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First Trust Multi Cap Growth AlphaDEX Fund
FAD

52 hedge funds and large institutions have $132M invested in First Trust Multi Cap Growth AlphaDEX Fund in 2021 Q4 according to their latest regulatory filings, with 6 funds opening new positions, 12 increasing their positions, 25 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed

100% more first-time investments, than exits

New positions opened: 6 | Existing positions closed: 3

11% more capital invested

Capital invested by funds: $118M → $132M (+$13.5M)

6% more funds holding

Funds holding: 49 → 52 (+3)

1.46% more ownership

Funds ownership: 48.62% → 50.09% (+1.5%)

0% more funds holding in top 10

Funds holding in top 10: 1 → 1 (0)

52% less repeat investments, than reductions

Existing positions increased: 12 | Existing positions reduced: 25

Holders
52
Holders Change
+3
Holders Change %
+6.12%
% of All Funds
0.8%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.02%
New
6
Increased
12
Reduced
25
Closed
3
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
KAS
Kestra Advisory Services
Texas
+$7.76M
2
LPL Financial
LPL Financial
California
+$2.52M
3
Goldman Sachs
Goldman Sachs
New York
+$2.49M
4
Susquehanna International Group
Susquehanna International Group
Pennsylvania
+$1.4M
5
Osaic Holdings
Osaic Holdings
Arizona
+$1.01M

Top Sellers

Rank Fund Capital Flow
1
Wells Fargo
Wells Fargo
California
-$2.62M
2
Morgan Stanley
Morgan Stanley
New York
-$2.41M
3
Baird Financial Group
Baird Financial Group
Wisconsin
-$2.27M
4
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
-$938K
5
Jane Street
Jane Street
New York
-$608K
Name Holding Trade Value Shares
Change 		Change in
Stake
AR
26
Apeiron RIA
Texas
$684K +$678K +5,444 New
VWA
27
V Wealth Advisors
Kansas
$641K – – –
Rockefeller Capital Management
28
Rockefeller Capital Management
New York
$630K -$377K -3,030 -38%
FAM
29
Flaharty Asset Management
Florida
$603K -$211K -1,693 -26%
Stifel Financial
30
Stifel Financial
Missouri
$589K +$85.9K +690 +17%
WP
31
WealthPLAN Partners
Nebraska
$527K -$2.12K -17 -0.4%
Envestnet Asset Management
32
Envestnet Asset Management
Illinois
$517K -$394K -3,164 -43%
Janney Montgomery Scott
33
Janney Montgomery Scott
Pennsylvania
$511K -$89.6K -720 -15%
LS
34
Leelyn Smith
Illinois
$492K -$1.62K -13 -0.3%
WSTAM
35
Wilbanks Smith & Thomas Asset Management
Virginia
$465K – – –
IAIM
36
International Assets Investment Management
Florida
$335K – – –
Carson Wealth (CWM LLC)
37
Carson Wealth (CWM LLC)
Nebraska
$307K +$304K +2,443 New
QPW
38
Quantum Private Wealth
Florida
$298K +$296K +2,379 New
1SB
39
1ST Source Bank
Indiana
$283K – – –
CA
40
Cetera Advisors
Colorado
$269K -$69.1K -555 -21%
KA
41
Kovack Advisors
Florida
$231K -$10.2K -82 -4%
NL
42
NWAM LLC
Washington
$220K +$218K +1,753 New
SWM
43
Spire Wealth Management
Virginia
$54K -$53.5K -430 -50%
CFGS
44
Concourse Financial Group Securities
Alabama
$49K – – –
GWM
45
Geneos Wealth Management
Colorado
$43K – – –
Fidelity Investments
46
Fidelity Investments
Massachusetts
$41K -$622 -5 -1%
BFEC
47
Benjamin F. Edwards & Company
Missouri
$33K +$18.7K +150 +129%
Northwestern Mutual Wealth Management
48
Northwestern Mutual Wealth Management
Wisconsin
$29K – – –
CWS
49
Confluence Wealth Services
Pennsylvania
$29K +$29.6K +238 New
TCWM
50
Total Clarity Wealth Management
Illinois
$27K – – –
1
2
3

FAD Hedge Fund Activity: Q4 2021 in Review

52 of the 6,498 institutional investors tracked by Wall St. Rank reported a position in First Trust Multi Cap Growth AlphaDEX Fund (FAD) for Q4 2021, worth a combined $132M — up 11% from $118M a quarter earlier.

Buyers outnumbered sellers: 6 funds opened new FAD positions and 3 closed out — a net gain of 3 holders — while 12 added to existing stakes and 25 trimmed.

The largest buyer was Kestra Advisory Services, adding an estimated $7.76M. The largest seller was Wells Fargo, cutting an estimated $2.62M.

  • 52 institutional investors held First Trust Multi Cap Growth AlphaDEX Fund (FAD) as of Q4 2021, up from 49 in Q3 2021.
  • Funds reported $132M of First Trust Multi Cap Growth AlphaDEX Fund stock for Q4 2021, up 11% quarter-over-quarter.
  • 6 funds opened new First Trust Multi Cap Growth AlphaDEX Fund positions in Q4 2021 and 3 closed out, a net change of +3 holders.
  • The largest First Trust Multi Cap Growth AlphaDEX Fund buyer in Q4 2021 was Kestra Advisory Services, an estimated $7.76M added.
  • The largest First Trust Multi Cap Growth AlphaDEX Fund seller in Q4 2021 was Wells Fargo, an estimated $2.62M sold.

Based on aggregated 13F filings for Q4 2021.