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First Trust Dow Jones Select MicroCap Index Fund
FDM

28 hedge funds and large institutions have $40M invested in First Trust Dow Jones Select MicroCap Index Fund in 2014 Q4 according to their latest regulatory filings, with 6 funds opening new positions, 6 increasing their positions, 9 reducing their positions, and 1 closing their positions.

New
Increased
Maintained
Reduced
Closed

500% more first-time investments, than exits

New positions opened: 6 | Existing positions closed: 1

54% more capital invested

Capital invested by funds: $25.9M → $40M (+$14M)

17% more funds holding

Funds holding: 24 → 28 (+4)

1.65% more ownership

Funds ownership: 26.67% → 28.32% (+1.6%)

33% less repeat investments, than reductions

Existing positions increased: 6 | Existing positions reduced: 9

Holders
28
Holders Change
+4
Holders Change %
+16.67%
% of All Funds
0.75%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
6
Increased
6
Reduced
9
Closed
1
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
BTS
BB&T Securities
Virginia
+$1.21M
2
Morgan Stanley
Morgan Stanley
New York
+$884K
3
NPC
National Planning Corporation
California
+$74.7K
4
OCM
One Capital Management
California
+$48.8K
5
Creative Planning
Creative Planning
Kansas
+$34.5K

Top Sellers

1
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$1.76M
2
Bank of America
Bank of America
North Carolina
-$1.65M
3
SG Americas Securities
SG Americas Securities
New York
-$1.54M
4
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
-$467K
5
CA
Cetera Advisors
Colorado
-$260K
Name Holding Trade Value Shares
Change 		Change in
Stake
BTS
1
BB&T Securities
Virginia
$28.1M +$1.21M +38,504 +85%
FWM
2
Frontier Wealth Management
Missouri
$3.46M +$3.25M +103,484 New
Wells Fargo
3
Wells Fargo
California
$2.36M -$246K -7,834 -10%
Morgan Stanley
4
Morgan Stanley
New York
$1.99M +$884K +28,106 +89%
CP
5
Camelot Portfolios
Ohio
$1.17M -$4.37K -139 -0.4%
TH
6
Timber Hill
Connecticut
$401K -$156K -4,968 -29%
UBS Group
7
UBS Group
Switzerland
$348K +$327K +10,408 New
Bank of America
8
Bank of America
North Carolina
$331K -$1.65M -52,317 -84%
NGA
9
Naples Global Advisors
Florida
$308K – – –
OCM
10
One Capital Management
California
$307K +$48.8K +1,552 +20%
Susquehanna International Group
11
Susquehanna International Group
Pennsylvania
$233K -$1.76M -56,090 -89%
CA
12
Cetera Advisors
Colorado
$227K -$260K -8,270 -55%
CPIG
13
Chicago Partners Investment Group
Illinois
$205K +$193K +6,133 New
Fifth Third Bancorp
14
Fifth Third Bancorp
Ohio
$134K – – –
NPC
15
National Planning Corporation
California
$76K +$74.7K +2,375 New
Creative Planning
16
Creative Planning
Kansas
$66K +$34.5K +1,097 +124%
Royal Bank of Canada
17
Royal Bank of Canada
Ontario, Canada
$60K -$467K -14,836 -89%
MWP
18
MYCIO Wealth Partners
Pennsylvania
$48K +$63 +2 +0.1%
LTFS
19
Ladenburg Thalmann Financial Services
Florida
$44K -$1.76K -56 -4%
WA
20
WFG Advisors
Texas
$43K +$18.9K +600 +86%
CFA
21
Camarda Financial Advisors
Florida
$33K – – –
MFS
22
MSI Financial Services
Massachusetts
$13K -$2.04K -65 -14%
DADC
23
D.A. Davidson & Co
Montana
$13K – – –
WA
24
Waverly Advisors
Alabama
$13K – – –
AIG
25
American International Group
New York
$9.88K – – –
1
2

FDM Hedge Fund Activity: Q4 2014 in Review

28 of the 3,749 institutional investors tracked by Wall St. Rank reported a position in First Trust Dow Jones Select MicroCap Index Fund (FDM) for Q4 2014, worth a combined $40M — up 54% from $25.9M a quarter earlier.

Buyers outnumbered sellers: 6 funds opened new FDM positions and 1 closed out — a net gain of 5 holders — while 6 added to existing stakes and 9 trimmed.

The largest buyer was BB&T Securities, adding an estimated $1.21M. The largest seller was Susquehanna International Group, cutting an estimated $1.76M.

  • 28 institutional investors held First Trust Dow Jones Select MicroCap Index Fund (FDM) as of Q4 2014, up from 24 in Q3 2014.
  • Funds reported $40M of First Trust Dow Jones Select MicroCap Index Fund stock for Q4 2014, up 54% quarter-over-quarter.
  • 6 funds opened new First Trust Dow Jones Select MicroCap Index Fund positions in Q4 2014 and 1 closed out, a net change of +5 holders.
  • The largest First Trust Dow Jones Select MicroCap Index Fund buyer in Q4 2014 was BB&T Securities, an estimated $1.21M added.
  • The largest First Trust Dow Jones Select MicroCap Index Fund seller in Q4 2014 was Susquehanna International Group, an estimated $1.76M sold.

Based on aggregated 13F filings for Q4 2014.