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First Trust Large Cap Value AlphaDEX Fund
FTA

60 hedge funds and large institutions have $564M invested in First Trust Large Cap Value AlphaDEX Fund in 2014 Q2 according to their latest regulatory filings, with 11 funds opening new positions, 35 increasing their positions, 8 reducing their positions, and 4 closing their positions.

New
Increased
Maintained
Reduced
Closed

338% more repeat investments, than reductions

Existing positions increased: 35 | Existing positions reduced: 8

175% more first-time investments, than exits

New positions opened: 11 | Existing positions closed: 4

23% more capital invested

Capital invested by funds: $457M → $564M (+$107M)

13% more funds holding

Funds holding: 53 → 60 (+7)

0% more funds holding in top 10

Funds holding in top 10: 2 → 2 (0)

3.89% less ownership

Funds ownership: 59.14% → 55.25% (-3.9%)

Holders
60
Holders Change
+7
Holders Change %
+13.21%
% of All Funds
1.72%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.06%
New
11
Increased
35
Reduced
8
Closed
4
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Morgan Stanley
Morgan Stanley
New York
+$35.7M
2
U
UBS
Switzerland
+$13.9M
3
Wells Fargo
Wells Fargo
California
+$7.76M
4
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
+$7.5M
5
Bank of America
Bank of America
North Carolina
+$6.54M

Top Sellers

Rank Fund Capital Flow
1
ICM
ICC Capital Management
Florida
-$5.98M
2
Goldman Sachs
Goldman Sachs
New York
-$1.32M
3
CA
Cetera Advisors
Colorado
-$942K
4
First Trust Advisors
First Trust Advisors
Illinois
-$592K
5
BIT
BlackRock Institutional Trust
California
-$456K
Name Holding Trade Value Shares
Change 		Change in
Stake
ICOA
26
Investment Centers of America
North Dakota
$994K +$669K +15,876 +229%
FAAS
27
First Allied Advisory Services
California
$928K +$359K +8,513 +67%
RJFSA
28
Raymond James Financial Services Advisors
Florida
$889K +$19.3K +459 +2%
BIT
29
BlackRock Institutional Trust
California
$821K -$456K -10,819 -36%
Stifel Financial
30
Stifel Financial
Missouri
$723K +$58.4K +1,385 +9%
William Blair & Company
31
William Blair & Company
Illinois
$714K – – –
LTFS
32
Ladenburg Thalmann Financial Services
Florida
$695K +$398K +9,441 +145%
PAG
33
Private Advisor Group
New Jersey
$667K +$395K +9,374 +157%
JP Morgan Chase
34
JP Morgan Chase
New York
$588K +$103K +2,454 +22%
Cambridge Investment Research Advisors
35
Cambridge Investment Research Advisors
Iowa
$503K +$43.2K +1,024 +10%
SF
36
Synovus Financial
Georgia
$408K – – –
MIAN
37
Mariner Independent Advisor Network
Kansas
$378K +$366K +8,685 New
WFG
38
Wills Financial Group
Virginia
$372K – – –
NES
39
New England Securities
New York
$366K +$108K +2,565 +44%
Brown Advisory
40
Brown Advisory
Maryland
$326K +$316K +7,500 New
SHA
41
Smith Hayes Advisers
Nebraska
$321K +$48.5K +1,150 +18%
JCM
42
Janney Capital Management
Pennsylvania
$309K – – –
BAS
43
Brown Advisory Securities
Maryland
$281K +$182K +4,325 New
MFS
44
MSI Financial Services
Massachusetts
$268K +$151K +3,572 +138%
FHC
45
First Heartland Consultants
Missouri
$210K +$203K +4,828 New
AA
46
Ancora Advisors
Ohio
$208K +$201K +4,769 New
DADC
47
D.A. Davidson & Co
Montana
$126K – – –
Fifth Third Bancorp
48
Fifth Third Bancorp
Ohio
$106K +$83.7K +1,986 +437%
Northwestern Mutual Wealth Management
49
Northwestern Mutual Wealth Management
Wisconsin
$98K +$95.2K +2,260 New
PTC
50
Private Trust Company
Ohio
$78K +$49.8K +1,181 +194%
1
2
3

FTA Hedge Fund Activity: Q2 2014 in Review

60 of the 3,479 institutional investors tracked by Wall St. Rank reported a position in First Trust Large Cap Value AlphaDEX Fund (FTA) for Q2 2014, worth a combined $564M — up 23% from $457M a quarter earlier.

Buyers outnumbered sellers: 11 funds opened new FTA positions and 4 closed out — a net gain of 7 holders — while 35 added to existing stakes and 8 trimmed.

The largest buyer was Morgan Stanley, adding an estimated $35.7M. The largest seller was ICC Capital Management, exiting entirely with an estimated $5.98M sold.

  • 60 institutional investors held First Trust Large Cap Value AlphaDEX Fund (FTA) as of Q2 2014, up from 53 in Q1 2014.
  • Funds reported $564M of First Trust Large Cap Value AlphaDEX Fund stock for Q2 2014, up 23% quarter-over-quarter.
  • 11 funds opened new First Trust Large Cap Value AlphaDEX Fund positions in Q2 2014 and 4 closed out, a net change of +7 holders.
  • The largest First Trust Large Cap Value AlphaDEX Fund buyer in Q2 2014 was Morgan Stanley, an estimated $35.7M added.
  • The largest First Trust Large Cap Value AlphaDEX Fund seller in Q2 2014 was ICC Capital Management, an estimated $5.98M sold.

Based on aggregated 13F filings for Q2 2014.