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First Trust Mid Cap Growth AlphaDEX Fund

73 hedge funds and large institutions have $174M invested in First Trust Mid Cap Growth AlphaDEX Fund in 2019 Q3 according to their latest regulatory filings, with 21 funds opening new positions, 27 increasing their positions, 20 reducing their positions, and 5 closing their positions.

New
Increased
Maintained
Reduced
Closed

320% more first-time investments, than exits

New positions opened: 21 | Existing positions closed: 5

35% more repeat investments, than reductions

Existing positions increased: 27 | Existing positions reduced: 20

28% more funds holding

Funds holding: 5773 (+16)

9% more capital invested

Capital invested by funds: $160M → $174M (+$14.3M)

2.05% less ownership

Funds ownership: 61.49%59.44% (-2.1%)

Holders
73
Holders Change
+16
Holders Change %
+28.07%
% of All Funds
1.6%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
21
Increased
27
Reduced
20
Closed
5
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$36M +$4.16M +90,628 +13%
Wells Fargo
2
Wells Fargo
California
$23.8M +$989K +21,560 +4%
UBS Group
3
UBS Group
Switzerland
$13.2M +$106K +2,303 +0.8%
Bank of America
4
Bank of America
North Carolina
$8.68M -$363K -7,900 -4%
FAIM
5
Financial Advocates Investment Management
Washington
$8.41M +$378K +8,230 +5%
LPL Financial
6
LPL Financial
California
$8.37M -$1.28M -27,889 -13%
RJA
7
Raymond James & Associates
Florida
$6.07M +$199K +4,333 +3%
First Trust Advisors
8
First Trust Advisors
Illinois
$5.06M +$85.9K +1,871 +2%
Ameriprise
9
Ameriprise
Minnesota
$4.69M +$1.03M +22,466 +27%
Envestnet Asset Management
10
Envestnet Asset Management
Illinois
$4.61M -$575K -12,540 -11%
GIA
11
Gladstone Institutional Advisory
Florida
$4.41M +$498K +10,857 +12%
BFEC
12
Benjamin F. Edwards & Company
Missouri
$3.59M +$533K +11,606 +17%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$3.01M +$2.07M +45,100 +204%
Cetera Investment Advisers
14
Cetera Investment Advisers
Illinois
$2.73M +$557K +12,137 +25%
MML Investors Services
15
MML Investors Services
Massachusetts
$2.69M -$779K -16,985 -22%
KIA
16
KCM Investment Advisors
California
$2.58M -$87.2K -1,900 -3%
RJFSA
17
Raymond James Financial Services Advisors
Florida
$2.5M -$4.32M -94,057 -63%
SPC
18
Sigma Planning Corp
Michigan
$2.45M +$365K +7,963 +17%
Citadel Advisors
19
Citadel Advisors
Florida
$1.93M +$1.98M +43,067 New
FAAS
20
First Allied Advisory Services
California
$1.79M +$1.26M +27,528 +223%
Susquehanna International Group
21
Susquehanna International Group
Pennsylvania
$1.78M +$1.82M +39,671 New
Stifel Financial
22
Stifel Financial
Missouri
$1.76M -$227K -4,940 -11%
Commonwealth Equity Services
23
Commonwealth Equity Services
Massachusetts
$1.7M +$186K +4,054 +12%
SWP
24
Stratos Wealth Partners
Ohio
$1.59M -$117K -2,553 -7%
CAN
25
Cetera Advisor Networks
California
$1.48M +$719K +15,671 +90%

FNY Hedge Fund Activity: Q3 2019 in Review

73 of the 4,561 institutional investors tracked by Wall St. Rank reported a position in First Trust Mid Cap Growth AlphaDEX Fund (FNY) for Q3 2019, worth a combined $174M — up 8.9% from $160M a quarter earlier.

Buyers outnumbered sellers: 21 funds opened new FNY positions and 5 closed out — a net gain of 16 holders — while 27 added to existing stakes and 20 trimmed.

The largest buyer was Morgan Stanley, adding an estimated $4.16M. The largest seller was Raymond James Financial Services Advisors, cutting an estimated $4.32M.

  • 73 institutional investors held First Trust Mid Cap Growth AlphaDEX Fund (FNY) as of Q3 2019, up from 57 in Q2 2019.
  • Funds reported $174M of First Trust Mid Cap Growth AlphaDEX Fund stock for Q3 2019, up 8.9% quarter-over-quarter.
  • 21 funds opened new First Trust Mid Cap Growth AlphaDEX Fund positions in Q3 2019 and 5 closed out, a net change of +16 holders.
  • The largest First Trust Mid Cap Growth AlphaDEX Fund buyer in Q3 2019 was Morgan Stanley, an estimated $4.16M added.
  • The largest First Trust Mid Cap Growth AlphaDEX Fund seller in Q3 2019 was Raymond James Financial Services Advisors, an estimated $4.32M sold.

Based on aggregated 13F filings for Q3 2019.