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First Trust Emerging Markets Small Cap AlphaDEX Fund
FEMS

Overview Fund Activity

24 hedge funds and large institutions have $19.3M invested in First Trust Emerging Markets Small Cap AlphaDEX Fund in 2014 Q4 according to their latest regulatory filings, with 6 funds opening new positions, 4 increasing their positions, 12 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
24
Holders Change
-4
Holders Change %
-14.29%
% of All Funds
0.64%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
6
Increased
4
Reduced
12
Closed
9
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Deutsche Bank
Deutsche Bank
Germany
$2.22M
2
Susquehanna International Group
Susquehanna International Group
Pennsylvania
$2.41M
3
Janney Montgomery Scott
Janney Montgomery Scott
Pennsylvania
$425K
4
FHC
First Heartland Consultants
Missouri
$309K
5
TRCT
Tower Research Capital (TRC)
New York
$31K

Top Sellers

1
Morgan Stanley
Morgan Stanley
New York
$2.33M
2
First Trust Advisors
First Trust Advisors
Illinois
$0
3
AP
Atwood & Palmer
Missouri
$184K
4
LPL Financial
LPL Financial
California
$661K
5
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
$262K
Name Holding Trade Value Shares
Change 		Shares
Change %
Royal Bank of Canada
1
Royal Bank of Canada
Ontario, Canada
$3.52M -$1.77M -54,607 -33%
Susquehanna International Group
2
Susquehanna International Group
Pennsylvania
$2.41M +$1.92M +59,079 +391%
Morgan Stanley
3
Morgan Stanley
New York
$2.33M -$14M -430,622 -86%
Deutsche Bank
4
Deutsche Bank
Germany
$2.22M +$2.2M +67,938 +14,769%
OMC
5
Old Mission Capital
Illinois
$1.88M +$1.88M +58,006 New
Bank of America
6
Bank of America
North Carolina
$1.47M -$631K -19,429 -30%
Ameriprise
7
Ameriprise
Minnesota
$1.22M -$374K -11,514 -23%
RJA
8
Raymond James & Associates
Florida
$1.09M -$310K -9,567 -22%
LPL Financial
9
LPL Financial
California
$661K -$2.78M -85,564 -81%
VKH
10
Virtu KCG Holdings
New York
$507K -$398K -12,261 -44%
Janney Montgomery Scott
11
Janney Montgomery Scott
Pennsylvania
$425K +$425K +13,108 New
UBS Group
12
UBS Group
Switzerland
$378K +$378K +11,639 New
FHC
13
First Heartland Consultants
Missouri
$309K +$53.5K +1,646 +21%
JPMorgan Chase & Co
14
JPMorgan Chase & Co
New York
$262K -$2.07M -63,881 -89%
Stifel Financial
15
Stifel Financial
Missouri
$226K -$604K -18,583 -73%
AP
16
Atwood & Palmer
Missouri
$184K -$4.95M -151,965 -96%
Fifth Third Bancorp
17
Fifth Third Bancorp
Ohio
$84K – – –
AIG
18
American International Group
New York
$58.3K -$25.5K -785 -30%
TRCT
19
Tower Research Capital (TRC)
New York
$31K +$31K +940 New
WA
20
WFG Advisors
Texas
$25K +$255 +8 +1%
MAA
21
Managed Account Advisors
New Jersey
$15K +$15K +465 New
DADC
22
D.A. Davidson & Co
Montana
$4K – – –
MFS
23
MSI Financial Services
Massachusetts
$1K -$12.1K -303 -92%
First Trust Advisors
24
First Trust Advisors
Illinois
– -$5.68M -156,434 Closed
BFA
25
Beaumont Financial Advisors
Massachusetts
– -$1.13M -31,217 Closed
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