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First Trust Emerging Markets AlphaDEX Fund

40 hedge funds and large institutions have $317M invested in First Trust Emerging Markets AlphaDEX Fund in 2014 Q3 according to their latest regulatory filings, with 6 funds opening new positions, 20 increasing their positions, 14 reducing their positions, and 11 closing their positions.

New
Increased
Maintained
Reduced
Closed

43% more repeat investments, than reductions

Existing positions increased: 20 | Existing positions reduced: 14

0% more funds holding in top 10

Funds holding in top 10: 11 (0)

8.01% less ownership

Funds ownership: 81.33%73.32% (-8%)

11% less funds holding

Funds holding: 4540 (-5)

16% less capital invested

Capital invested by funds: $376M → $317M (-$58.7M)

45% less first-time investments, than exits

New positions opened: 6 | Existing positions closed: 11

Holders
40
Holders Change
-5
Holders Change %
-11.11%
% of All Funds
1.16%
Holding in Top 10
1
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
0.03%
New
6
Increased
20
Reduced
14
Closed
11
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
FSIM
1
F-Squared Investment Management
Massachusetts
$206M -$43.6M -1,700,133 -16%
Wells Fargo
2
Wells Fargo
California
$23.3M +$3.85M +149,939 +18%
Morgan Stanley
3
Morgan Stanley
New York
$18.7M -$3.44M -133,997 -15%
U
4
UBS
Switzerland
$11.8M +$901K +35,112 +8%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$8.8M -$690K -26,904 -7%
Bank of America
6
Bank of America
North Carolina
$8.28M +$2.63M +102,650 +42%
Jane Street
7
Jane Street
New York
$7.14M +$7.3M +284,426 +1,782%
Susquehanna International Group
8
Susquehanna International Group
Pennsylvania
$5.59M +$5.51M +214,774 +1,036%
HFS
9
HL Financial Services
Kentucky
$4.62M +$607K +23,652 +14%
CS
10
Credit Suisse
Switzerland
$3.14M +$22.3K +868 +0.7%
PI
11
Placemark Investments
Illinois
$2.19M -$176K -6,862 -7%
BTS
12
BB&T Securities
Virginia
$2.18M -$9.42K -367 -4%
Envestnet Asset Management
13
Envestnet Asset Management
Illinois
$2.13M -$247K -9,646 -10%
VFS
14
VSR Financial Services
Kansas
$1.85M +$948K +36,948 +90%
LPL Financial
15
LPL Financial
California
$1.66M -$1.33M -51,719 -42%
B
16
Baird
Wisconsin
$1.65M +$298K +11,630 +20%
LTFS
17
Ladenburg Thalmann Financial Services
Florida
$1.06M +$88.4K +3,446 +8%
RJA
18
Raymond James & Associates
Florida
$1.03M +$272K +10,603 +32%
IH
19
IFC Holdings
Florida
$944K +$25.1K +978 +3%
Goldman Sachs
20
Goldman Sachs
New York
$896K +$967K +37,694 New
SAM
21
SignalPoint Asset Management
Missouri
$593K +$49.8K +1,940 +8%
WEC
22
Winslow Evans & Crocker
Massachusetts
$469K -$18.1K -706 -3%
Commonwealth Equity Services
23
Commonwealth Equity Services
Massachusetts
$449K -$23.1K -901 -5%
FHC
24
First Heartland Consultants
Missouri
$415K +$159K +6,200 +55%
DADC
25
D.A. Davidson & Co
Montana
$262K +$15.4K +600 +6%

FEM Hedge Fund Activity: Q3 2014 in Review

40 of the 3,446 institutional investors tracked by Wall St. Rank reported a position in First Trust Emerging Markets AlphaDEX Fund (FEM) for Q3 2014, worth a combined $317M — down 16% from $376M a quarter earlier.

Sellers outnumbered buyers: 11 funds closed out of FEM and 6 opened new positions — a net loss of 5 holders — while 14 trimmed existing stakes and 20 added.

The largest buyer was Jane Street, adding an estimated $7.3M. The largest seller was F-Squared Investment Management, cutting an estimated $43.6M.

  • 40 institutional investors held First Trust Emerging Markets AlphaDEX Fund (FEM) as of Q3 2014, down from 45 in Q2 2014.
  • Funds reported $317M of First Trust Emerging Markets AlphaDEX Fund stock for Q3 2014, down 16% quarter-over-quarter.
  • 6 funds opened new First Trust Emerging Markets AlphaDEX Fund positions in Q3 2014 and 11 closed out, a net change of -5 holders.
  • The largest First Trust Emerging Markets AlphaDEX Fund buyer in Q3 2014 was Jane Street, an estimated $7.3M added.
  • The largest First Trust Emerging Markets AlphaDEX Fund seller in Q3 2014 was F-Squared Investment Management, an estimated $43.6M sold.

Based on aggregated 13F filings for Q3 2014.