Institute for Wealth Management’s First Trust Small Cap Value AlphaDEX Fund FYT Stock Holding History

Institute for Wealth Management’s Portfolio FYT Stock Details FYT Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q4	–	Sell	-80,741	Closed	-$2.44M	–	35
2014 Q3	$2.44M	Sell	80,741 -67,478	-46%	-$2.14M	2.32%	16
2014 Q2	$4.88M	Buy	148,219 +22,805	+18%	+$728K	4.22%	5
2014 Q1	$4.09M	Buy	+125,414	New	+$3.95M	3.5%	6

Other funds holding FYT

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

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

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

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

RJA

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

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

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

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

Cetera Advisors Denver, Colorado $12.7B AUM 22.7% 1-Year Est. Return

Institute for Wealth Management's FYT Position: Q4 2014 in Review

Institute for Wealth Management sold out of First Trust Small Cap Value AlphaDEX Fund (FYT) in Q4 2014, closing a stake of 80,741 shares — an estimated $2.44M sold.

Institute for Wealth Management first reported a position in FYT in Q1 2014 and held it in 3 quarters. The position peaked at $4.88M in Q2 2014. 23 funds tracked by Wall St. Rank hold FYT as of Q4 2014.

Institute for Wealth Management reported no remaining First Trust Small Cap Value AlphaDEX Fund position as of Q4 2014 after selling out during the quarter.
Institute for Wealth Management sold 80,741 First Trust Small Cap Value AlphaDEX Fund shares in Q4 2014, an estimated $2.44M.
Institute for Wealth Management first reported a position in First Trust Small Cap Value AlphaDEX Fund in Q1 2014 and held it in 3 quarters.
Institute for Wealth Management's First Trust Small Cap Value AlphaDEX Fund position peaked at $4.88M in Q2 2014.
23 funds tracked by Wall St. Rank held First Trust Small Cap Value AlphaDEX Fund as of Q4 2014.

Based on Institute for Wealth Management's 13F filing for Q4 2014, filed 26 Jan 2015.