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First Trust Large Cap Core AlphaDEX Fund

47 hedge funds and large institutions have $384M invested in First Trust Large Cap Core AlphaDEX Fund in 2013 Q4 according to their latest regulatory filings, with 7 funds opening new positions, 28 increasing their positions, 9 reducing their positions, and 7 closing their positions.

New
Increased
Maintained
Reduced
Closed

211% more repeat investments, than reductions

Existing positions increased: 28 | Existing positions reduced: 9

40% more capital invested

Capital invested by funds: $274M → $384M (+$109M)

0% more first-time investments, than exits

New positions opened: 7 | Existing positions closed: 7

0.3% less ownership

Funds ownership: 52.4%52.11% (-0.3%)

2% less funds holding

Funds holding: 4847 (-1)

50% less funds holding in top 10

Funds holding in top 10: 21 (-1)

Holders
47
Holders Change
-1
Holders Change %
-2.08%
% of All Funds
1.36%
Holding in Top 10
1
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-50%
% of All Funds
0.03%
New
7
Increased
28
Reduced
9
Closed
7
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$65.2M +$11.6M +294,236 +23%
Wells Fargo
2
Wells Fargo
California
$60.6M +$9.46M +239,714 +19%
LPL Financial
3
LPL Financial
California
$44.9M +$16.2M +410,204 +60%
Bank of America
4
Bank of America
North Carolina
$32.7M +$8.79M +222,738 +39%
DWA
5
Dorsey Wright & Associates
California
$26.1M +$2.24M +56,826 +10%
AW
6
ACG Wealth
Georgia
$20.6M +$36.7K +929 +0.2%
AIA
7
Arrow Investment Advisors
Maryland
$18.5M +$2.14M +54,150 +14%
U
8
UBS
Switzerland
$13.6M +$2.02M +51,066 +18%
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$13.6M +$1.63M +41,405 +14%
BTS
10
BB&T Securities
Virginia
$11.7M +$11.6K +294 +1%
RJA
11
Raymond James & Associates
Florida
$9.66M +$4.48M +113,630 +94%
BAAM
12
Baker Avenue Asset Management
California
$8.06M -$298K -7,553 -4%
Thrivent Financial for Lutherans
13
Thrivent Financial for Lutherans
Minnesota
$7.11M -$770K -19,521 -10%
Janney Montgomery Scott
14
Janney Montgomery Scott
Pennsylvania
$6.72M +$637K +16,132 +11%
LPT
15
Legacy Private Trust
Wisconsin
$5.25M +$5.03M +127,432 New
HFS
16
HL Financial Services
Kentucky
$4.6M +$65.8K +1,667 +2%
B
17
Baird
Wisconsin
$3.98M +$2.9M +73,522 +319%
JP Morgan Chase
18
JP Morgan Chase
New York
$2.85M +$123K +3,116 +5%
CA
19
Cetera Advisors
Colorado
$2.81M +$180K +4,561 +7%
Ameriprise
20
Ameriprise
Minnesota
$2.76M +$92K +2,332 +4%
Susquehanna International Group
21
Susquehanna International Group
Pennsylvania
$2.57M -$697K -17,649 -22%
DADC
22
D.A. Davidson & Co
Montana
$2.43M +$237K +6,002 +11%
Commonwealth Equity Services
23
Commonwealth Equity Services
Massachusetts
$1.93M +$57.5K +1,458 +3%
RJFSA
24
Raymond James Financial Services Advisors
Florida
$1.65M +$592 +15 +0%
Cambridge Investment Research Advisors
25
Cambridge Investment Research Advisors
Iowa
$1.52M -$7.87M -199,377 -84%

FEX Hedge Fund Activity: Q4 2013 in Review

47 of the 3,445 institutional investors tracked by Wall St. Rank reported a position in First Trust Large Cap Core AlphaDEX Fund (FEX) for Q4 2013, worth a combined $384M — up 40% from $274M a quarter earlier.

Fund positioning in FEX was balanced in Q4 2013: 7 funds opened new positions, 7 closed out, 28 added to existing stakes and 9 trimmed.

The largest buyer was LPL Financial, adding an estimated $16.2M. The largest seller was Cambridge Investment Research Advisors, cutting an estimated $7.87M.

  • 47 institutional investors held First Trust Large Cap Core AlphaDEX Fund (FEX) as of Q4 2013, down from 48 in Q3 2013.
  • Funds reported $384M of First Trust Large Cap Core AlphaDEX Fund stock for Q4 2013, up 40% quarter-over-quarter.
  • 7 funds opened new First Trust Large Cap Core AlphaDEX Fund positions in Q4 2013 and 7 closed out, a net change of 0 holders.
  • The largest First Trust Large Cap Core AlphaDEX Fund buyer in Q4 2013 was LPL Financial, an estimated $16.2M added.
  • The largest First Trust Large Cap Core AlphaDEX Fund seller in Q4 2013 was Cambridge Investment Research Advisors, an estimated $7.87M sold.

Based on aggregated 13F filings for Q4 2013.