Ground Swell Capital’s First Trust Small Cap Growth AlphaDEX Fund FYC Stock Holding History

Ground Swell Capital’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
2014 Q3	–	Sell	-120	Closed	-$4K	–	2524
2014 Q2	$4K	Buy	+120	New	+$3.46K	0.01%	1180

Other funds holding FYC

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

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

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

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

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

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

FHC

First Heartland Consultants Lake St. Louis, Missouri $1.55B AUM 20.5% 1-Year Est. Return

Deutsche Bank Frankfurt Am Main Ge, Germany $303B AUM 30.15% 1-Year Est. Return

BFEC

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

DADC

D.A. Davidson & Co Great Falls, Montana $16.5B AUM 19.94% 1-Year Est. Return

Ground Swell Capital's FYC Position: Q3 2014 in Review

Ground Swell Capital sold out of First Trust Small Cap Growth AlphaDEX Fund (FYC) in Q3 2014, closing a stake of 120 shares — an estimated $4K sold.

Ground Swell Capital first reported a position in FYC in Q2 2014 and held it in 1 quarter. The position peaked at $4K in Q2 2014. 16 funds tracked by Wall St. Rank hold FYC as of Q3 2014.

Ground Swell Capital reported no remaining First Trust Small Cap Growth AlphaDEX Fund position as of Q3 2014 after selling out during the quarter.
Ground Swell Capital sold 120 First Trust Small Cap Growth AlphaDEX Fund shares in Q3 2014, an estimated $4K.
Ground Swell Capital first reported a position in First Trust Small Cap Growth AlphaDEX Fund in Q2 2014 and held it in 1 quarter.
Ground Swell Capital's First Trust Small Cap Growth AlphaDEX Fund position peaked at $4K in Q2 2014.
16 funds tracked by Wall St. Rank held First Trust Small Cap Growth AlphaDEX Fund as of Q3 2014.

Based on Ground Swell Capital's 13F filing for Q3 2014, filed 6 Nov 2014.