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First Trust Emerging Markets AlphaDEX Fund

54 hedge funds and large institutions have $88M invested in First Trust Emerging Markets AlphaDEX Fund in 2016 Q4 according to their latest regulatory filings, with 11 funds opening new positions, 23 increasing their positions, 14 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed

267% more first-time investments, than exits

New positions opened: 11 | Existing positions closed: 3

64% more repeat investments, than reductions

Existing positions increased: 23 | Existing positions reduced: 14

17% more funds holding

Funds holding: 4654 (+8)

16% more capital invested

Capital invested by funds: $76.1M → $88M (+$11.8M)

8.01% more ownership

Funds ownership: 51.69%59.69% (+8%)

Holders
54
Holders Change
+8
Holders Change %
+17.39%
% of All Funds
1.35%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
11
Increased
23
Reduced
14
Closed
3
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Wells Fargo
1
Wells Fargo
California
$23.3M +$7.9M +386,274 +51%
Morgan Stanley
2
Morgan Stanley
New York
$16.5M +$676K +33,037 +4%
Bank of America
3
Bank of America
North Carolina
$12.8M +$2.37M +115,906 +23%
HFS
4
HL Financial Services
Kentucky
$6.15M -$935K -45,722 -13%
UBS Group
5
UBS Group
Switzerland
$3.32M +$108K +5,272 +3%
Royal Bank of Canada
6
Royal Bank of Canada
Ontario, Canada
$3.26M +$135K +6,623 +4%
CCA
7
Clearwater Capital Advisors
Illinois
$2.69M +$191K +9,332 +8%
LPL Financial
8
LPL Financial
California
$1.81M +$206K +10,093 +13%
SAM
9
SignalPoint Asset Management
Missouri
$1.52M -$101K -4,946 -6%
LTFS
10
Ladenburg Thalmann Financial Services
Florida
$1.24M -$22.6K -1,105 -2%
Baird Financial Group
11
Baird Financial Group
Wisconsin
$1.1M +$34.4K +1,682 +3%
HighTower Advisors
12
HighTower Advisors
Illinois
$943K +$123K +6,013 +15%
Cambridge Investment Research Advisors
13
Cambridge Investment Research Advisors
Iowa
$913K +$919K +44,948 New
RIA
14
Regal Investment Advisors
Michigan
$850K +$856K +41,852 New
SPIA
15
Steward Partners Investment Advisory
New York
$799K +$805K +39,350 New
RJFSA
16
Raymond James Financial Services Advisors
Florida
$788K +$532K +26,034 +204%
JP Morgan Chase
17
JP Morgan Chase
New York
$779K +$32.7K +1,600 +4%
Janney Montgomery Scott
18
Janney Montgomery Scott
Pennsylvania
$736K +$408K +19,965 +123%
VKH
19
Virtu KCG Holdings
New York
$731K +$736K +35,975 New
Ameriprise
20
Ameriprise
Minnesota
$684K +$76.6K +3,745 +13%
Commonwealth Equity Services
21
Commonwealth Equity Services
Massachusetts
$683K -$8K -391 -1%
EWM
22
Empirical Wealth Management
Washington
$590K +$532 +26 +0.1%
WI
23
Wintrust Investments
Illinois
$563K +$567K +27,727 New
RPG
24
Risk Paradigm Group
Texas
$527K -$150K -7,330 -22%
FWM
25
Frontier Wealth Management
Missouri
$502K

FEM Hedge Fund Activity: Q4 2016 in Review

54 of the 4,000 institutional investors tracked by Wall St. Rank reported a position in First Trust Emerging Markets AlphaDEX Fund (FEM) for Q4 2016, worth a combined $88M — up 16% from $76.1M a quarter earlier.

Buyers outnumbered sellers: 11 funds opened new FEM positions and 3 closed out — a net gain of 8 holders — while 23 added to existing stakes and 14 trimmed.

The largest buyer was Wells Fargo, adding an estimated $7.9M. The largest seller was Old Mission Capital, cutting an estimated $1.56M.

  • 54 institutional investors held First Trust Emerging Markets AlphaDEX Fund (FEM) as of Q4 2016, up from 46 in Q3 2016.
  • Funds reported $88M of First Trust Emerging Markets AlphaDEX Fund stock for Q4 2016, up 16% quarter-over-quarter.
  • 11 funds opened new First Trust Emerging Markets AlphaDEX Fund positions in Q4 2016 and 3 closed out, a net change of +8 holders.
  • The largest First Trust Emerging Markets AlphaDEX Fund buyer in Q4 2016 was Wells Fargo, an estimated $7.9M added.
  • The largest First Trust Emerging Markets AlphaDEX Fund seller in Q4 2016 was Old Mission Capital, an estimated $1.56M sold.

Based on aggregated 13F filings for Q4 2016.