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First Trust Emerging Markets Small Cap AlphaDEX Fund

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

267% more repeat investments, than reductions

Existing positions increased: 22 | Existing positions reduced: 6

160% more first-time investments, than exits

New positions opened: 13 | Existing positions closed: 5

41% more capital invested

Capital invested by funds: $76M → $107M (+$30.9M)

15% more funds holding

Funds holding: 3945 (+6)

4.54% more ownership

Funds ownership: 37.81%42.35% (+4.5%)

0% more funds holding in top 10

Funds holding in top 10: 11 (0)

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
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$25.3M +$1.61M +39,715 +7%
3AM
2
3D Asset Management
Connecticut
$20M -$260K -6,414 -1%
Bank of America
3
Bank of America
North Carolina
$8.58M +$3.4M +84,012 +68%
LPL Financial
4
LPL Financial
California
$8.14M +$1.33M +32,799 +20%
Jane Street
5
Jane Street
New York
$6.59M +$6.45M +159,243 New
Envestnet Asset Management
6
Envestnet Asset Management
Illinois
$5.85M -$230K -5,675 -4%
3AM
7
3EDGE Asset Management
Florida
$5.57M +$5.44M +134,400 New
RJA
8
Raymond James & Associates
Florida
$4.76M +$505K +12,466 +12%
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$4M +$308K +7,598 +9%
Citadel Advisors
10
Citadel Advisors
Florida
$2.3M +$135K +3,333 +6%
AI
11
Atria Investments
North Carolina
$1.83M +$67.7K +1,673 +4%
UBS Group
12
UBS Group
Switzerland
$1.82M +$668K +16,488 +60%
FWM
13
Frontier Wealth Management
Missouri
$1.48M -$2.59K -64 -0.2%
FTUS
14
Flow Traders U.S.
New York
$1.24M +$1.22M +30,010 New
LTFS
15
Ladenburg Thalmann Financial Services
Florida
$946K +$98.8K +2,440 +12%
VF
16
Virtu Financial
New York
$697K +$681K +16,825 New
JIP
17
Jaffetilchin Investment Partners
Florida
$690K +$363K +8,971 +117%
Stifel Financial
18
Stifel Financial
Missouri
$653K +$216K +5,340 +50%
Janney Montgomery Scott
19
Janney Montgomery Scott
Pennsylvania
$633K +$176K +4,352 +40%
OMC
20
Old Mission Capital
Illinois
$632K -$2.03M -50,063 -77%
Commonwealth Equity Services
21
Commonwealth Equity Services
Massachusetts
$618K +$311K +7,693 +106%
SS
22
Simplicity Solutions
Minnesota
$561K +$142K +3,518 +35%
Cambridge Investment Research Advisors
23
Cambridge Investment Research Advisors
Iowa
$479K +$52.3K +1,293 +13%
GS
24
Girard Securities
California
$364K +$11.2K +277 +3%
SWP
25
Stratos Wealth Partners
Ohio
$305K +$78.2K +1,932 +35%

FEMS Hedge Fund Activity: Q3 2017 in Review

45 of the 4,011 institutional investors tracked by Wall St. Rank reported a position in First Trust Emerging Markets Small Cap AlphaDEX Fund (FEMS) for Q3 2017, worth a combined $107M — up 41% from $76M a quarter earlier.

Buyers outnumbered sellers: 13 funds opened new FEMS positions and 5 closed out — a net gain of 8 holders — while 22 added to existing stakes and 6 trimmed.

The largest buyer was Jane Street, opening a new position worth an estimated $6.45M. The largest seller was Old Mission Capital, cutting an estimated $2.03M.

  • 45 institutional investors held First Trust Emerging Markets Small Cap AlphaDEX Fund (FEMS) as of Q3 2017, up from 39 in Q2 2017.
  • Funds reported $107M of First Trust Emerging Markets Small Cap AlphaDEX Fund stock for Q3 2017, up 41% quarter-over-quarter.
  • 13 funds opened new First Trust Emerging Markets Small Cap AlphaDEX Fund positions in Q3 2017 and 5 closed out, a net change of +8 holders.
  • The largest First Trust Emerging Markets Small Cap AlphaDEX Fund buyer in Q3 2017 was Jane Street, an estimated $6.45M added.
  • The largest First Trust Emerging Markets Small Cap AlphaDEX Fund seller in Q3 2017 was Old Mission Capital, an estimated $2.03M sold.

Based on aggregated 13F filings for Q3 2017.