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First Trust Emerging Markets Small Cap AlphaDEX Fund

46 hedge funds and large institutions have $56.8M invested in First Trust Emerging Markets Small Cap AlphaDEX Fund in 2019 Q4 according to their latest regulatory filings, with 7 funds opening new positions, 18 increasing their positions, 15 reducing their positions, and 11 closing their positions.

New
Increased
Maintained
Reduced
Closed

20% more repeat investments, than reductions

Existing positions increased: 18 | Existing positions reduced: 15

1% more capital invested

Capital invested by funds: $56.3M → $56.8M (+$476K)

3.37% less ownership

Funds ownership: 42.92%39.55% (-3.4%)

10% less funds holding

Funds holding: 5146 (-5)

36% less first-time investments, than exits

New positions opened: 7 | Existing positions closed: 11

Holders
46
Holders Change
-5
Holders Change %
-9.8%
% of All Funds
0.91%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
7
Increased
18
Reduced
15
Closed
11
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
MRCM
26
M&R Capital Management
New Jersey
$290K
3AM
27
3D Asset Management
Connecticut
$280K
Truist Financial
28
Truist Financial
North Carolina
$256K +$235K +6,475 New
QCIG
29
Quad-Cities Investment Group
Iowa
$236K +$159K +4,375 +279%
LTFS
30
Ladenburg Thalmann Financial Services
Florida
$234K +$7.62K +210 +4%
CIAS
31
Capital Investment Advisory Services
North Carolina
$156K +$36.3K +1,000 +34%
GRP
32
Global Retirement Partners
California
$62K
AIP
33
Ameritas Investment Partners
Nebraska
$28K
CFGS
34
Concourse Financial Group Securities
Alabama
$27K +$11.3K +310 +82%
ASN
35
Advisory Services Network
Georgia
$25K +$835 +23 +4%
APA
36
American Portfolios Advisors
New York
$21.2K
AWA
37
Arkadios Wealth Advisors
Georgia
$20.8K +$20K +550 New
SPIA
38
Steward Partners Investment Advisory
New York
$19K +$18.1K +500 New
IA
39
IFP Advisors
Florida
$10K -$36.1K -996 -79%
TRCT
40
Tower Research Capital (TRC)
New York
$8K -$51.4K -1,417 -88%
VFA
41
Valeo Financial Advisors
Indiana
$7K +$109 +3 +2%
PNC Financial Services Group
42
PNC Financial Services Group
Pennsylvania
$4K +$36 +1 +1%
Northwestern Mutual Wealth Management
43
Northwestern Mutual Wealth Management
Wisconsin
$3K -$42.9K -1,182 -95%
CAL
44
Capital Analysts LLC
Pennsylvania
$2K
LFG
45
Larson Financial Group
Missouri
$2K +$2.07K +57 New
Citadel Advisors
46
Citadel Advisors
Florida
-$6.53M -190,505 Closed
Stifel Financial
47
Stifel Financial
Missouri
-$1.42M -42,132 Closed
Envestnet Asset Management
48
Envestnet Asset Management
Illinois
-$507K -14,875 Closed
FTUS
49
Flow Traders U.S.
New York
-$430K -12,567 Closed
SWM
50
Sequoia Wealth Management
Illinois
-$386K -11,268 Closed

FEMS Hedge Fund Activity: Q4 2019 in Review

46 of the 5,076 institutional investors tracked by Wall St. Rank reported a position in First Trust Emerging Markets Small Cap AlphaDEX Fund (FEMS) for Q4 2019, worth a combined $56.8M — up 0.84% from $56.3M a quarter earlier.

Sellers outnumbered buyers: 11 funds closed out of FEMS and 7 opened new positions — a net loss of 4 holders — while 15 trimmed existing stakes and 18 added.

The largest buyer was Royal Bank of Canada, adding an estimated $2.16M. The largest seller was Citadel Advisors, exiting entirely with an estimated $6.53M sold.

  • 46 institutional investors held First Trust Emerging Markets Small Cap AlphaDEX Fund (FEMS) as of Q4 2019, down from 51 in Q3 2019.
  • Funds reported $56.8M of First Trust Emerging Markets Small Cap AlphaDEX Fund stock for Q4 2019, up 0.84% quarter-over-quarter.
  • 7 funds opened new First Trust Emerging Markets Small Cap AlphaDEX Fund positions in Q4 2019 and 11 closed out, a net change of -4 holders.
  • The largest First Trust Emerging Markets Small Cap AlphaDEX Fund buyer in Q4 2019 was Royal Bank of Canada, an estimated $2.16M added.
  • The largest First Trust Emerging Markets Small Cap AlphaDEX Fund seller in Q4 2019 was Citadel Advisors, an estimated $6.53M sold.

Based on aggregated 13F filings for Q4 2019.