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First Trust Asia Pacific ex-Japan AlphaDEX Fund

14 hedge funds and large institutions have $23M invested in First Trust Asia Pacific ex-Japan AlphaDEX Fund in 2014 Q4 according to their latest regulatory filings, with 6 funds opening new positions, 4 increasing their positions, 4 reducing their positions, and 10 closing their positions.

New
Increased
Maintained
Reduced
Closed

0% more repeat investments, than reductions

Existing positions increased: 4 | Existing positions reduced: 4

25.46% less ownership

Funds ownership: 91.36%65.9% (-25%)

30% less funds holding

Funds holding: 2014 (-6)

40% less first-time investments, than exits

New positions opened: 6 | Existing positions closed: 10

83% less capital invested

Capital invested by funds: $131M → $23M (-$108M)

Holders
14
Holders Change
-6
Holders Change %
-30%
% of All Funds
0.37%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
6
Increased
4
Reduced
4
Closed
10
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$12.5M +$4.49M +153,979 +53%
RJA
2
Raymond James & Associates
Florida
$4.24M +$4.44M +152,084 New
Susquehanna International Group
3
Susquehanna International Group
Pennsylvania
$2.31M +$1.94M +66,332 +404%
JG
4
Jefferies Group
New York
$1.07M -$8.18M -280,258 -88%
SAM
5
SignalPoint Asset Management
Missouri
$1.01M +$1.06M +36,303 New
Bank of America
6
Bank of America
North Carolina
$528K +$9.98K +342 +2%
UBS Group
7
UBS Group
Switzerland
$356K +$372K +12,752 New
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$346K -$4.24M -145,382 -92%
LPL Financial
9
LPL Financial
California
$330K +$121K +4,149 +54%
Stifel Financial
10
Stifel Financial
Missouri
$258K -$1.69K -58 -0.6%
NPC
11
National Planning Corporation
California
$40.6K +$42.3K +1,448 New
Wells Fargo
12
Wells Fargo
California
$23K -$34.2K -1,171 -59%
BWA
13
Burt Wealth Advisors
Maryland
$9K +$9.19K +315 New
FSIM
14
F-Squared Investment Management
Massachusetts
-$103M -3,410,981 Closed
PI
15
Placemark Investments
Illinois
-$1.11M -36,815 Closed
Envestnet Asset Management
16
Envestnet Asset Management
Illinois
-$834K -27,566 Closed
Jane Street
17
Jane Street
New York
-$781K -25,824 Closed
WEC
18
Winslow Evans & Crocker
Massachusetts
-$40.3K -1,332 Closed
TRCT
19
Tower Research Capital (TRC)
New York
-$15K -500 Closed
Northwestern Mutual Wealth Management
20
Northwestern Mutual Wealth Management
Wisconsin
-$12K -381 Closed
SAM
21
Shamrock Asset Management
Texas
-$8K -255 Closed
Ameriprise
22
Ameriprise
Minnesota
-$7K -239 Closed
Citigroup
23
Citigroup
New York
-$7K -216 Closed
Parallax Volatility Advisers
24
Parallax Volatility Advisers
California
+$29 +1 New

FPA Hedge Fund Activity: Q4 2014 in Review

14 of the 3,750 institutional investors tracked by Wall St. Rank reported a position in First Trust Asia Pacific ex-Japan AlphaDEX Fund (FPA) for Q4 2014, worth a combined $23M — down 83% from $131M a quarter earlier.

Sellers outnumbered buyers: 10 funds closed out of FPA and 6 opened new positions — a net loss of 4 holders — while 4 trimmed existing stakes and 4 added.

The largest buyer was Morgan Stanley, adding an estimated $4.49M. The largest seller was F-Squared Investment Management, exiting entirely with an estimated $103M sold.

  • 14 institutional investors held First Trust Asia Pacific ex-Japan AlphaDEX Fund (FPA) as of Q4 2014, down from 20 in Q3 2014.
  • Funds reported $23M of First Trust Asia Pacific ex-Japan AlphaDEX Fund stock for Q4 2014, down 83% quarter-over-quarter.
  • 6 funds opened new First Trust Asia Pacific ex-Japan AlphaDEX Fund positions in Q4 2014 and 10 closed out, a net change of -4 holders.
  • The largest First Trust Asia Pacific ex-Japan AlphaDEX Fund buyer in Q4 2014 was Morgan Stanley, an estimated $4.49M added.
  • The largest First Trust Asia Pacific ex-Japan AlphaDEX Fund seller in Q4 2014 was F-Squared Investment Management, an estimated $103M sold.

Based on aggregated 13F filings for Q4 2014.