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First Trust Mid Cap Core AlphaDEX Fund

88 hedge funds and large institutions have $356M invested in First Trust Mid Cap Core AlphaDEX Fund in 2016 Q4 according to their latest regulatory filings, with 17 funds opening new positions, 34 increasing their positions, 25 reducing their positions, and 10 closing their positions.

New
Increased
Maintained
Reduced
Closed

70% more first-time investments, than exits

New positions opened: 17 | Existing positions closed: 10

36% more repeat investments, than reductions

Existing positions increased: 34 | Existing positions reduced: 25

16% more capital invested

Capital invested by funds: $307M → $356M (+$48.6M)

7% more funds holding

Funds holding: 8288 (+6)

5.28% more ownership

Funds ownership: 45.48%50.75% (+5.3%)

Holders
88
Holders Change
+6
Holders Change %
+7.32%
% of All Funds
2.2%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
% of All Funds
0.03%
New
17
Increased
34
Reduced
25
Closed
10
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$69.8M +$7.26M +134,277 +12%
Wells Fargo
2
Wells Fargo
California
$60.3M +$1.73M +31,976 +3%
UBS Group
3
UBS Group
Switzerland
$39.7M -$2.86M -52,967 -7%
RJFSA
4
Raymond James Financial Services Advisors
Florida
$19.1M +$945K +17,479 +5%
LPL Financial
5
LPL Financial
California
$16.6M +$1.87M +34,490 +13%
RJA
6
Raymond James & Associates
Florida
$14.3M -$618K -11,428 -4%
Bank of America
7
Bank of America
North Carolina
$11.5M +$1.71M +31,709 +18%
Stifel Financial
8
Stifel Financial
Missouri
$10.6M +$263K +4,867 +3%
Baird Financial Group
9
Baird Financial Group
Wisconsin
$8.42M -$1.19M -21,941 -13%
BTS
10
BB&T Securities
Virginia
$8.15M
AIM
11
Astor Investment Management
Illinois
$7.23M -$1.35M -25,014 -16%
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$6.84M +$1.68M +31,138 +35%
Ameriprise
13
Ameriprise
Minnesota
$6.56M +$972K +17,984 +18%
CCM
14
Condor Capital Management
New Jersey
$6.29M +$6.04M +111,639 New
PFA
15
Pinnacle Family Advisors
Missouri
$6.11M +$5.86M +108,414 New
HFS
16
HL Financial Services
Kentucky
$4.81M -$149K -2,764 -3%
Envestnet Asset Management
17
Envestnet Asset Management
Illinois
$4.45M +$3.09M +57,135 +262%
Janney Montgomery Scott
18
Janney Montgomery Scott
Pennsylvania
$4.37M +$710K +13,124 +20%
Commonwealth Equity Services
19
Commonwealth Equity Services
Massachusetts
$3.82M -$115K -2,127 -3%
Cambridge Investment Research Advisors
20
Cambridge Investment Research Advisors
Iowa
$3.74M +$2.15M +39,832 +150%
LPT
21
Legacy Private Trust
Wisconsin
$3.34M -$145K -2,676 -4%
TFA
22
Transamerica Financial Advisors
Florida
$3.3M -$1.29M -23,864 -29%
First Trust Advisors
23
First Trust Advisors
Illinois
$1.93M +$14.4K +266 +0.8%
SCA
24
Snowden Capital Advisors
New York
$1.77M +$107K +1,979 +7%
CCA
25
Clearwater Capital Advisors
Illinois
$1.72M +$147K +2,724 +10%

FNX Hedge Fund Activity: Q4 2016 in Review

88 of the 4,000 institutional investors tracked by Wall St. Rank reported a position in First Trust Mid Cap Core AlphaDEX Fund (FNX) for Q4 2016, worth a combined $356M — up 16% from $307M a quarter earlier.

Buyers outnumbered sellers: 17 funds opened new FNX positions and 10 closed out — a net gain of 7 holders — while 34 added to existing stakes and 25 trimmed.

The largest buyer was Morgan Stanley, adding an estimated $7.26M. The largest seller was UBS Group, cutting an estimated $2.86M.

  • 88 institutional investors held First Trust Mid Cap Core AlphaDEX Fund (FNX) as of Q4 2016, up from 82 in Q3 2016.
  • Funds reported $356M of First Trust Mid Cap Core AlphaDEX Fund stock for Q4 2016, up 16% quarter-over-quarter.
  • 17 funds opened new First Trust Mid Cap Core AlphaDEX Fund positions in Q4 2016 and 10 closed out, a net change of +7 holders.
  • The largest First Trust Mid Cap Core AlphaDEX Fund buyer in Q4 2016 was Morgan Stanley, an estimated $7.26M added.
  • The largest First Trust Mid Cap Core AlphaDEX Fund seller in Q4 2016 was UBS Group, an estimated $2.86M sold.

Based on aggregated 13F filings for Q4 2016.