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

Aviance 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
2016 Q4	–	Sell	-56,434	Closed	-$2.81M	–	242
2016 Q3	$2.81M	Sell	56,434 -23,542	-29%	-$1.15M	0.08%	138
2016 Q2	$3.68M	Sell	79,976 -17,343	-18%	-$787K	0.11%	119
2016 Q1	$4.39M	Sell	97,319 -141,183	-59%	-$5.87M	0.14%	102
2015 Q4	$10.5M	Buy	238,502 +560	+0.2%	+$25.6K	0.35%	73
2015 Q3	$10.4M	Buy	+237,942	New	+$11.2M	0.37%	71
2015 Q2	–	Sell	-99,871	Closed	-$5.05M	–	118
2015 Q1	$5.05M	Buy	99,871 +72,065	+259%	+$3.54M	0.19%	87
2014 Q4	$1.36M	Buy	+27,806	New	+$1.3M	0.05%	159

Other funds holding FYX

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

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

RJA

Raymond James & Associates St Petersburg, Florida $164B AUM 33.91% 1-Year Est. Return

RJFSA

Raymond James Financial Services Advisors St. Petersburg, Florida $75.1B AUM 31.89% 1-Year Est. Return

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

HAFS

Hapanowicz & Associates Financial Services Pittsburgh, Pennsylvania $251M AUM 17.21% 1-Year Est. Return

AIM

Astor Investment Management Chicago, Illinois $185M AUM 8.46% 1-Year Est. Return

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

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

Aviance Capital Management's FYX Position: Q4 2016 in Review

Aviance Capital Management sold out of First Trust Small Cap Core AlphaDEX Fund (FYX) in Q4 2016, closing a stake of 56,434 shares — an estimated $2.81M sold.

Aviance Capital Management first reported a position in FYX in Q4 2014 and held it in 7 quarters. The position peaked at $10.5M in Q4 2015. 75 funds tracked by Wall St. Rank hold FYX as of Q4 2016.

Aviance Capital Management reported no remaining First Trust Small Cap Core AlphaDEX Fund position as of Q4 2016 after selling out during the quarter.
Aviance Capital Management sold 56,434 First Trust Small Cap Core AlphaDEX Fund shares in Q4 2016, an estimated $2.81M.
Aviance Capital Management first reported a position in First Trust Small Cap Core AlphaDEX Fund in Q4 2014 and held it in 7 quarters.
Aviance Capital Management's First Trust Small Cap Core AlphaDEX Fund position peaked at $10.5M in Q4 2015.
75 funds tracked by Wall St. Rank held First Trust Small Cap Core AlphaDEX Fund as of Q4 2016.

Based on Aviance Capital Management's 13F filing for Q4 2016, filed 14 Feb 2017.