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First Trust Emerging Markets Small Cap AlphaDEX Fund

28 hedge funds and large institutions have $43M invested in First Trust Emerging Markets Small Cap AlphaDEX Fund in 2016 Q3 according to their latest regulatory filings, with 5 funds opening new positions, 13 increasing their positions, 5 reducing their positions, and 2 closing their positions.

New
Increased
Maintained
Reduced
Closed

160% more repeat investments, than reductions

Existing positions increased: 13 | Existing positions reduced: 5

150% more first-time investments, than exits

New positions opened: 5 | Existing positions closed: 2

65% more capital invested

Capital invested by funds: $26M → $43M (+$16.9M)

41.4% more ownership

Funds ownership: 83.42%124.82% (+41%)

12% more funds holding

Funds holding: 2528 (+3)

Holders
28
Holders Change
+3
Holders Change %
+12%
% of All Funds
0.75%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
% of All Funds
0.03%
New
5
Increased
13
Reduced
5
Closed
2
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
3AM
1
3D Asset Management
Connecticut
$18.8M +$4.79M +148,754 +35%
Morgan Stanley
2
Morgan Stanley
New York
$9.61M +$8.51M +264,302 +915%
Envestnet Asset Management
3
Envestnet Asset Management
Illinois
$5.59M +$638K +19,832 +13%
RJA
4
Raymond James & Associates
Florida
$1.96M +$1.92M +59,642 New
LPL Financial
5
LPL Financial
California
$1.18M -$28.8K -895 -2%
AI
6
Atria Investments
North Carolina
$1.12M +$255K +7,910 +30%
FWM
7
Frontier Wealth Management
Missouri
$1.04M -$31.2K -968 -3%
Bank of America
8
Bank of America
North Carolina
$878K -$197K -6,109 -19%
LTFS
9
Ladenburg Thalmann Financial Services
Florida
$564K +$68.2K +2,119 +14%
JIP
10
Jaffetilchin Investment Partners
Florida
$444K +$35.4K +1,100 +9%
VKH
11
Virtu KCG Holdings
New York
$398K +$391K +12,147 New
Janney Montgomery Scott
12
Janney Montgomery Scott
Pennsylvania
$264K +$259K +8,042 New
Susquehanna International Group
13
Susquehanna International Group
Pennsylvania
$253K -$745K -23,156 -75%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$202K +$105K +3,278 +114%
MRCM
15
M&R Capital Management
New Jersey
$172K +$965 +30 +0.6%
WA
16
WFG Advisors
Texas
$153K +$10.1K +315 +7%
IA
17
IFP Advisors
Florida
$128K +$77.9K +2,422 +164%
MFS
18
MSI Financial Services
Massachusetts
$73K +$45.1K +1,403 +172%
Fifth Third Bancorp
19
Fifth Third Bancorp
Ohio
$43K
GWM
20
Geneos Wealth Management
Colorado
$39K +$25.7K +800 +203%
UBS Group
21
UBS Group
Switzerland
$12K -$37.5K -1,164 -76%
AG
22
Advisor Group
Arizona
$12K
DADC
23
D.A. Davidson & Co
Montana
$9K
SEI Investments
24
SEI Investments
Pennsylvania
$7K +$6.57K +204 New
TRCT
25
Tower Research Capital (TRC)
New York
$7K +$6.95K +216 New

FEMS Hedge Fund Activity: Q3 2016 in Review

28 of the 3,748 institutional investors tracked by Wall St. Rank reported a position in First Trust Emerging Markets Small Cap AlphaDEX Fund (FEMS) for Q3 2016, worth a combined $43M — up 65% from $26M a quarter earlier.

Buyers outnumbered sellers: 5 funds opened new FEMS positions and 2 closed out — a net gain of 3 holders — while 13 added to existing stakes and 5 trimmed.

The largest buyer was Morgan Stanley, adding an estimated $8.51M. The largest seller was Jane Street, exiting entirely with an estimated $1.15M sold.

  • 28 institutional investors held First Trust Emerging Markets Small Cap AlphaDEX Fund (FEMS) as of Q3 2016, up from 25 in Q2 2016.
  • Funds reported $43M of First Trust Emerging Markets Small Cap AlphaDEX Fund stock for Q3 2016, up 65% quarter-over-quarter.
  • 5 funds opened new First Trust Emerging Markets Small Cap AlphaDEX Fund positions in Q3 2016 and 2 closed out, a net change of +3 holders.
  • The largest First Trust Emerging Markets Small Cap AlphaDEX Fund buyer in Q3 2016 was Morgan Stanley, an estimated $8.51M added.
  • The largest First Trust Emerging Markets Small Cap AlphaDEX Fund seller in Q3 2016 was Jane Street, an estimated $1.15M sold.

Based on aggregated 13F filings for Q3 2016.