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First Trust Mid Cap Growth AlphaDEX Fund
FNY

112 hedge funds and large institutions have $321M invested in First Trust Mid Cap Growth AlphaDEX Fund in 2021 Q4 according to their latest regulatory filings, with 20 funds opening new positions, 30 increasing their positions, 40 reducing their positions, and 7 closing their positions.

New
Increased
Maintained
Reduced
Closed

186% more first-time investments, than exits

New positions opened: 20 | Existing positions closed: 7

13% more funds holding

Funds holding: 99 → 112 (+13)

2.61% more ownership

Funds ownership: 68.18% → 70.78% (+2.6%)

3% more capital invested

Capital invested by funds: $311M → $321M (+$10.2M)

0% more funds holding in top 10

Funds holding in top 10: 3 → 3 (0)

25% less repeat investments, than reductions

Existing positions increased: 30 | Existing positions reduced: 40

Holders
112
Holders Change
+13
Holders Change %
+13.13%
% of All Funds
1.72%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.05%
New
20
Increased
30
Reduced
40
Closed
7
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
GAG
GM Advisory Group
New York
+$24.6M
2
SMF
Sterling Manor Financial
New York
+$7.33M
3
PFS
Prospera Financial Services
Texas
+$1.01M
4
Mariner
Mariner
Kansas
+$875K
5
LPL Financial
LPL Financial
California
+$650K

Top Sellers

Rank Fund Capital Flow
1
JAWM
J. Arnold Wealth Management
Ohio
-$17.8M
2
Morgan Stanley
Morgan Stanley
New York
-$4.72M
3
Citadel Advisors
Citadel Advisors
Florida
-$2.75M
4
PAG
Private Advisory Group
Washington
-$2.51M
5
GIA
Gladstone Institutional Advisory
Florida
-$2.27M
Name Holding Trade Value Shares
Change 		Change in
Stake
PPG
26
Peak Planning Group
Colorado
$2.2M +$279K +3,739 +14%
DAS
27
Dynamic Advisor Solutions
Arizona
$1.89M +$153K +2,052 +9%
PWM
28
Purus Wealth Management
California
$1.85M -$1.04M -13,969 -36%
Osaic Holdings
29
Osaic Holdings
Arizona
$1.82M +$49.8K +667 +3%
Baird Financial Group
30
Baird Financial Group
Wisconsin
$1.61M +$48.2K +646 +3%
HWM
31
Holloway Wealth Management
Florida
$1.61M – – –
SPC
32
Sigma Planning Corp
Michigan
$1.49M -$122K -1,640 -8%
MIM
33
MTM Investment Management
South Carolina
$1.47M – – –
IWC
34
Integrated Wealth Concepts
Massachusetts
$1.43M -$396K -5,304 -22%
Cambridge Investment Research Advisors
35
Cambridge Investment Research Advisors
Iowa
$1.42M +$139K +1,864 +11%
GSC
36
G&S Capital
Colorado
$1.19M +$88.7K +1,189 +8%
MML Investors Services
37
MML Investors Services
Massachusetts
$1.17M -$267K -3,577 -18%
EH
38
Equitable Holdings
New York
$1.16M +$14.6K +195 +1%
CAN
39
Cetera Advisor Networks
California
$1.13M +$7.69K +103 +0.7%
Royal Bank of Canada
40
Royal Bank of Canada
Ontario, Canada
$1.09M -$964K -12,919 -47%
PFS
41
Prospera Financial Services
Texas
$1.01M +$1.01M +13,568 New
Mariner
42
Mariner
Kansas
$870K +$875K +11,723 New
Envestnet Asset Management
43
Envestnet Asset Management
Illinois
$786K -$19K -255 -2%
CWM
44
Cornerstone Wealth Management
Missouri
$755K -$5.6K -75 -0.7%
NFG
45
Next Financial Group
Texas
$730K +$224 +3 +0%
SFPG
46
Stonebridge Financial Planning Group
Florida
$718K -$52.2K -700 -6%
Susquehanna International Group
47
Susquehanna International Group
Pennsylvania
$713K -$287K -3,843 -29%
DADC
48
D.A. Davidson & Co
Montana
$673K -$970 -13 -0.1%
Janney Montgomery Scott
49
Janney Montgomery Scott
Pennsylvania
$671K -$37K -496 -5%
Thrivent Financial for Lutherans
50
Thrivent Financial for Lutherans
Minnesota
$593K – – –
1
2
3 4 5

FNY Hedge Fund Activity: Q4 2021 in Review

112 of the 6,498 institutional investors tracked by Wall St. Rank reported a position in First Trust Mid Cap Growth AlphaDEX Fund (FNY) for Q4 2021, worth a combined $321M — up 3.3% from $311M a quarter earlier.

Buyers outnumbered sellers: 20 funds opened new FNY positions and 7 closed out — a net gain of 13 holders — while 30 added to existing stakes and 40 trimmed.

The largest buyer was GM Advisory Group, opening a new position worth an estimated $24.6M. The largest seller was J. Arnold Wealth Management, cutting an estimated $17.8M.

  • 112 institutional investors held First Trust Mid Cap Growth AlphaDEX Fund (FNY) as of Q4 2021, up from 99 in Q3 2021.
  • Funds reported $321M of First Trust Mid Cap Growth AlphaDEX Fund stock for Q4 2021, up 3.3% quarter-over-quarter.
  • 20 funds opened new First Trust Mid Cap Growth AlphaDEX Fund positions in Q4 2021 and 7 closed out, a net change of +13 holders.
  • The largest First Trust Mid Cap Growth AlphaDEX Fund buyer in Q4 2021 was GM Advisory Group, an estimated $24.6M added.
  • The largest First Trust Mid Cap Growth AlphaDEX Fund seller in Q4 2021 was J. Arnold Wealth Management, an estimated $17.8M sold.

Based on aggregated 13F filings for Q4 2021.