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First Trust Emerging Markets Small Cap AlphaDEX Fund

53 hedge funds and large institutions have $78.9M invested in First Trust Emerging Markets Small Cap AlphaDEX Fund in 2018 Q3 according to their latest regulatory filings, with 6 funds opening new positions, 17 increasing their positions, 21 reducing their positions, and 18 closing their positions.

New
Increased
Maintained
Reduced
Closed

2% more ownership

Funds ownership: 37.47%39.47% (+2%)

18% less funds holding

Funds holding: 6553 (-12)

19% less repeat investments, than reductions

Existing positions increased: 17 | Existing positions reduced: 21

28% less capital invested

Capital invested by funds: $109M → $78.9M (-$30M)

67% less first-time investments, than exits

New positions opened: 6 | Existing positions closed: 18

Holders
53
Holders Change
-12
Holders Change %
-18.46%
% of All Funds
1.21%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
6
Increased
17
Reduced
21
Closed
18
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$14.2M -$4.01M -106,992 -21%
LPL Financial
2
LPL Financial
California
$12.6M -$1M -26,790 -7%
Bank of America
3
Bank of America
North Carolina
$8.44M -$1.25M -33,386 -12%
UBS Group
4
UBS Group
Switzerland
$7.14M -$391K -10,423 -5%
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$5.56M +$330K +8,798 +6%
Jane Street
6
Jane Street
New York
$4.74M +$1.5M +40,054 +44%
RJA
7
Raymond James & Associates
Florida
$3.62M -$1.58M -42,240 -30%
Stifel Financial
8
Stifel Financial
Missouri
$2.44M +$53.6K +1,431 +2%
LNC
9
Lincoln National Corp
Pennsylvania
$1.94M +$423K +11,283 +27%
AG
10
Advisor Group
Arizona
$1.88M +$800K +21,346 +70%
FWM
11
Frontier Wealth Management
Missouri
$1.64M +$56.7K +1,512 +3%
Cambridge Investment Research Advisors
12
Cambridge Investment Research Advisors
Iowa
$1.57M +$142K +3,795 +10%
Citadel Advisors
13
Citadel Advisors
Florida
$1.37M +$708K +18,894 +99%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$1.31M -$1.54M -41,146 -53%
MML Investors Services
15
MML Investors Services
Massachusetts
$1.19M +$4.42K +118 +0.4%
SS
16
Simplicity Solutions
Minnesota
$1.12M -$253K -6,751 -18%
CAN
17
Cetera Advisor Networks
California
$916K +$304K +8,117 +47%
Commonwealth Equity Services
18
Commonwealth Equity Services
Massachusetts
$808K -$44.8K -1,196 -5%
RJFSA
19
Raymond James Financial Services Advisors
Florida
$644K +$22.5K +600 +3%
MIAN
20
Mariner Independent Advisor Network
Kansas
$625K +$650K +17,338 New
Janney Montgomery Scott
21
Janney Montgomery Scott
Pennsylvania
$551K +$79.6K +2,123 +16%
BFEC
22
Benjamin F. Edwards & Company
Missouri
$409K +$31.1K +829 +8%
WB
23
WesBanco Bank
West Virginia
$403K
Verition Fund Management
24
Verition Fund Management
Connecticut
$336K +$1.13K +30 +0.3%
PFS
25
Prospera Financial Services
Texas
$331K +$14.1K +375 +5%

FEMS Hedge Fund Activity: Q3 2018 in Review

53 of the 4,375 institutional investors tracked by Wall St. Rank reported a position in First Trust Emerging Markets Small Cap AlphaDEX Fund (FEMS) for Q3 2018, worth a combined $78.9M — down 28% from $109M a quarter earlier.

Sellers outnumbered buyers: 18 funds closed out of FEMS and 6 opened new positions — a net loss of 12 holders — while 21 trimmed existing stakes and 17 added.

The largest buyer was Jane Street, adding an estimated $1.5M. The largest seller was 3D Asset Management, cutting an estimated $8.54M.

  • 53 institutional investors held First Trust Emerging Markets Small Cap AlphaDEX Fund (FEMS) as of Q3 2018, down from 65 in Q2 2018.
  • Funds reported $78.9M of First Trust Emerging Markets Small Cap AlphaDEX Fund stock for Q3 2018, down 28% quarter-over-quarter.
  • 6 funds opened new First Trust Emerging Markets Small Cap AlphaDEX Fund positions in Q3 2018 and 18 closed out, a net change of -12 holders.
  • The largest First Trust Emerging Markets Small Cap AlphaDEX Fund buyer in Q3 2018 was Jane Street, an estimated $1.5M added.
  • The largest First Trust Emerging Markets Small Cap AlphaDEX Fund seller in Q3 2018 was 3D Asset Management, an estimated $8.54M sold.

Based on aggregated 13F filings for Q3 2018.