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First Trust Mid Cap Growth AlphaDEX Fund
FNY

92 hedge funds and large institutions have $236M invested in First Trust Mid Cap Growth AlphaDEX Fund in 2020 Q3 according to their latest regulatory filings, with 14 funds opening new positions, 28 increasing their positions, 36 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed

56% more first-time investments, than exits

New positions opened: 14 | Existing positions closed: 9

31% more capital invested

Capital invested by funds: $180M → $236M (+$56.2M)

6% more funds holding

Funds holding: 87 → 92 (+5)

1.38% more ownership

Funds ownership: 60.09% → 61.47% (+1.4%)

0% more funds holding in top 10

Funds holding in top 10: 1 → 1 (0)

22% less repeat investments, than reductions

Existing positions increased: 28 | Existing positions reduced: 36

100% less call options, than puts

Call options by funds: $0 | Put options by funds: $391K

Holders
92
Holders Change
+5
Holders Change %
+5.75%
% of All Funds
1.86%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.02%
New
14
Increased
28
Reduced
36
Closed
9
Calls
–
Puts
$391K
Net Calls
-$391K
Net Calls Change
-$391K

Top Buyers

Rank Fund Capital Flow
1
RJFSA
Raymond James Financial Services Advisors
Florida
+$5.52M
2
Wells Fargo
Wells Fargo
California
+$4.43M
3
LPL Financial
LPL Financial
California
+$3.76M
4
RJA
Raymond James & Associates
Florida
+$3.19M
5
First Trust Advisors
First Trust Advisors
Illinois
+$3.09M

Top Sellers

Rank Fund Capital Flow
1
FHC
First Heartland Consultants
Missouri
-$5.84M
2
SL
Savior LLC
Massachusetts
-$2.18M
3
FAIM
Financial Advocates Investment Management
Washington
-$881K
4
APA
American Portfolios Advisors
New York
-$779K
5
Citadel Advisors
Citadel Advisors
Florida
-$682K
Name Holding Trade Value Shares
Change 		Change in
Stake
Cetera Investment Advisers
26
Cetera Investment Advisers
Illinois
$2.13M -$646K -12,562 -24%
MML Investors Services
27
MML Investors Services
Massachusetts
$1.93M -$288K -5,606 -13%
SPC
28
Sigma Planning Corp
Michigan
$1.89M -$592K -11,496 -25%
FAAS
29
First Allied Advisory Services
California
$1.77M -$242K -4,698 -12%
CWM
30
Cornerstone Wealth Management
Missouri
$1.33M +$733K +14,239 +135%
AAS
31
Avantax Advisory Services
Texas
$1.32M +$72.2K +1,403 +6%
LA
32
LexAurum Advisors
Kansas
$1.29M +$1.24M +24,191 New
Commonwealth Equity Services
33
Commonwealth Equity Services
Massachusetts
$1.24M -$308K -5,992 -21%
WI
34
Wintrust Investments
Illinois
$1.24M +$105K +2,045 +10%
DAS
35
Dynamic Advisor Solutions
Arizona
$1.22M +$1.17M +22,741 New
Janney Montgomery Scott
36
Janney Montgomery Scott
Pennsylvania
$903K -$43.1K -837 -5%
IA
37
IFP Advisors
Florida
$901K -$30.4K -590 -3%
Cambridge Investment Research Advisors
38
Cambridge Investment Research Advisors
Iowa
$816K -$90.3K -1,754 -10%
IFG
39
Independent Financial Group
California
$811K -$78.8K -1,532 -9%
TRCT
40
Tower Research Capital (TRC)
New York
$785K +$492K +9,561 +187%
SCA
41
Snowden Capital Advisors
New York
$712K -$3.86K -75 -0.6%
CAN
42
Cetera Advisor Networks
California
$671K +$7.31K +142 +1%
EH
43
Equitable Holdings
New York
$656K -$10.2K -198 -2%
SFPG
44
Stonebridge Financial Planning Group
Florida
$654K -$236K -4,592 -29%
FAIM
45
Financial Advocates Investment Management
Washington
$587K -$881K -17,120 -61%
GSC
46
G&S Capital
Colorado
$564K +$543K +10,551 New
Baird Financial Group
47
Baird Financial Group
Wisconsin
$554K -$27K -524 -5%
DADC
48
D.A. Davidson & Co
Montana
$541K +$823 +16 +0.2%
KWM
49
Kingsview Wealth Management
Oregon
$509K +$190K +3,683 +63%
IA
50
IFG Advisory
Georgia
$492K +$30.1K +585 +7%
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FNY Hedge Fund Activity: Q3 2020 in Review

92 of the 4,956 institutional investors tracked by Wall St. Rank reported a position in First Trust Mid Cap Growth AlphaDEX Fund (FNY) for Q3 2020, worth a combined $236M — up 31% from $180M a quarter earlier.

Buyers outnumbered sellers: 14 funds opened new FNY positions and 9 closed out — a net gain of 5 holders — while 28 added to existing stakes and 36 trimmed.

The largest buyer was Raymond James Financial Services Advisors, adding an estimated $5.52M. The largest seller was First Heartland Consultants, cutting an estimated $5.84M.

  • 92 institutional investors held First Trust Mid Cap Growth AlphaDEX Fund (FNY) as of Q3 2020, up from 87 in Q2 2020.
  • Funds reported $236M of First Trust Mid Cap Growth AlphaDEX Fund stock for Q3 2020, up 31% quarter-over-quarter.
  • 14 funds opened new First Trust Mid Cap Growth AlphaDEX Fund positions in Q3 2020 and 9 closed out, a net change of +5 holders.
  • The largest First Trust Mid Cap Growth AlphaDEX Fund buyer in Q3 2020 was Raymond James Financial Services Advisors, an estimated $5.52M added.
  • The largest First Trust Mid Cap Growth AlphaDEX Fund seller in Q3 2020 was First Heartland Consultants, an estimated $5.84M sold.

Based on aggregated 13F filings for Q3 2020.