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First Trust Multi Cap Value AlphaDEX Fund
FAB

39 hedge funds and large institutions have $79.5M invested in First Trust Multi Cap Value AlphaDEX Fund in 2014 Q4 according to their latest regulatory filings, with 7 funds opening new positions, 18 increasing their positions, 10 reducing their positions, and 2 closing their positions.

New
Increased
Maintained
Reduced
Closed

250% more first-time investments, than exits

New positions opened: 7 | Existing positions closed: 2

80% more repeat investments, than reductions

Existing positions increased: 18 | Existing positions reduced: 10

11% more funds holding

Funds holding: 35 → 39 (+4)

8% more capital invested

Capital invested by funds: $73.9M → $79.5M (+$5.65M)

0% more funds holding in top 10

Funds holding in top 10: 1 → 1 (0)

0.72% less ownership

Funds ownership: 42.58% → 41.86% (-0.72%)

Holders
39
Holders Change
+4
Holders Change %
+11.43%
% of All Funds
1.04%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
7
Increased
18
Reduced
10
Closed
2
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Morgan Stanley
Morgan Stanley
New York
+$6.05M
2
CS
Credit Suisse
Switzerland
+$1.27M
3
RJA
Raymond James & Associates
Florida
+$1.03M
4
SAM
Stringer Asset Management
Tennessee
+$965K
5
AIG
American International Group
New York
+$785K

Top Sellers

Rank Fund Capital Flow
1
Wells Fargo
Wells Fargo
California
-$4.99M
2
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
-$3.67M
3
VFS
VSR Financial Services
Kansas
-$753K
4
Bank of America
Bank of America
North Carolina
-$529K
5
SSWM
Sheets Smith Wealth Management
North Carolina
-$332K
Name Holding Trade Value Shares
Change 		Change in
Stake
PAG
26
Private Advisor Group
New Jersey
$330K +$320K +6,975 New
Cambridge Investment Research Advisors
27
Cambridge Investment Research Advisors
Iowa
$268K -$8.36K -182 -3%
WA
28
WFG Advisors
Texas
$258K +$138 +3 +0.1%
SI
29
SII Investments
Wisconsin
$210K +$206K +4,481 New
SPC
30
Sigma Planning Corp
Michigan
$207K +$201K +4,386 New
LTFS
31
Ladenburg Thalmann Financial Services
Florida
$182K +$80.2K +1,745 +83%
DADC
32
D.A. Davidson & Co
Montana
$113K – – –
Deutsche Bank
33
Deutsche Bank
Germany
$112K – – –
Citigroup
34
Citigroup
New York
$96K +$79K +1,720 +543%
WEC
35
Winslow Evans & Crocker
Massachusetts
$18.9K – – –
MFS
36
MSI Financial Services
Massachusetts
$9K -$4.59K -100 -33%
WTB
37
Washington Trust Bank
Washington
$7K +$7.21K +157 New
BRWA
38
B. Riley Wealth Advisors
Florida
$2.5K +$285K +6,202 +86%
SSWM
39
Sheets Smith Wealth Management
North Carolina
– -$332K -7,359 Closed
NES
40
New England Securities
New York
– -$18K -395 Closed
Parallax Volatility Advisers
41
Parallax Volatility Advisers
California
– +$46 +1 New
1
2

FAB Hedge Fund Activity: Q4 2014 in Review

39 of the 3,751 institutional investors tracked by Wall St. Rank reported a position in First Trust Multi Cap Value AlphaDEX Fund (FAB) for Q4 2014, worth a combined $79.5M — up 7.6% from $73.9M a quarter earlier.

Buyers outnumbered sellers: 7 funds opened new FAB positions and 2 closed out — a net gain of 5 holders — while 18 added to existing stakes and 10 trimmed.

The largest buyer was Morgan Stanley, adding an estimated $6.05M. The largest seller was Wells Fargo, cutting an estimated $4.99M.

  • 39 institutional investors held First Trust Multi Cap Value AlphaDEX Fund (FAB) as of Q4 2014, up from 35 in Q3 2014.
  • Funds reported $79.5M of First Trust Multi Cap Value AlphaDEX Fund stock for Q4 2014, up 7.6% quarter-over-quarter.
  • 7 funds opened new First Trust Multi Cap Value AlphaDEX Fund positions in Q4 2014 and 2 closed out, a net change of +5 holders.
  • The largest First Trust Multi Cap Value AlphaDEX Fund buyer in Q4 2014 was Morgan Stanley, an estimated $6.05M added.
  • The largest First Trust Multi Cap Value AlphaDEX Fund seller in Q4 2014 was Wells Fargo, an estimated $4.99M sold.

Based on aggregated 13F filings for Q4 2014.