Confluence Investment Management’s First Trust Small Cap Growth AlphaDEX Fund FYC Stock Holding History

Confluence Investment 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
2016 Q4	–	Sell	-5,955	Closed	-$201K	–	238
2016 Q3	$201K	Sell	5,955 -2,781	-32%	-$92.1K	0.01%	220
2016 Q2	$273K	Sell	8,736 -5	-0.1%	-$153	0.01%	213
2016 Q1	$263K	Sell	8,741 -25	-0.3%	-$706	0.01%	207
2015 Q4	$267K	Buy	+8,766	New	+$271K	0.01%	222

Other funds holding FYC

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

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

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

TFA

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

Cambridge Investment Research Advisors Fairfield, Iowa $38.8B AUM 21.88% 1-Year Est. Return

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

CCA

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

SG Americas Securities New York $92.9B AUM 36.98% 1-Year Est. Return

Jane Street New York $777B AUM 61.18% 1-Year Est. Return

RJA

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

Confluence Investment Management's FYC Position: Q4 2016 in Review

Confluence Investment Management sold out of First Trust Small Cap Growth AlphaDEX Fund (FYC) in Q4 2016, closing a stake of 5,955 shares — an estimated $201K sold.

Confluence Investment Management first reported a position in FYC in Q4 2015 and held it in 4 quarters. The position peaked at $273K in Q2 2016. 32 funds tracked by Wall St. Rank hold FYC as of Q4 2016.

Confluence Investment Management reported no remaining First Trust Small Cap Growth AlphaDEX Fund position as of Q4 2016 after selling out during the quarter.
Confluence Investment Management sold 5,955 First Trust Small Cap Growth AlphaDEX Fund shares in Q4 2016, an estimated $201K.
Confluence Investment Management first reported a position in First Trust Small Cap Growth AlphaDEX Fund in Q4 2015 and held it in 4 quarters.
Confluence Investment Management's First Trust Small Cap Growth AlphaDEX Fund position peaked at $273K in Q2 2016.
32 funds tracked by Wall St. Rank held First Trust Small Cap Growth AlphaDEX Fund as of Q4 2016.

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