Confluence Investment Management’s First Trust Mid Cap Value AlphaDEX Fund FNK Stock Holding History

Confluence Investment Management’s Portfolio FNK Stock Details FNK Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2016 Q3	–	Sell	-8,583	Closed	-$240K	–	225
2016 Q2	$240K	Sell	8,583 -705	-8%	-$19.9K	0.01%	219
2016 Q1	$262K	Buy	9,288 +901	+11%	+$23K	0.01%	208
2015 Q4	$222K	Buy	8,387 +692	+9%	+$19.4K	0.01%	231
2015 Q3	$207K	Buy	+7,695	New	+$222K	0.01%	227

Other funds holding FNK

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

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

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

Susquehanna International Group Bala Cynwyd, Pennsylvania $893B AUM 36.07% 1-Year Est. Return

BFEC

Benjamin F. Edwards & Company St. Louis, Missouri $5.69B AUM 15.37% 1-Year Est. Return

Ameriprise Minneapolis, Minnesota $432B AUM 30.22% 1-Year Est. Return

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

Commonwealth Equity Services Waltham, Massachusetts $71.6B AUM 21.08% 1-Year Est. Return

RJFSA

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

Confluence Investment Management's FNK Position: Q3 2016 in Review

Confluence Investment Management sold out of First Trust Mid Cap Value AlphaDEX Fund (FNK) in Q3 2016, closing a stake of 8,583 shares — an estimated $240K sold.

Confluence Investment Management first reported a position in FNK in Q3 2015 and held it in 4 quarters. The position peaked at $262K in Q1 2016. 31 funds tracked by Wall St. Rank hold FNK as of Q3 2016.

Confluence Investment Management reported no remaining First Trust Mid Cap Value AlphaDEX Fund position as of Q3 2016 after selling out during the quarter.
Confluence Investment Management sold 8,583 First Trust Mid Cap Value AlphaDEX Fund shares in Q3 2016, an estimated $240K.
Confluence Investment Management first reported a position in First Trust Mid Cap Value AlphaDEX Fund in Q3 2015 and held it in 4 quarters.
Confluence Investment Management's First Trust Mid Cap Value AlphaDEX Fund position peaked at $262K in Q1 2016.
31 funds tracked by Wall St. Rank held First Trust Mid Cap Value AlphaDEX Fund as of Q3 2016.

Based on Confluence Investment Management's 13F filing for Q3 2016, filed 4 Nov 2016.