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First Trust Energy AlphaDEX Fund

65 hedge funds and large institutions have $60.3M invested in First Trust Energy AlphaDEX Fund in 2020 Q3 according to their latest regulatory filings, with 10 funds opening new positions, 14 increasing their positions, 34 reducing their positions, and 29 closing their positions.

New
Increased
Maintained
Reduced
Closed

23% less funds holding

Funds holding: 8465 (-19)

31.03% less ownership

Funds ownership: 87.84%56.81% (-31%)

59% less repeat investments, than reductions

Existing positions increased: 14 | Existing positions reduced: 34

66% less first-time investments, than exits

New positions opened: 10 | Existing positions closed: 29

89% less capital invested

Capital invested by funds: $551M → $60.3M (-$491M)

Holders
65
Holders Change
-19
Holders Change %
-22.62%
% of All Funds
1.31%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
10
Increased
14
Reduced
34
Closed
29
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Wells Fargo
1
Wells Fargo
California
$12.3M -$24.9M -3,820,122 -63%
UBS Group
2
UBS Group
Switzerland
$10.2M +$1.69M +258,863 +17%
Morgan Stanley
3
Morgan Stanley
New York
$8.05M -$29M -4,460,049 -76%
Janney Montgomery Scott
4
Janney Montgomery Scott
Pennsylvania
$4.38M +$4.42M +678,606 +658%
Osaic Holdings
5
Osaic Holdings
Arizona
$2.99M -$1.61M -246,992 -32%
Citadel Advisors
6
Citadel Advisors
Florida
$2.54M +$2.5M +384,254 +549%
Bank of America
7
Bank of America
North Carolina
$2.17M -$8.98M -1,379,465 -78%
SAM
8
Secure Asset Management
Michigan
$1.54M +$69.2K +10,635 +4%
Susquehanna International Group
9
Susquehanna International Group
Pennsylvania
$1.49M +$1.55M +238,571 +847%
TRCT
10
Tower Research Capital (TRC)
New York
$1.43M +$1.44M +220,961 +655%
Goldman Sachs
11
Goldman Sachs
New York
$1.4M -$996K -153,009 -38%
Jane Street
12
Jane Street
New York
$1.39M +$1.62M +248,917 New
LPL Financial
13
LPL Financial
California
$1.35M -$1.76M -269,830 -53%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$1.09M -$4.38M -672,644 -78%
RJFSA
15
Raymond James Financial Services Advisors
Florida
$791K -$3.64M -559,215 -80%
Truist Financial
16
Truist Financial
North Carolina
$771K +$36.8K +5,655 +4%
RJA
17
Raymond James & Associates
Florida
$699K -$5.64M -866,404 -87%
CIBC World Market
18
CIBC World Market
Ontario, Canada
$638K -$126K -19,350 -15%
Ameriprise
19
Ameriprise
Minnesota
$619K -$4.65M -714,100 -87%
FAIM
20
Financial Advocates Investment Management
Washington
$552K +$642K +98,652 New
Cambridge Investment Research Advisors
21
Cambridge Investment Research Advisors
Iowa
$548K -$65.7K -10,089 -9%
IAA
22
Independent Advisor Alliance
North Carolina
$408K +$3.44K +529 +0.8%
Commonwealth Equity Services
23
Commonwealth Equity Services
Massachusetts
$394K -$2.3M -352,551 -83%
TSS
24
Two Sigma Securities
New York
$385K +$447K +68,729 New
RFWA
25
RPg Family Wealth Advisory
Massachusetts
$254K -$5.16K -793 -2%

FXN Hedge Fund Activity: Q3 2020 in Review

65 of the 4,956 institutional investors tracked by Wall St. Rank reported a position in First Trust Energy AlphaDEX Fund (FXN) for Q3 2020, worth a combined $60.3M — down 89% from $551M a quarter earlier.

Sellers outnumbered buyers: 29 funds closed out of FXN and 10 opened new positions — a net loss of 19 holders — while 34 trimmed existing stakes and 14 added.

The largest buyer was Janney Montgomery Scott, adding an estimated $4.42M. The largest seller was First Trust Advisors, exiting entirely with an estimated $368M sold.

  • 65 institutional investors held First Trust Energy AlphaDEX Fund (FXN) as of Q3 2020, down from 84 in Q2 2020.
  • Funds reported $60.3M of First Trust Energy AlphaDEX Fund stock for Q3 2020, down 89% quarter-over-quarter.
  • 10 funds opened new First Trust Energy AlphaDEX Fund positions in Q3 2020 and 29 closed out, a net change of -19 holders.
  • The largest First Trust Energy AlphaDEX Fund buyer in Q3 2020 was Janney Montgomery Scott, an estimated $4.42M added.
  • The largest First Trust Energy AlphaDEX Fund seller in Q3 2020 was First Trust Advisors, an estimated $368M sold.

Based on aggregated 13F filings for Q3 2020.