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First Trust Health Care AlphaDEX Fund
FXH

116 hedge funds and large institutions have $412M invested in First Trust Health Care AlphaDEX Fund in 2016 Q4 according to their latest regulatory filings, with 16 funds opening new positions, 25 increasing their positions, 56 reducing their positions, and 31 closing their positions.

New
Increased
Maintained
Reduced
Closed

0.28% less ownership

Funds ownership: 47.65% → 47.38% (-0.28%)

13% less funds holding

Funds holding: 133 → 116 (-17)

23% less capital invested

Capital invested by funds: $536M → $412M (-$124M)

48% less first-time investments, than exits

New positions opened: 16 | Existing positions closed: 31

55% less repeat investments, than reductions

Existing positions increased: 25 | Existing positions reduced: 56

67% less funds holding in top 10

Funds holding in top 10: 3 → 1 (-2)

100% less call options, than puts

Call options by funds: $0 | Put options by funds: $3.44M

Holders
116
Holders Change
-17
Holders Change %
-12.78%
% of All Funds
2.9%
Holding in Top 10
1
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-66.67%
% of All Funds
0.03%
New
16
Increased
25
Reduced
56
Closed
31
Calls
–
Puts
$3.44M
Net Calls
-$3.44M
Net Calls Change
+$14M

Top Buyers

1
RJFSA
Raymond James Financial Services Advisors
Florida
+$6.83M
2
CS
Credit Suisse
Switzerland
+$6.8M
3
Bank of America
Bank of America
North Carolina
+$6.28M
4
Envestnet Asset Management
Envestnet Asset Management
Illinois
+$2.55M
5
Creative Planning
Creative Planning
Kansas
+$2.08M

Top Sellers

1
Wells Fargo
Wells Fargo
California
-$30.4M
2
AIM
Astor Investment Management
Illinois
-$19.5M
3
Morgan Stanley
Morgan Stanley
New York
-$12.8M
4
Ameriprise
Ameriprise
Minnesota
-$6.66M
5
ACM
Aviance Capital Management
Florida
-$6.66M
Name Holding Trade Value Shares
Change 		Change in
Stake
FCB
101
First Command Bank
Texas
$12K +$12.3K +213 New
FCFS
102
First Command Financial Services
Texas
$12K +$12.3K +213 New
RFM
103
Royal Fund Management
Florida
$12K +$12.9K +223 New
BTIS
104
BB&T Investment Services
North Carolina
$11K +$11.6K +200 New
GRP
105
Global Retirement Partners
California
$11K +$11.6K +200 New
MA
106
MCF Advisors
Kentucky
$10K – – –
TFA
107
Transamerica Financial Advisors
Florida
$9K +$463 +8 +6%
Fifth Third Bancorp
108
Fifth Third Bancorp
Ohio
$8K -$63.3K -1,092 -89%
Carson Wealth (CWM LLC)
109
Carson Wealth (CWM LLC)
Nebraska
$8K -$3.3K -57 -28%
BC
110
Bartlett & Co
Ohio
$7K +$7.3K +126 New
MFW
111
Mosaic Family Wealth
Missouri
$6K – – –
FFC
112
First Financial Corp
Indiana
$5K – – –
JFA
113
JNBA Financial Advisors
Minnesota
$3K -$3.53K -61 -50%
LWM
114
LBA Wealth Management
Florida
$3K – – –
AP
115
Atwood & Palmer
Missouri
$2K – – –
AIM
116
Astor Investment Management
Illinois
– -$19.5M -320,469 Closed
ACM
117
Aviance Capital Management
Florida
– -$6.66M -109,374 Closed
NA
118
Navellier & Associates
Nevada
– -$4.3M -70,626 Closed
BFA
119
Beaumont Financial Advisors
Massachusetts
– -$2.96M -48,558 Closed
HFS
120
HL Financial Services
Kentucky
– -$2.89M -47,551 Closed
Millennium Management
121
Millennium Management
New York
– -$1.47M -24,225 Closed
AI
122
Atria Investments
North Carolina
– -$1.33M -21,898 Closed
OAM
123
Occidental Asset Management
California
– -$916K -15,054 Closed
FIM
124
Freedom Investment Management
Connecticut
– -$853K -14,023 Closed
JIP
125
Jaffetilchin Investment Partners
Florida
– -$614K -10,096 Closed
2 3 4
5
6

FXH Hedge Fund Activity: Q4 2016 in Review

116 of the 4,000 institutional investors tracked by Wall St. Rank reported a position in First Trust Health Care AlphaDEX Fund (FXH) for Q4 2016, worth a combined $412M — down 23% from $536M a quarter earlier.

Sellers outnumbered buyers: 31 funds closed out of FXH and 16 opened new positions — a net loss of 15 holders — while 56 trimmed existing stakes and 25 added.

The largest buyer was Raymond James Financial Services Advisors, adding an estimated $6.83M. The largest seller was Wells Fargo, cutting an estimated $30.4M.

  • 116 institutional investors held First Trust Health Care AlphaDEX Fund (FXH) as of Q4 2016, down from 133 in Q3 2016.
  • Funds reported $412M of First Trust Health Care AlphaDEX Fund stock for Q4 2016, down 23% quarter-over-quarter.
  • 16 funds opened new First Trust Health Care AlphaDEX Fund positions in Q4 2016 and 31 closed out, a net change of -15 holders.
  • The largest First Trust Health Care AlphaDEX Fund buyer in Q4 2016 was Raymond James Financial Services Advisors, an estimated $6.83M added.
  • The largest First Trust Health Care AlphaDEX Fund seller in Q4 2016 was Wells Fargo, an estimated $30.4M sold.

Based on aggregated 13F filings for Q4 2016.