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First Trust Large Cap Growth AlphaDEX Fund
FTC

64 hedge funds and large institutions have $364M invested in First Trust Large Cap Growth AlphaDEX Fund in 2016 Q4 according to their latest regulatory filings, with 6 funds opening new positions, 20 increasing their positions, 23 reducing their positions, and 6 closing their positions.

New
Increased
Maintained
Reduced
Closed

100% more funds holding in top 10

Funds holding in top 10: 2 → 4 (+2)

9.57% more ownership

Funds ownership: 52.41% → 61.98% (+9.6%)

2% more capital invested

Capital invested by funds: $358M → $364M (+$5.89M)

0% more first-time investments, than exits

New positions opened: 6 | Existing positions closed: 6

2% less funds holding

Funds holding: 65 → 64 (-1)

13% less repeat investments, than reductions

Existing positions increased: 20 | Existing positions reduced: 23

Holders
64
Holders Change
-1
Holders Change %
-1.54%
% of All Funds
1.6%
Holding in Top 10
4
Holding in Top 10 Change
+2
Holding in Top 10 Change %
+100%
% of All Funds
0.1%
New
6
Increased
20
Reduced
23
Closed
6
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
WI
Wintrust Investments
Illinois
+$2.46M
2
Wells Fargo
Wells Fargo
California
+$2.21M
3
Morgan Stanley
Morgan Stanley
New York
+$1.73M
4
Bank of America
Bank of America
North Carolina
+$1.4M
5
SB
Suntrust Banks
Georgia
+$1.34M

Top Sellers

1
Stifel Financial
Stifel Financial
Missouri
-$3.94M
2
CS
Credit Suisse
Switzerland
-$1.86M
3
Ameriprise
Ameriprise
Minnesota
-$1.85M
4
TFA
Transamerica Financial Advisors
Florida
-$1.21M
5
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$1.08M
Name Holding Trade Value Shares
Change 		Change in
Stake
CFD
26
Creative Financial Designs
Indiana
$1.44M +$1.44M +29,287 New
SG Americas Securities
27
SG Americas Securities
New York
$1.37M -$449K -9,131 -25%
KF
28
Krilogy Financial
Missouri
$1.34M -$565K -11,501 -30%
SB
29
Suntrust Banks
Georgia
$1.34M +$1.34M +27,373 New
Citigroup
30
Citigroup
New York
$1.14M +$3.98K +81 +0.3%
AG
31
Advisor Group
Arizona
$1.14M -$193K -3,922 -14%
SCA
32
Snowden Capital Advisors
New York
$1.13M +$228K +4,642 +25%
LTFS
33
Ladenburg Thalmann Financial Services
Florida
$991K +$82.7K +1,683 +9%
Commonwealth Equity Services
34
Commonwealth Equity Services
Massachusetts
$871K -$209K -4,260 -19%
PNC Financial Services Group
35
PNC Financial Services Group
Pennsylvania
$815K -$147 -3 -0%
Susquehanna International Group
36
Susquehanna International Group
Pennsylvania
$807K -$1.08M -22,003 -57%
HighTower Advisors
37
HighTower Advisors
Illinois
$779K +$20.5K +418 +3%
US Bancorp
38
US Bancorp
Minnesota
$772K -$26.2K -533 -3%
Cetera Investment Advisers
39
Cetera Investment Advisers
Illinois
$592K -$147K -2,989 -20%
BTS
40
BB&T Securities
Virginia
$558K – – –
PAG
41
Private Advisor Group
New Jersey
$491K -$25.7K -524 -5%
OC
42
Oppenheimer & Co
New York
$472K -$22.6K -460 -5%
ICOA
43
Investment Centers of America
North Dakota
$451K +$26.4K +538 +6%
SWP
44
Stratos Wealth Partners
Ohio
$431K – – –
CAN
45
Cetera Advisor Networks
California
$430K -$465K -9,459 -52%
WA
46
WFG Advisors
Texas
$396K -$38.3K -779 -9%
SF
47
Synovus Financial
Georgia
$341K – – –
LI
48
LVZ Inc
Michigan
$291K – – –
CS
49
Credit Suisse
Switzerland
$276K -$1.86M -37,801 -87%
VFA
50
Voya Financial Advisors
Connecticut
$214K +$14.3K +292 +7%
1
2
3

FTC Hedge Fund Activity: Q4 2016 in Review

64 of the 4,000 institutional investors tracked by Wall St. Rank reported a position in First Trust Large Cap Growth AlphaDEX Fund (FTC) for Q4 2016, worth a combined $364M — up 1.6% from $358M a quarter earlier.

Fund positioning in FTC was balanced in Q4 2016: 6 funds opened new positions, 6 closed out, 20 added to existing stakes and 23 trimmed.

The largest buyer was Wintrust Investments, opening a new position worth an estimated $2.46M. The largest seller was Stifel Financial, cutting an estimated $3.94M.

  • 64 institutional investors held First Trust Large Cap Growth AlphaDEX Fund (FTC) as of Q4 2016, down from 65 in Q3 2016.
  • Funds reported $364M of First Trust Large Cap Growth AlphaDEX Fund stock for Q4 2016, up 1.6% quarter-over-quarter.
  • 6 funds opened new First Trust Large Cap Growth AlphaDEX Fund positions in Q4 2016 and 6 closed out, a net change of 0 holders.
  • The largest First Trust Large Cap Growth AlphaDEX Fund buyer in Q4 2016 was Wintrust Investments, an estimated $2.46M added.
  • The largest First Trust Large Cap Growth AlphaDEX Fund seller in Q4 2016 was Stifel Financial, an estimated $3.94M sold.

Based on aggregated 13F filings for Q4 2016.