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First Trust Large Cap Value AlphaDEX Fund
FTA

75 hedge funds and large institutions have $488M invested in First Trust Large Cap Value AlphaDEX Fund in 2016 Q3 according to their latest regulatory filings, with 4 funds opening new positions, 23 increasing their positions, 35 reducing their positions, and 6 closing their positions.

New
Increased
Maintained
Reduced
Closed

0% less capital invested

Capital invested by funds: $488M → $488M (-$427K)

3.86% less ownership

Funds ownership: 59.78% → 55.92% (-3.9%)

5% less funds holding

Funds holding: 79 → 75 (-4)

33% less first-time investments, than exits

New positions opened: 4 | Existing positions closed: 6

34% less repeat investments, than reductions

Existing positions increased: 23 | Existing positions reduced: 35

Holders
75
Holders Change
-4
Holders Change %
-5.06%
% of All Funds
2%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
4
Increased
23
Reduced
35
Closed
6
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
SG Americas Securities
SG Americas Securities
New York
+$2.61M
2
RJA
Raymond James & Associates
Florida
+$2.49M
3
Cambridge Investment Research Advisors
Cambridge Investment Research Advisors
Iowa
+$2.25M
4
Wells Fargo
Wells Fargo
California
+$1.13M
5
Janney Montgomery Scott
Janney Montgomery Scott
Pennsylvania
+$1.01M

Top Sellers

1
HI
Horizon Investments
North Carolina
-$7.32M
2
UBS Group
UBS Group
Switzerland
-$6.3M
3
Bank of America
Bank of America
North Carolina
-$5.76M
4
Morgan Stanley
Morgan Stanley
New York
-$4.71M
5
CS
Credit Suisse
Switzerland
-$3.11M
Name Holding Trade Value Shares
Change 		Change in
Stake
JCM
51
Janney Capital Management
Pennsylvania
$278K +$126 +3 +0%
US Bancorp
52
US Bancorp
Minnesota
$253K -$14K -333 -5%
ICOA
53
Investment Centers of America
North Dakota
$252K -$345K -8,215 -58%
IA
54
IFP Advisors
Florida
$239K -$442K -10,531 -65%
NFG
55
Next Financial Group
Texas
$229K +$103K +2,447 +84%
MCM
56
Mengis Capital Management
Oregon
$223K +$220K +5,248 New
WA
57
WFG Advisors
Texas
$158K -$16.5K -394 -10%
Envestnet Asset Management
58
Envestnet Asset Management
Illinois
$96K -$88K -2,097 -48%
WEC
59
Winslow Evans & Crocker
Massachusetts
$49.6K – – –
AssetMark Inc
60
AssetMark Inc
California
$42K – – –
Fifth Third Bancorp
61
Fifth Third Bancorp
Ohio
$36K – – –
Manulife (Manufacturers Life Insurance)
62
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$36K – – –
ST
63
Smithfield Trust
Pennsylvania
$26K – – –
ASN
64
Advisory Services Network
Georgia
$21K – – –
WRM
65
Westport Resources Management
Connecticut
$21K – – –
CFA
66
Carroll Financial Associates
North Carolina
$20K – – –
AWM
67
Avior Wealth Management
Nebraska
$18K +$84 +2 +0.5%
Carson Wealth (CWM LLC)
68
Carson Wealth (CWM LLC)
Nebraska
$15K – – –
IWMPD
69
Integrated Wealth Management (Palm Desert)
California
$15K +$15K +358 New
KLI
70
Kelman-Lazarov Inc
Tennessee
$10.6K -$1.09M -26,000 -99%
MA
71
MCF Advisors
Kentucky
$9K – – –
GWM
72
Geneos Wealth Management
Colorado
$8K -$76K -1,811 -90%
AIM
73
Advantage Investment Management
Iowa
$3K -$84.4K -2,013 -97%
BlackRock
74
BlackRock
New York
$1K – – –
Susquehanna International Group
75
Susquehanna International Group
Pennsylvania
– -$1.7M -42,558 Closed
1 2
3
4

FTA Hedge Fund Activity: Q3 2016 in Review

75 of the 3,748 institutional investors tracked by Wall St. Rank reported a position in First Trust Large Cap Value AlphaDEX Fund (FTA) for Q3 2016, worth a combined $488M — down 0.09% from $488M a quarter earlier.

Sellers outnumbered buyers: 6 funds closed out of FTA and 4 opened new positions — a net loss of 2 holders — while 35 trimmed existing stakes and 23 added.

The largest buyer was SG Americas Securities, adding an estimated $2.61M. The largest seller was Horizon Investments, cutting an estimated $7.32M.

  • 75 institutional investors held First Trust Large Cap Value AlphaDEX Fund (FTA) as of Q3 2016, down from 79 in Q2 2016.
  • Funds reported $488M of First Trust Large Cap Value AlphaDEX Fund stock for Q3 2016, down 0.09% quarter-over-quarter.
  • 4 funds opened new First Trust Large Cap Value AlphaDEX Fund positions in Q3 2016 and 6 closed out, a net change of -2 holders.
  • The largest First Trust Large Cap Value AlphaDEX Fund buyer in Q3 2016 was SG Americas Securities, an estimated $2.61M added.
  • The largest First Trust Large Cap Value AlphaDEX Fund seller in Q3 2016 was Horizon Investments, an estimated $7.32M sold.

Based on aggregated 13F filings for Q3 2016.