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First Trust Mid Cap Growth AlphaDEX Fund
FNY

15 hedge funds and large institutions have $17M invested in First Trust Mid Cap Growth AlphaDEX Fund in 2013 Q4 according to their latest regulatory filings, with 6 funds opening new positions, 5 increasing their positions, 3 reducing their positions, and 0 closing their positions.

New
Increased
Maintained
Reduced
Closed

73% more capital invested

Capital invested by funds: $9.81M → $17M (+$7.2M)

67% more funds holding

Funds holding: 9 → 15 (+6)

67% more repeat investments, than reductions

Existing positions increased: 5 | Existing positions reduced: 3

9.94% more ownership

Funds ownership: 36.7% → 46.64% (+9.9%)

Holders
15
Holders Change
+6
Holders Change %
+66.67%
% of All Funds
0.44%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
6
Increased
5
Reduced
3
Closed
–
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Morgan Stanley
Morgan Stanley
New York
+$2.48M
2
VFS
VSR Financial Services
Kansas
+$938K
3
U
UBS
Switzerland
+$869K
4
Susquehanna International Group
Susquehanna International Group
Pennsylvania
+$798K
5
TT
Tower Trust
Indiana
+$654K

Top Sellers

Rank Fund Capital Flow
1
Bank of America
Bank of America
North Carolina
-$722K
2
Goldman Sachs
Goldman Sachs
New York
-$26.2K
3
Ameriprise
Ameriprise
Minnesota
-$5.31K
Name Holding Trade Value Shares
Change 		Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$5.22M +$2.48M +93,325 +101%
Wells Fargo
2
Wells Fargo
California
$3.65M +$95.7K +3,600 +3%
Goldman Sachs
3
Goldman Sachs
New York
$1.93M -$26.2K -985 -1%
U
4
UBS
Switzerland
$1.19M +$869K +32,711 +342%
VFS
5
VSR Financial Services
Kansas
$991K +$938K +35,318 New
Susquehanna International Group
6
Susquehanna International Group
Pennsylvania
$843K +$798K +30,022 New
Bank of America
7
Bank of America
North Carolina
$742K -$722K -27,177 -51%
TT
8
Tower Trust
Indiana
$691K +$654K +24,610 New
LPL Financial
9
LPL Financial
California
$624K +$25.3K +952 +4%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$412K +$146K +5,491 +60%
PAG
11
Private Advisor Group
New Jersey
$403K +$382K +14,364 New
KIA
12
KCM Investment Advisors
California
$243K +$230K +8,665 New
WA
13
WFG Advisors
Texas
$42K – – –
Ameriprise
14
Ameriprise
Minnesota
$33K -$5.31K -200 -15%
AIG
15
American International Group
New York
$7.04K +$6.67K +251 New

FNY Hedge Fund Activity: Q4 2013 in Review

15 of the 3,445 institutional investors tracked by Wall St. Rank reported a position in First Trust Mid Cap Growth AlphaDEX Fund (FNY) for Q4 2013, worth a combined $17M — up 73% from $9.81M a quarter earlier.

Buyers outnumbered sellers: 6 funds opened new FNY positions and 0 closed out — a net gain of 6 holders — while 5 added to existing stakes and 3 trimmed.

The largest buyer was Morgan Stanley, adding an estimated $2.48M. The largest seller was Bank of America, cutting an estimated $722K.

  • 15 institutional investors held First Trust Mid Cap Growth AlphaDEX Fund (FNY) as of Q4 2013, up from 9 in Q3 2013.
  • Funds reported $17M of First Trust Mid Cap Growth AlphaDEX Fund stock for Q4 2013, up 73% quarter-over-quarter.
  • 6 funds opened new First Trust Mid Cap Growth AlphaDEX Fund positions in Q4 2013 and 0 closed out, a net change of +6 holders.
  • The largest First Trust Mid Cap Growth AlphaDEX Fund buyer in Q4 2013 was Morgan Stanley, an estimated $2.48M added.
  • The largest First Trust Mid Cap Growth AlphaDEX Fund seller in Q4 2013 was Bank of America, an estimated $722K sold.

Based on aggregated 13F filings for Q4 2013.