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First Trust Multi Cap Growth AlphaDEX Fund

34 hedge funds and large institutions have $32.2M invested in First Trust Multi Cap Growth AlphaDEX Fund in 2016 Q3 according to their latest regulatory filings, with 4 funds opening new positions, 12 increasing their positions, 9 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed

33% more first-time investments, than exits

New positions opened: 4 | Existing positions closed: 3

33% more repeat investments, than reductions

Existing positions increased: 12 | Existing positions reduced: 9

4% more capital invested

Capital invested by funds: $31M → $32.2M (+$1.17M)

0.24% more ownership

Funds ownership: 31.03%31.28% (+0.24%)

3% less funds holding

Funds holding: 3534 (-1)

Holders
34
Holders Change
-1
Holders Change %
-2.86%
% of All Funds
0.91%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
4
Increased
12
Reduced
9
Closed
3
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$4.74M +$109K +2,061 +2%
LPL Financial
2
LPL Financial
California
$4.08M +$1.72M +32,647 +71%
Goldman Sachs
3
Goldman Sachs
New York
$3M
Susquehanna International Group
4
Susquehanna International Group
Pennsylvania
$2.3M -$438K -8,306 -16%
RJFSA
5
Raymond James Financial Services Advisors
Florida
$2.03M +$155K +2,932 +8%
IA
6
IFP Advisors
Florida
$1.97M +$180K +3,409 +10%
Jane Street
7
Jane Street
New York
$1.83M +$585K +11,095 +47%
Commonwealth Equity Services
8
Commonwealth Equity Services
Massachusetts
$1.61M +$174K +3,293 +12%
Wells Fargo
9
Wells Fargo
California
$1.38M +$349K +6,616 +34%
RFWA
10
RPg Family Wealth Advisory
Massachusetts
$1.34M -$1.44M -27,392 -52%
RJA
11
Raymond James & Associates
Florida
$947K +$105K +2,000 +13%
UBS Group
12
UBS Group
Switzerland
$923K -$347K -6,581 -27%
Bank of America
13
Bank of America
North Carolina
$829K +$162K +3,067 +24%
IH
14
IFC Holdings
Florida
$788K -$323K -6,131 -29%
WI
15
Wintrust Investments
Illinois
$700K +$697K +13,220 New
SG Americas Securities
16
SG Americas Securities
New York
$630K +$295K +5,600 +87%
Royal Bank of Canada
17
Royal Bank of Canada
Ontario, Canada
$577K -$1.56M -29,538 -73%
Ameriprise
18
Ameriprise
Minnesota
$486K +$485K +9,190 New
PAG
19
Private Advisor Group
New Jersey
$402K +$14.2K +270 +4%
Citadel Advisors
20
Citadel Advisors
Florida
$385K +$386K +7,328 New
Stifel Financial
21
Stifel Financial
Missouri
$350K -$111K -2,113 -24%
CWM
22
Concert Wealth Management
California
$220K +$221K +4,196 New
CCA
23
Clearwater Capital Advisors
Illinois
$206K -$22.1K -420 -10%
WA
24
WFG Advisors
Texas
$175K +$15.3K +291 +10%
LTFS
25
Ladenburg Thalmann Financial Services
Florida
$81K

FAD Hedge Fund Activity: Q3 2016 in Review

34 of the 3,748 institutional investors tracked by Wall St. Rank reported a position in First Trust Multi Cap Growth AlphaDEX Fund (FAD) for Q3 2016, worth a combined $32.2M — up 3.8% from $31M a quarter earlier.

Buyers outnumbered sellers: 4 funds opened new FAD positions and 3 closed out — a net gain of 1 holder — while 12 added to existing stakes and 9 trimmed.

The largest buyer was LPL Financial, adding an estimated $1.72M. The largest seller was Royal Bank of Canada, cutting an estimated $1.56M.

  • 34 institutional investors held First Trust Multi Cap Growth AlphaDEX Fund (FAD) as of Q3 2016, down from 35 in Q2 2016.
  • Funds reported $32.2M of First Trust Multi Cap Growth AlphaDEX Fund stock for Q3 2016, up 3.8% quarter-over-quarter.
  • 4 funds opened new First Trust Multi Cap Growth AlphaDEX Fund positions in Q3 2016 and 3 closed out, a net change of +1 holder.
  • The largest First Trust Multi Cap Growth AlphaDEX Fund buyer in Q3 2016 was LPL Financial, an estimated $1.72M added.
  • The largest First Trust Multi Cap Growth AlphaDEX Fund seller in Q3 2016 was Royal Bank of Canada, an estimated $1.56M sold.

Based on aggregated 13F filings for Q3 2016.