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First Trust Mid Cap Growth AlphaDEX Fund
FNY

105 hedge funds and large institutions have $318M invested in First Trust Mid Cap Growth AlphaDEX Fund in 2021 Q1 according to their latest regulatory filings, with 14 funds opening new positions, 36 increasing their positions, 41 reducing their positions, and 17 closing their positions.

New
Increased
Maintained
Reduced
Closed

50% more funds holding in top 10

Funds holding in top 10: 2 → 3 (+1)

0.9% more ownership

Funds ownership: 66.76% → 67.66% (+0.9%)

0% less capital invested

Capital invested by funds: $319M → $318M (-$837K)

5% less funds holding

Funds holding: 110 → 105 (-5)

12% less repeat investments, than reductions

Existing positions increased: 36 | Existing positions reduced: 41

18% less first-time investments, than exits

New positions opened: 14 | Existing positions closed: 17

Holders
105
Holders Change
-5
Holders Change %
-4.55%
% of All Funds
1.84%
Holding in Top 10
3
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+50%
% of All Funds
0.05%
New
14
Increased
36
Reduced
41
Closed
17
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
JAWM
J. Arnold Wealth Management
Ohio
+$15M
2
LPL Financial
LPL Financial
California
+$9.46M
3
MCC
Money Concepts Capital
Florida
+$6.5M
4
CAG
Csenge Advisory Group
Florida
+$5.26M
5
OMC
Old Mission Capital
Illinois
+$5.25M

Top Sellers

Rank Fund Capital Flow
1
BFEC
Benjamin F. Edwards & Company
Missouri
-$8.16M
2
KAS
Kestra Advisory Services
Texas
-$6.65M
3
Envestnet Asset Management
Envestnet Asset Management
Illinois
-$6.15M
4
Bank of America
Bank of America
North Carolina
-$5.72M
5
FHC
First Heartland Consultants
Missouri
-$5.62M
Name Holding Trade Value Shares
Change 		Change in
Stake
GIA
26
Gladstone Institutional Advisory
Florida
$2.6M +$52.3K +752 +2%
Commonwealth Equity Services
27
Commonwealth Equity Services
Massachusetts
$2.51M +$37.3K +536 +1%
SPC
28
Sigma Planning Corp
Michigan
$2.25M +$273K +3,918 +13%
Goldman Sachs
29
Goldman Sachs
New York
$2.25M +$1.95M +28,099 +562%
CWM
30
Cornerstone Wealth Management
Missouri
$2.14M -$534K -7,670 -20%
HWM
31
Holloway Wealth Management
Florida
$2.14M – – –
LA
32
LexAurum Advisors
Kansas
$2.08M -$217K -3,112 -9%
KWM
33
Kingsview Wealth Management
Oregon
$2.06M +$665K +9,555 +47%
Stifel Financial
34
Stifel Financial
Missouri
$2.04M -$395K -5,679 -16%
BFEC
35
Benjamin F. Edwards & Company
Missouri
$1.83M -$8.16M -117,239 -81%
Bank of America
36
Bank of America
North Carolina
$1.61M -$5.72M -82,249 -78%
AAS
37
Avantax Advisory Services
Texas
$1.52M +$9.88K +142 +0.6%
DAS
38
Dynamic Advisor Solutions
Arizona
$1.51M -$102K -1,470 -6%
WI
39
Wintrust Investments
Illinois
$1.43M +$1.46M +21,000 New
MIM
40
MTM Investment Management
South Carolina
$1.35M +$170K +2,450 +14%
PPG
41
Peak Planning Group
Colorado
$1.29M +$332K +4,765 +34%
TRCT
42
Tower Research Capital (TRC)
New York
$1.18M +$775K +11,144 +180%
Cambridge Investment Research Advisors
43
Cambridge Investment Research Advisors
Iowa
$1.14M +$132K +1,891 +13%
IA
44
IFP Advisors
Florida
$1.05M -$25.8K -371 -2%
KPWS
45
Kestra Private Wealth Services
Texas
$1.04M -$278 -4 -0%
CAN
46
Cetera Advisor Networks
California
$984K +$93.6K +1,345 +10%
Janney Montgomery Scott
47
Janney Montgomery Scott
Pennsylvania
$947K -$203K -2,913 -17%
EH
48
Equitable Holdings
New York
$928K +$75.8K +1,090 +9%
HI
49
Harbour Investments
Wisconsin
$925K +$947K +13,609 New
Envestnet Asset Management
50
Envestnet Asset Management
Illinois
$888K -$6.15M -88,395 -87%
1
2
3 4 5

FNY Hedge Fund Activity: Q1 2021 in Review

105 of the 5,695 institutional investors tracked by Wall St. Rank reported a position in First Trust Mid Cap Growth AlphaDEX Fund (FNY) for Q1 2021, worth a combined $318M — down 0.26% from $319M a quarter earlier.

Sellers outnumbered buyers: 17 funds closed out of FNY and 14 opened new positions — a net loss of 3 holders — while 41 trimmed existing stakes and 36 added.

The largest buyer was J. Arnold Wealth Management, adding an estimated $15M. The largest seller was Benjamin F. Edwards & Company, cutting an estimated $8.16M.

  • 105 institutional investors held First Trust Mid Cap Growth AlphaDEX Fund (FNY) as of Q1 2021, down from 110 in Q4 2020.
  • Funds reported $318M of First Trust Mid Cap Growth AlphaDEX Fund stock for Q1 2021, down 0.26% quarter-over-quarter.
  • 14 funds opened new First Trust Mid Cap Growth AlphaDEX Fund positions in Q1 2021 and 17 closed out, a net change of -3 holders.
  • The largest First Trust Mid Cap Growth AlphaDEX Fund buyer in Q1 2021 was J. Arnold Wealth Management, an estimated $15M added.
  • The largest First Trust Mid Cap Growth AlphaDEX Fund seller in Q1 2021 was Benjamin F. Edwards & Company, an estimated $8.16M sold.

Based on aggregated 13F filings for Q1 2021.