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First Trust Large Cap Growth AlphaDEX Fund
FTC

Overview Fund Activity

48 hedge funds and large institutions have $230M invested in First Trust Large Cap Growth AlphaDEX Fund in 2014 Q3 according to their latest regulatory filings, with 10 funds opening new positions, 22 increasing their positions, 11 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
48
Holders Change
+7
Holders Change %
+17.07%
% of All Funds
1.39%
Holding in Top 10
3
Holding in Top 10 Change
+3
Holding in Top 10 Change %
%
% of All Funds
0.09%
New
10
Increased
22
Reduced
11
Closed
3
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
SAM
1
Shamrock Asset Management
Texas
$28.2M
2
HA
2
Hays Advisory
Tennessee
$21.8M
3
U
3
UBS
Switzerland
$24.4M
4
Wells Fargo
4
Wells Fargo
California
$12.2M
5
Morgan Stanley
5
Morgan Stanley
New York
$71.4M

Top Sellers

1
Royal Bank of Canada
1
Royal Bank of Canada
Ontario, Canada
$1.15M
2
CS
2
Comerica Securities
Michigan
$0
3
SI
3
Stephens Inc
Arkansas
$1.62M
4
JPMorgan Chase & Co
4
JPMorgan Chase & Co
New York
$0
5
Deutsche Bank
5
Deutsche Bank
Germany
$1.87M
Name Holding Trade Value Shares
Change 		Shares
Change %
FHC
26
First Heartland Consultants
Missouri
$647K +$135K +3,112 +26%
MIAN
27
Mariner Independent Advisor Network
Kansas
$409K +$38.7K +890 +10%
PI
28
Placemark Investments
Illinois
$340K +$340K +7,836 New
SF
29
Synovus Financial
Georgia
$311K – – –
Commonwealth Equity Services
30
Commonwealth Equity Services
Massachusetts
$308K +$19.9K +456 +7%
Cambridge Investment Research Advisors
31
Cambridge Investment Research Advisors
Iowa
$266K +$23.2K +531 +10%
PFS
32
Prospera Financial Services
Texas
$245K +$245K +5,640 New
DADC
33
D.A. Davidson & Co
Montana
$217K +$17.4K +400 +9%
IH
34
IFC Holdings
Florida
$216K -$10.5K -241 -5%
PAG
35
Private Advisor Group
New Jersey
$207K -$18.6K -428 -8%
WA
36
WFG Advisors
Texas
$140K -$6.58K -151 -4%
Citigroup
37
Citigroup
New York
$123K +$14K +323 +13%
Envestnet Asset Management
38
Envestnet Asset Management
Illinois
$120K +$111K +2,543 +1,183%
IPC
39
Independent Portfolio Consultants
Florida
$102K +$102K +2,345 New
Northwestern Mutual Wealth Management
40
Northwestern Mutual Wealth Management
Wisconsin
$94K – – –
PTC
41
Private Trust Company
Ohio
$78K – – –
BRWM
42
B. Riley Wealth Management
Tennessee
$76K +$76K +1,753 New
MFS
43
MSI Financial Services
Massachusetts
$23K +$6.08K +140 +36%
NES
44
New England Securities
New York
$22K -$48.1K -1,108 -69%
NFG
45
Next Financial Group
Texas
$22K -$9.12K -211 -29%
Fifth Third Bancorp
46
Fifth Third Bancorp
Ohio
$12K – – –
Creative Planning
47
Creative Planning
Kansas
$3K +$3K +65 New
AllianceBernstein
48
AllianceBernstein
Tennessee
$3K +$3K +71 New
CS
49
Comerica Securities
Michigan
– -$602K -13,741 Closed
JPMorgan Chase & Co
50
JPMorgan Chase & Co
New York
– -$201K -4,589 Closed
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2
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