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First Trust Mid Cap Growth AlphaDEX Fund

33 hedge funds and large institutions have $79.2M invested in First Trust Mid Cap Growth AlphaDEX Fund in 2015 Q4 according to their latest regulatory filings, with 6 funds opening new positions, 14 increasing their positions, 10 reducing their positions, and 4 closing their positions.

New
Increased
Maintained
Reduced
Closed

50% more first-time investments, than exits

New positions opened: 6 | Existing positions closed: 4

40% more repeat investments, than reductions

Existing positions increased: 14 | Existing positions reduced: 10

10% more capital invested

Capital invested by funds: $71.7M → $79.2M (+$7.52M)

6% more funds holding

Funds holding: 3133 (+2)

4.5% more ownership

Funds ownership: 66.07%70.57% (+4.5%)

Holders
33
Holders Change
+2
Holders Change %
+6.45%
% of All Funds
0.87%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
6
Increased
14
Reduced
10
Closed
4
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Wells Fargo
1
Wells Fargo
California
$15.3M +$233K +7,963 +2%
Morgan Stanley
2
Morgan Stanley
New York
$13.6M -$2.98M -101,996 -18%
TFA
3
Transamerica Financial Advisors
Florida
$12.7M -$65.3K -2,235 -0.5%
LPL Financial
4
LPL Financial
California
$10.8M +$5.05M +172,785 +84%
Stifel Financial
5
Stifel Financial
Missouri
$7.3M +$198K +6,792 +3%
BTS
6
BB&T Securities
Virginia
$3.74M -$93.4K -3,199 -2%
Susquehanna International Group
7
Susquehanna International Group
Pennsylvania
$1.95M +$1.97M +67,598 New
VFS
8
VSR Financial Services
Kansas
$1.8M +$1.82M +62,466 New
Bank of America
9
Bank of America
North Carolina
$1.6M +$402K +13,751 +33%
UBS Group
10
UBS Group
Switzerland
$1.5M -$575K -19,681 -27%
BFEC
11
Benjamin F. Edwards & Company
Missouri
$1.47M -$140K -4,810 -9%
RJA
12
Raymond James & Associates
Florida
$1.32M +$978K +33,494 +273%
KIA
13
KCM Investment Advisors
California
$976K +$142K +4,851 +17%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$931K +$50.4K +1,726 +6%
Cambridge Investment Research Advisors
15
Cambridge Investment Research Advisors
Iowa
$571K -$69.2K -2,369 -11%
First Trust Advisors
16
First Trust Advisors
Illinois
$543K +$550K +18,837 New
Goldman Sachs
17
Goldman Sachs
New York
$361K -$204K -6,991 -36%
IH
18
IFC Holdings
Florida
$360K +$118K +4,031 +48%
CIM
19
Confluence Investment Management
Missouri
$357K -$148K -5,076 -29%
Commonwealth Equity Services
20
Commonwealth Equity Services
Massachusetts
$357K -$3.71K -127 -1%
JIP
21
Jaffetilchin Investment Partners
Florida
$290K +$65.5K +2,242 +29%
ONB
22
Old National Bancorp
Indiana
$274K -$260K -8,904 -48%
CPIG
23
Chicago Partners Investment Group
Illinois
$257K +$260K +8,904 New
Janney Montgomery Scott
24
Janney Montgomery Scott
Pennsylvania
$235K +$238K +8,160 New
IA
25
IFP Advisors
Florida
$233K +$236K +8,074 New

FNY Hedge Fund Activity: Q4 2015 in Review

33 of the 3,812 institutional investors tracked by Wall St. Rank reported a position in First Trust Mid Cap Growth AlphaDEX Fund (FNY) for Q4 2015, worth a combined $79.2M — up 10% from $71.7M a quarter earlier.

Buyers outnumbered sellers: 6 funds opened new FNY positions and 4 closed out — a net gain of 2 holders — while 14 added to existing stakes and 10 trimmed.

The largest buyer was LPL Financial, adding an estimated $5.05M. The largest seller was Morgan Stanley, cutting an estimated $2.98M.

  • 33 institutional investors held First Trust Mid Cap Growth AlphaDEX Fund (FNY) as of Q4 2015, up from 31 in Q3 2015.
  • Funds reported $79.2M of First Trust Mid Cap Growth AlphaDEX Fund stock for Q4 2015, up 10% quarter-over-quarter.
  • 6 funds opened new First Trust Mid Cap Growth AlphaDEX Fund positions in Q4 2015 and 4 closed out, a net change of +2 holders.
  • The largest First Trust Mid Cap Growth AlphaDEX Fund buyer in Q4 2015 was LPL Financial, an estimated $5.05M added.
  • The largest First Trust Mid Cap Growth AlphaDEX Fund seller in Q4 2015 was Morgan Stanley, an estimated $2.98M sold.

Based on aggregated 13F filings for Q4 2015.