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First Trust Emerging Markets Small Cap AlphaDEX Fund
FEMS

Overview Fund Activity

45 hedge funds and large institutions have $107M invested in First Trust Emerging Markets Small Cap AlphaDEX Fund in 2017 Q3 according to their latest regulatory filings, with 13 funds opening new positions, 22 increasing their positions, 6 reducing their positions, and 5 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
45
Holders Change
+6
Holders Change %
+15.38%
% of All Funds
1.12%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.02%
New
13
Increased
22
Reduced
6
Closed
5
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Jane Street
1
Jane Street
New York
$6.59M
2
3AM
2
3EDGE Asset Management
Florida
$5.57M
3
Bank of America
3
Bank of America
North Carolina
$8.58M
4
Morgan Stanley
4
Morgan Stanley
New York
$25.3M
5
LPL Financial
5
LPL Financial
California
$8.14M

Top Sellers

1
OMC
1
Old Mission Capital
Illinois
$632K
2
NFG
2
Next Financial Group
Texas
$0
3
3AM
3
3D Asset Management
Connecticut
$20M
4
Envestnet Asset Management
4
Envestnet Asset Management
Illinois
$5.85M
5
Creative Planning
5
Creative Planning
Kansas
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
Susquehanna International Group
26
Susquehanna International Group
Pennsylvania
$302K +$302K +7,303 New
NPC
27
National Planning Corporation
California
$252K +$252K +6,085 New
SB
28
Suntrust Banks
Georgia
$251K -$8.6K -208 -3%
BFEC
29
Benjamin F. Edwards & Company
Missouri
$251K +$227K +5,494 +957%
CA
30
Cetera Advisors
Colorado
$239K +$239K +5,750 New
RJFSA
31
Raymond James Financial Services Advisors
Florida
$233K +$233K +5,634 New
CS
32
Comerica Securities
Michigan
$232K – – –
CAN
33
Cetera Advisor Networks
California
$213K +$213K +5,164 New
Verition Fund Management
34
Verition Fund Management
Connecticut
$201K +$201K +4,864 New
MRCM
35
M&R Capital Management
New Jersey
$199K – – –
GWM
36
Geneos Wealth Management
Colorado
$184K +$97.5K +2,359 +113%
IA
37
IFP Advisors
Florida
$144K +$67.5K +1,630 +88%
AG
38
Advisor Group
Arizona
$105K +$48.8K +1,184 +87%
BA
39
Bristlecone Advisors
Washington
$30K +$30K +715 New
JPMorgan Chase & Co
40
JPMorgan Chase & Co
New York
$27K -$6.54K -161 -19%
ASN
41
Advisory Services Network
Georgia
$25K +$25K +594 New
BTIS
42
BB&T Investment Services
North Carolina
$8K – – –
SEI Investments
43
SEI Investments
Pennsylvania
$5K +$5K +121 New
PNC Financial Services Group
44
PNC Financial Services Group
Pennsylvania
$3K +$37 +1 +1%
NFG
45
Next Financial Group
Texas
– -$477K -12,936 Closed
Creative Planning
46
Creative Planning
Kansas
– -$33K -886 Closed
DADC
47
D.A. Davidson & Co
Montana
– -$11K -300 Closed
ADL
48
Asset Dedication LLC
California
– -$5K -135 Closed
ACM
49
Aviance Capital Management
Florida
– -$3K -81 Closed
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