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First Trust Mid Cap Growth AlphaDEX Fund
FNY

99 hedge funds and large institutions have $311M invested in First Trust Mid Cap Growth AlphaDEX Fund in 2021 Q3 according to their latest regulatory filings, with 15 funds opening new positions, 35 increasing their positions, 34 reducing their positions, and 11 closing their positions.

New
Increased
Maintained
Reduced
Closed

36% more first-time investments, than exits

New positions opened: 15 | Existing positions closed: 11

3% more funds holding

Funds holding: 96 → 99 (+3)

4% more capital invested

Capital invested by funds: $299M → $311M (+$11.7M)

3% more repeat investments, than reductions

Existing positions increased: 35 | Existing positions reduced: 34

1% more ownership

Funds ownership: 67.18% → 68.18% (+1%)

25% less funds holding in top 10

Funds holding in top 10: 4 → 3 (-1)

Holders
99
Holders Change
+3
Holders Change %
+3.13%
% of All Funds
1.73%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.05%
New
15
Increased
35
Reduced
34
Closed
11
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Wells Fargo
Wells Fargo
California
+$7.19M
2
BFEC
Benjamin F. Edwards & Company
Missouri
+$6.3M
3
First Trust Advisors
First Trust Advisors
Illinois
+$6.17M
4
Morgan Stanley
Morgan Stanley
New York
+$4.66M
5
LPL Financial
LPL Financial
California
+$3.11M

Top Sellers

Rank Fund Capital Flow
1
SAM
Synergy Asset Management
Washington
-$6.3M
2
SMF
Sterling Manor Financial
New York
-$4.51M
3
Osaic Holdings
Osaic Holdings
Arizona
-$3.13M
4
FHC
First Heartland Consultants
Missouri
-$2.75M
5
CWM
Cornerstone Wealth Management
Missouri
-$914K
Name Holding Trade Value Shares
Change 		Change in
Stake
PAG
26
Private Advisory Group
Washington
$2.51M +$2.58M +34,962 New
Goldman Sachs
27
Goldman Sachs
New York
$2.28M +$84.6K +1,147 +4%
FTUS
28
Flow Traders U.S.
New York
$2.26M +$2.32M +31,435 New
Royal Bank of Canada
29
Royal Bank of Canada
Ontario, Canada
$1.98M +$675K +9,155 +50%
PPG
30
Peak Planning Group
Colorado
$1.87M +$1.92M +25,983 New
IWC
31
Integrated Wealth Concepts
Massachusetts
$1.77M +$367K +4,979 +25%
Osaic Holdings
32
Osaic Holdings
Arizona
$1.72M -$3.13M -42,488 -64%
DAS
33
Dynamic Advisor Solutions
Arizona
$1.68M +$42.7K +579 +3%
HWM
34
Holloway Wealth Management
Florida
$1.62M – – –
FHC
35
First Heartland Consultants
Missouri
$1.58M -$2.75M -37,294 -63%
SPC
36
Sigma Planning Corp
Michigan
$1.56M -$55.7K -755 -3%
Baird Financial Group
37
Baird Financial Group
Wisconsin
$1.52M +$910K +12,335 +141%
MIM
38
MTM Investment Management
South Carolina
$1.43M -$5.97K -81 -0.4%
MML Investors Services
39
MML Investors Services
Massachusetts
$1.39M -$913K -12,386 -39%
Cambridge Investment Research Advisors
40
Cambridge Investment Research Advisors
Iowa
$1.24M -$72.6K -984 -5%
EH
41
Equitable Holdings
New York
$1.11M +$27.5K +373 +2%
CAN
42
Cetera Advisor Networks
California
$1.08M -$189K -2,559 -15%
GSC
43
G&S Capital
Colorado
$1.07M +$1.1M +14,894 New
Susquehanna International Group
44
Susquehanna International Group
Pennsylvania
$966K -$437K -5,930 -31%
SFPG
45
Stonebridge Financial Planning Group
Florida
$950K +$45.4K +615 +5%
Envestnet Asset Management
46
Envestnet Asset Management
Illinois
$780K +$5.97K +81 +0.8%
CWM
47
Cornerstone Wealth Management
Missouri
$735K -$914K -12,399 -55%
NFG
48
Next Financial Group
Texas
$707K +$22.5K +305 +3%
Janney Montgomery Scott
49
Janney Montgomery Scott
Pennsylvania
$686K -$62K -841 -8%
DADC
50
D.A. Davidson & Co
Montana
$653K -$37.8K -513 -5%
1
2
3 4 5

FNY Hedge Fund Activity: Q3 2021 in Review

99 of the 5,712 institutional investors tracked by Wall St. Rank reported a position in First Trust Mid Cap Growth AlphaDEX Fund (FNY) for Q3 2021, worth a combined $311M — up 3.9% from $299M a quarter earlier.

Buyers outnumbered sellers: 15 funds opened new FNY positions and 11 closed out — a net gain of 4 holders — while 35 added to existing stakes and 34 trimmed.

The largest buyer was Wells Fargo, adding an estimated $7.19M. The largest seller was Synergy Asset Management, exiting entirely with an estimated $6.3M sold.

  • 99 institutional investors held First Trust Mid Cap Growth AlphaDEX Fund (FNY) as of Q3 2021, up from 96 in Q2 2021.
  • Funds reported $311M of First Trust Mid Cap Growth AlphaDEX Fund stock for Q3 2021, up 3.9% quarter-over-quarter.
  • 15 funds opened new First Trust Mid Cap Growth AlphaDEX Fund positions in Q3 2021 and 11 closed out, a net change of +4 holders.
  • The largest First Trust Mid Cap Growth AlphaDEX Fund buyer in Q3 2021 was Wells Fargo, an estimated $7.19M added.
  • The largest First Trust Mid Cap Growth AlphaDEX Fund seller in Q3 2021 was Synergy Asset Management, an estimated $6.3M sold.

Based on aggregated 13F filings for Q3 2021.