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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
SAM
76
SignalPoint Asset Management
Missouri
$217K -$5.46K -74 -2%
MC
77
Moors & Cabot
Massachusetts
$209K +$215K +2,917 New
MPW
78
Monterey Private Wealth
California
$208K – – –
SMF
79
Sterling Manor Financial
New York
$205K -$4.51M -61,165 -96%
FFA
80
Founders Financial Alliance
North Carolina
$150K – – –
CCM
81
Covington Capital Management
California
$109K – – –
Barclays
82
Barclays
United Kingdom
$97K +$99.2K +1,345 New
PNC Financial Services Group
83
PNC Financial Services Group
Pennsylvania
$80K – – –
TCWM
84
Total Clarity Wealth Management
Illinois
$76K +$78.4K +1,063 New
Citigroup
85
Citigroup
New York
$49K -$156K -2,117 -76%
SPIA
86
Steward Partners Investment Advisory
New York
$49K +$10.3K +139 +25%
TFA
87
Transamerica Financial Advisors
Florida
$34K +$34.4K +466 New
US Bancorp
88
US Bancorp
Minnesota
$24K -$3.76K -51 -13%
PA
89
PSI Advisors
Florida
$18K +$18.4K +250 New
AF
90
Allworth Financial
California
$16K – – –
Rockefeller Capital Management
91
Rockefeller Capital Management
New York
$14K +$14.5K +197 New
LS
92
Leelyn Smith
Illinois
$8K – – –
KIG
93
Kowal Investment Group
Wisconsin
$8K +$7.96K +108 New
CWA
94
Clearview Wealth Advisors
Oregon
$7K – – –
PFGIA
95
Patriot Financial Group Insurance Agency
Massachusetts
$7K – – –
Fidelity Investments
96
Fidelity Investments
Massachusetts
$7K +$74 +1 +1%
CFGS
97
Concourse Financial Group Securities
Alabama
$3K -$6.78K -92 -72%
AWM
98
Avior Wealth Management
Nebraska
$3K – – –
Northwestern Mutual Wealth Management
99
Northwestern Mutual Wealth Management
Wisconsin
$2K -$3.69K -50 -68%
TAM
100
Tucker Asset Management
Colorado
$1.52K – – –
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.