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First Trust Large Cap Growth AlphaDEX Fund

26 hedge funds and large institutions have $115M invested in First Trust Large Cap Growth AlphaDEX Fund in 2013 Q4 according to their latest regulatory filings, with 3 funds opening new positions, 16 increasing their positions, 4 reducing their positions, and 4 closing their positions.

New
Increased
Maintained
Reduced
Closed

300% more repeat investments, than reductions

Existing positions increased: 16 | Existing positions reduced: 4

50% more capital invested

Capital invested by funds: $76.7M → $115M (+$38.1M)

6.22% more ownership

Funds ownership: 43.39%49.61% (+6.2%)

4% less funds holding

Funds holding: 2726 (-1)

25% less first-time investments, than exits

New positions opened: 3 | Existing positions closed: 4

Holders
26
Holders Change
-1
Holders Change %
-3.7%
% of All Funds
0.75%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
3
Increased
16
Reduced
4
Closed
4
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$50.8M +$7.81M +200,457 +19%
U
2
UBS
Switzerland
$16.4M +$11.1M +285,950 +249%
LPL Financial
3
LPL Financial
California
$9.16M +$3.32M +85,370 +62%
Bank of America
4
Bank of America
North Carolina
$8.38M +$2.45M +62,903 +44%
Wells Fargo
5
Wells Fargo
California
$7.22M +$189K +4,852 +3%
Susquehanna International Group
6
Susquehanna International Group
Pennsylvania
$5.25M +$3.94M +101,249 +380%
HFS
7
HL Financial Services
Kentucky
$3.07M +$63.8K +1,638 +2%
Goldman Sachs
8
Goldman Sachs
New York
$2.54M +$2.41M +61,896 New
CA
9
Cetera Advisors
Colorado
$2.24M +$163K +4,179 +8%
First Trust Advisors
10
First Trust Advisors
Illinois
$2.06M -$229K -5,874 -10%
AIG
11
American International Group
New York
$1.7M +$24.4K +627 +2%
Janney Montgomery Scott
12
Janney Montgomery Scott
Pennsylvania
$1.42M +$31K +797 +2%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$1.1M -$1.45M -37,340 -58%
Ameriprise
14
Ameriprise
Minnesota
$1.03M -$155K -3,984 -14%
CS
15
Comerica Securities
Michigan
$546K +$126K +3,234 +32%
RJA
16
Raymond James & Associates
Florida
$501K +$84.6K +2,173 +22%
SF
17
Synovus Financial
Georgia
$293K
Commonwealth Equity Services
18
Commonwealth Equity Services
Massachusetts
$264K +$251K +6,446 New
VFS
19
VSR Financial Services
Kansas
$213K +$203K +5,201 New
NES
20
New England Securities
New York
$159K +$13.1K +336 +9%
DADC
21
D.A. Davidson & Co
Montana
$132K +$70.1K +1,800 +126%
WA
22
WFG Advisors
Texas
$125K +$20.3K +522 +21%
Citigroup
23
Citigroup
New York
$95K +$44.5K +1,144 +96%
Fifth Third Bancorp
24
Fifth Third Bancorp
Ohio
$56K
LTFS
25
Ladenburg Thalmann Financial Services
Florida
$54K

FTC Hedge Fund Activity: Q4 2013 in Review

26 of the 3,445 institutional investors tracked by Wall St. Rank reported a position in First Trust Large Cap Growth AlphaDEX Fund (FTC) for Q4 2013, worth a combined $115M — up 50% from $76.7M a quarter earlier.

Sellers outnumbered buyers: 4 funds closed out of FTC and 3 opened new positions — a net loss of 1 holder — while 4 trimmed existing stakes and 16 added.

The largest buyer was UBS, adding an estimated $11.1M. The largest seller was Royal Bank of Canada, cutting an estimated $1.45M.

  • 26 institutional investors held First Trust Large Cap Growth AlphaDEX Fund (FTC) as of Q4 2013, down from 27 in Q3 2013.
  • Funds reported $115M of First Trust Large Cap Growth AlphaDEX Fund stock for Q4 2013, up 50% quarter-over-quarter.
  • 3 funds opened new First Trust Large Cap Growth AlphaDEX Fund positions in Q4 2013 and 4 closed out, a net change of -1 holder.
  • The largest First Trust Large Cap Growth AlphaDEX Fund buyer in Q4 2013 was UBS, an estimated $11.1M added.
  • The largest First Trust Large Cap Growth AlphaDEX Fund seller in Q4 2013 was Royal Bank of Canada, an estimated $1.45M sold.

Based on aggregated 13F filings for Q4 2013.