2026, its #1395 holding.
Rockefeller Capital Management first reported a position in First Trust Small Cap Core AlphaDEX Fund in Q4 2020 and has held it in 14 quarters since.
204 funds tracked by Wall St. Rank held First Trust Small Cap Core AlphaDEX Fund as of Q2 2026.

Based on Rockefeller Capital Management's 13F filing for Q2 2026, filed 13 Aug 2026.