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First Trust Large Cap Value AlphaDEX Fund
FTA

41 hedge funds and large institutions have $285M invested in First Trust Large Cap Value AlphaDEX Fund in 2013 Q3 according to their latest regulatory filings, with 9 funds opening new positions, 20 increasing their positions, 6 reducing their positions, and 6 closing their positions.

New
Increased
Maintained
Reduced
Closed

233% more repeat investments, than reductions

Existing positions increased: 20 | Existing positions reduced: 6

100% more funds holding in top 10

Funds holding in top 10: 1 → 2 (+1)

50% more first-time investments, than exits

New positions opened: 9 | Existing positions closed: 6

17% more capital invested

Capital invested by funds: $243M → $285M (+$41.7M)

5% more funds holding

Funds holding: 39 → 41 (+2)

0.44% less ownership

Funds ownership: 58.16% → 57.72% (-0.44%)

Holders
41
Holders Change
+2
Holders Change %
+5.13%
% of All Funds
1.33%
Holding in Top 10
2
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+100%
% of All Funds
0.06%
New
9
Increased
20
Reduced
6
Closed
6
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Morgan Stanley
Morgan Stanley
New York
+$11.9M
2
U
UBS
Switzerland
+$3.97M
3
LPL Financial
LPL Financial
California
+$3.37M
4
Janney Montgomery Scott
Janney Montgomery Scott
Pennsylvania
+$2M
5
Bank of America
Bank of America
North Carolina
+$1.95M

Top Sellers

1
First Trust Advisors
First Trust Advisors
Illinois
-$4.28M
2
BAAM
Baker Avenue Asset Management
California
-$2.49M
3
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$1.28M
4
Wells Fargo
Wells Fargo
California
-$846K
5
RJFSA
Raymond James Financial Services Advisors
Florida
-$515K
Name Holding Trade Value Shares
Change 		Change in
Stake
SF
26
Synovus Financial
Georgia
$344K – – –
Deutsche Bank
27
Deutsche Bank
Germany
$332K +$127K +3,468 +62%
LTFS
28
Ladenburg Thalmann Financial Services
Florida
$318K +$9.66K +264 +3%
Comerica Bank
29
Comerica Bank
Texas
$312K +$51.1K +1,396 +20%
ICOA
30
Investment Centers of America
North Dakota
$257K +$254K +6,937 New
SHA
31
Smith Hayes Advisers
Nebraska
$214K +$214K +5,840 New
FAAS
32
First Allied Advisory Services
California
$208K +$207K +5,662 New
PAS
33
Partnervest Advisory Services
California
$136K +$110K +3,000 +429%
Citigroup
34
Citigroup
New York
$76K – – –
DADC
35
D.A. Davidson & Co
Montana
$51K – – –
NES
36
New England Securities
New York
$45K +$37.1K +1,014 +507%
Envestnet Asset Management
37
Envestnet Asset Management
Illinois
$27K -$2.42K -66 -8%
WA
38
WFG Advisors
Texas
$18K – – –
Fifth Third Bancorp
39
Fifth Third Bancorp
Ohio
$17K – – –
Creative Planning
40
Creative Planning
Kansas
$10K +$9.52K +260 New
MFS
41
MSI Financial Services
Massachusetts
$10K +$9.55K +261 New
BAAM
42
Baker Avenue Asset Management
California
– -$2.49M -71,354 Closed
RJFSA
43
Raymond James Financial Services Advisors
Florida
– -$515K -14,769 Closed
NA
44
Navellier & Associates
Nevada
– -$244K -7,000 Closed
Nomura Holdings
45
Nomura Holdings
Japan
– -$206K -5,900 Closed
FHC
46
First Heartland Consultants
Missouri
– -$118K -3,368 Closed
CW
47
Cobiz Wealth
Colorado
– -$31K -875 Closed
1
2

FTA Hedge Fund Activity: Q3 2013 in Review

41 of the 3,084 institutional investors tracked by Wall St. Rank reported a position in First Trust Large Cap Value AlphaDEX Fund (FTA) for Q3 2013, worth a combined $285M — up 17% from $243M a quarter earlier.

Buyers outnumbered sellers: 9 funds opened new FTA positions and 6 closed out — a net gain of 3 holders — while 20 added to existing stakes and 6 trimmed.

The largest buyer was Morgan Stanley, adding an estimated $11.9M. The largest seller was First Trust Advisors, cutting an estimated $4.28M.

  • 41 institutional investors held First Trust Large Cap Value AlphaDEX Fund (FTA) as of Q3 2013, up from 39 in Q2 2013.
  • Funds reported $285M of First Trust Large Cap Value AlphaDEX Fund stock for Q3 2013, up 17% quarter-over-quarter.
  • 9 funds opened new First Trust Large Cap Value AlphaDEX Fund positions in Q3 2013 and 6 closed out, a net change of +3 holders.
  • The largest First Trust Large Cap Value AlphaDEX Fund buyer in Q3 2013 was Morgan Stanley, an estimated $11.9M added.
  • The largest First Trust Large Cap Value AlphaDEX Fund seller in Q3 2013 was First Trust Advisors, an estimated $4.28M sold.

Based on aggregated 13F filings for Q3 2013.