Confluence Investment Management’s First Trust Mid Cap Growth AlphaDEX Fund FNY Stock Holding History

Confluence Investment 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
2016 Q3	–	Sell	-12,317	Closed	-$370K	–	226
2016 Q2	$370K	Sell	12,317 -26	-0.2%	-$760	0.01%	204
2016 Q1	$356K	Sell	12,343 -40	-0.3%	-$1.09K	0.01%	199
2015 Q4	$357K	Sell	12,383 -5,076	-29%	-$148K	0.01%	212
2015 Q3	$491K	Buy	+17,459	New	+$525K	0.02%	206

Other funds holding FNY

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

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

TFA

Transamerica Financial Advisors St. Petersburg, Florida $1.17B AUM 23.36% 1-Year Est. Return

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

CCA

Clearwater Capital Advisors Hoffman Estates, Illinois $1.24B AUM 15.23% 1-Year Est. Return

KIA

KCM Investment Advisors Greenbrae, California $3.01B AUM 21.97% 1-Year Est. Return

BFEC

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

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

RJA

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

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

Confluence Investment Management sold out of First Trust Mid Cap Growth AlphaDEX Fund (FNY) in Q3 2016, closing a stake of 12,317 shares — an estimated $370K sold.

Confluence Investment Management first reported a position in FNY in Q3 2015 and held it in 4 quarters. The position peaked at $491K in Q3 2015. 35 funds tracked by Wall St. Rank hold FNY as of Q3 2016.

Confluence Investment Management reported no remaining First Trust Mid Cap Growth AlphaDEX Fund position as of Q3 2016 after selling out during the quarter.
Confluence Investment Management sold 12,317 First Trust Mid Cap Growth AlphaDEX Fund shares in Q3 2016, an estimated $370K.
Confluence Investment Management first reported a position in First Trust Mid Cap Growth AlphaDEX Fund in Q3 2015 and held it in 4 quarters.
Confluence Investment Management's First Trust Mid Cap Growth AlphaDEX Fund position peaked at $491K in Q3 2015.
35 funds tracked by Wall St. Rank held First Trust Mid Cap Growth AlphaDEX Fund as of Q3 2016.

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