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First Trust Large Cap Value AlphaDEX Fund

138 hedge funds and large institutions have $860M invested in First Trust Large Cap Value AlphaDEX Fund in 2019 Q4 according to their latest regulatory filings, with 33 funds opening new positions, 34 increasing their positions, 54 reducing their positions, and 7 closing their positions.

New
Increased
Maintained
Reduced
Closed

371% more first-time investments, than exits

New positions opened: 33 | Existing positions closed: 7

21% more funds holding

Funds holding: 114138 (+24)

15% more capital invested

Capital invested by funds: $748M → $860M (+$112M)

5.51% more ownership

Funds ownership: 67.82%73.33% (+5.5%)

0% more funds holding in top 10

Funds holding in top 10: 55 (0)

37% less repeat investments, than reductions

Existing positions increased: 34 | Existing positions reduced: 54

Holders
138
Holders Change
+24
Holders Change %
+21.05%
% of All Funds
2.72%
Holding in Top 10
5
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
0.1%
New
33
Increased
34
Reduced
54
Closed
7
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$220M +$1.45M +27,035 +0.7%
UBS Group
2
UBS Group
Switzerland
$75.4M -$1.1M -20,483 -2%
TIM
3
Total Investment Management
Arizona
$56.9M +$609K +11,367 +1%
GSWM
4
Golden State Wealth Management
California
$56.9M +$54M +1,006,379 New
Wells Fargo
5
Wells Fargo
California
$43.5M -$1.23M -22,875 -3%
LPL Financial
6
LPL Financial
California
$40.8M -$1M -18,721 -3%
Envestnet Asset Management
7
Envestnet Asset Management
Illinois
$37.9M -$5.08M -94,843 -12%
Bank of America
8
Bank of America
North Carolina
$35.5M +$2.66M +49,592 +9%
RJFSA
9
Raymond James Financial Services Advisors
Florida
$35.2M -$7.9M -147,372 -19%
PAG
10
Private Advisor Group
New Jersey
$22.1M +$2.13M +39,737 +11%
PI
11
PFS Investments
Georgia
$20M -$8.88M -165,689 -32%
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$18.3M +$379K +7,073 +2%
RJA
13
Raymond James & Associates
Florida
$12.4M +$2.38M +44,466 +25%
AG
14
Advisor Group
Arizona
$11.2M -$3.36M -62,764 -24%
Baird Financial Group
15
Baird Financial Group
Wisconsin
$10.2M +$1.2M +22,364 +14%
PCM
16
Peak Capital Management
Colorado
$8.26M +$996K +18,569 +14%
RWMH
17
Riverpoint Wealth Management Holdings
Illinois
$7.39M -$2.52M -47,003 -26%
Truist Financial
18
Truist Financial
North Carolina
$7.21M +$6.84M +127,610 New
Commonwealth Equity Services
19
Commonwealth Equity Services
Massachusetts
$7.04M -$607K -11,320 -8%
GIA
20
Gladstone Institutional Advisory
Florida
$6.63M -$3.79M -70,601 -38%
Janney Montgomery Scott
21
Janney Montgomery Scott
Pennsylvania
$5.98M -$101K -1,887 -2%
CS
22
Credit Suisse
Switzerland
$5.42M +$3.46M +64,514 +205%
DADC
23
D.A. Davidson & Co
Montana
$5.19M +$341K +6,367 +7%
RIA
24
Regal Investment Advisors
Michigan
$4.55M +$207K +3,865 +5%
FAAS
25
First Allied Advisory Services
California
$4.37M -$749K -13,964 -15%

FTA Hedge Fund Activity: Q4 2019 in Review

138 of the 5,075 institutional investors tracked by Wall St. Rank reported a position in First Trust Large Cap Value AlphaDEX Fund (FTA) for Q4 2019, worth a combined $860M — up 15% from $748M a quarter earlier.

Buyers outnumbered sellers: 33 funds opened new FTA positions and 7 closed out — a net gain of 26 holders — while 34 added to existing stakes and 54 trimmed.

The largest buyer was Golden State Wealth Management, opening a new position worth an estimated $54M. The largest seller was PFS Investments, cutting an estimated $8.88M.

  • 138 institutional investors held First Trust Large Cap Value AlphaDEX Fund (FTA) as of Q4 2019, up from 114 in Q3 2019.
  • Funds reported $860M of First Trust Large Cap Value AlphaDEX Fund stock for Q4 2019, up 15% quarter-over-quarter.
  • 33 funds opened new First Trust Large Cap Value AlphaDEX Fund positions in Q4 2019 and 7 closed out, a net change of +26 holders.
  • The largest First Trust Large Cap Value AlphaDEX Fund buyer in Q4 2019 was Golden State Wealth Management, an estimated $54M added.
  • The largest First Trust Large Cap Value AlphaDEX Fund seller in Q4 2019 was PFS Investments, an estimated $8.88M sold.

Based on aggregated 13F filings for Q4 2019.