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First Trust Multi Cap Growth AlphaDEX Fund
FAD

44 hedge funds and large institutions have $113M invested in First Trust Multi Cap Growth AlphaDEX Fund in 2018 Q3 according to their latest regulatory filings, with 6 funds opening new positions, 27 increasing their positions, 4 reducing their positions, and 7 closing their positions.

New
Increased
Maintained
Reduced
Closed

575% more repeat investments, than reductions

Existing positions increased: 27 | Existing positions reduced: 4

42% more capital invested

Capital invested by funds: $79.4M → $113M (+$33.5M)

6.23% more ownership

Funds ownership: 46.32% → 52.55% (+6.2%)

0% more funds holding in top 10

Funds holding in top 10: 1 → 1 (0)

2% less funds holding

Funds holding: 45 → 44 (-1)

14% less first-time investments, than exits

New positions opened: 6 | Existing positions closed: 7

Holders
44
Holders Change
-1
Holders Change %
-2.22%
% of All Funds
1.01%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.02%
New
6
Increased
27
Reduced
4
Closed
7
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
RJFSA
Raymond James Financial Services Advisors
Florida
+$8.23M
2
Goldman Sachs
Goldman Sachs
New York
+$4.13M
3
Susquehanna International Group
Susquehanna International Group
Pennsylvania
+$3.02M
4
AG
Advisor Group
Arizona
+$2.98M
5
SFS
Sowell Financial Services
Arkansas
+$2.47M

Top Sellers

Rank Fund Capital Flow
1
Jane Street
Jane Street
New York
-$3.06M
2
IA
IFP Advisors
Florida
-$1.11M
3
CWM
Cornerstone Wealth Management
Missouri
-$419K
4
FAAS
First Allied Advisory Services
California
-$267K
5
WI
Wintrust Investments
Illinois
-$40.6K
Name Holding Trade Value Shares
Change 		Change in
Stake
PAG
26
Private Advisor Group
New Jersey
$485K +$184K +2,451 +64%
VFA
27
Voya Financial Advisors
Connecticut
$411K +$85K +1,132 +27%
1SB
28
1ST Source Bank
Indiana
$354K – – –
DADC
29
D.A. Davidson & Co
Montana
$306K +$13.2K +176 +5%
WSTAM
30
Wilbanks Smith & Thomas Asset Management
Virginia
$285K – – –
BCM
31
Breiter Capital Management
Florida
$283K +$5.03K +67 +2%
LTFS
32
Ladenburg Thalmann Financial Services
Florida
$195K +$9.09K +121 +5%
GWS
33
Glassman Wealth Services
Virginia
$191K +$34.6K +460 +23%
Carson Wealth (CWM LLC)
34
Carson Wealth (CWM LLC)
Nebraska
$87K – – –
CWA
35
Clarus Wealth Advisors
Arizona
$54K +$7.51K +100 +17%
SWP
36
Stratos Wealth Partners
Ohio
$51K +$50.1K +667 New
GWM
37
Geneos Wealth Management
Colorado
$41K +$6.01K +80 +17%
Fifth Third Bancorp
38
Fifth Third Bancorp
Ohio
$31K – – –
Citigroup
39
Citigroup
New York
$28K +$22.5K +300 +429%
CAC
40
Certified Advisory Corp
Florida
$9K – – –
CFGS
41
Concourse Financial Group Securities
Alabama
$9K +$8.34K +111 New
SPIA
42
Steward Partners Investment Advisory
New York
$2K – – –
Jane Street
43
Jane Street
New York
– -$3.06M -42,385 Closed
FAAS
44
First Allied Advisory Services
California
– -$267K -3,705 Closed
PNC Financial Services Group
45
PNC Financial Services Group
Pennsylvania
– -$28K -387 Closed
SEI Investments
46
SEI Investments
Pennsylvania
– -$26K -360 Closed
SWPG
47
Strategic Wealth Partners Group
Illinois
– -$7.22K -100 Closed
CF
48
Centaurus Financial
California
– -$5K -70 Closed
TRCT
49
Tower Research Capital (TRC)
New York
– -$3K -45 Closed
Fidelity Investments
50
Fidelity Investments
Massachusetts
– +$75 +1 New
1
2

FAD Hedge Fund Activity: Q3 2018 in Review

44 of the 4,374 institutional investors tracked by Wall St. Rank reported a position in First Trust Multi Cap Growth AlphaDEX Fund (FAD) for Q3 2018, worth a combined $113M — up 42% from $79.4M a quarter earlier.

Sellers outnumbered buyers: 7 funds closed out of FAD and 6 opened new positions — a net loss of 1 holder — while 4 trimmed existing stakes and 27 added.

The largest buyer was Raymond James Financial Services Advisors, adding an estimated $8.23M. The largest seller was Jane Street, exiting entirely with an estimated $3.06M sold.

  • 44 institutional investors held First Trust Multi Cap Growth AlphaDEX Fund (FAD) as of Q3 2018, down from 45 in Q2 2018.
  • Funds reported $113M of First Trust Multi Cap Growth AlphaDEX Fund stock for Q3 2018, up 42% quarter-over-quarter.
  • 6 funds opened new First Trust Multi Cap Growth AlphaDEX Fund positions in Q3 2018 and 7 closed out, a net change of -1 holder.
  • The largest First Trust Multi Cap Growth AlphaDEX Fund buyer in Q3 2018 was Raymond James Financial Services Advisors, an estimated $8.23M added.
  • The largest First Trust Multi Cap Growth AlphaDEX Fund seller in Q3 2018 was Jane Street, an estimated $3.06M sold.

Based on aggregated 13F filings for Q3 2018.