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First Trust Financials AlphaDEX Fund
FXO

Overview Fund Activity

52 hedge funds and large institutions have $332M invested in First Trust Financials AlphaDEX Fund in 2013 Q3 according to their latest regulatory filings, with 9 funds opening new positions, 27 increasing their positions, 11 reducing their positions, and 8 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
52
Holders Change
–
Holders Change %
0%
% of All Funds
1.69%
Holding in Top 10
2
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+100%
% of All Funds
0.06%
New
9
Increased
27
Reduced
11
Closed
8
Calls
$8K
Puts
–
Net Calls
+$8K
Net Calls Change
+$8K

Top Buyers

1
NA
1
Navellier & Associates
Nevada
$59.1M
2
FSIM
2
F-Squared Investment Management
Massachusetts
$27.6M
3
BTS
3
BB&T Securities
Virginia
$26.8M
4
Morgan Stanley
4
Morgan Stanley
New York
$51.6M
5
PWAG
5
Polaris Wealth Advisory Group
California
$10M

Top Sellers

1
HA
1
Hays Advisory
Tennessee
$0
2
Susquehanna International Group
2
Susquehanna International Group
Pennsylvania
$471K
3
Citigroup
3
Citigroup
New York
$1.99M
4
SNC
4
Stifel Nicolaus & Co
Missouri
$1.64M
5
CK
5
Carnick & Kubik
Colorado
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
SAM
26
SignalPoint Asset Management
Missouri
$1.25M -$221K -11,157 -15%
PFS
27
Prospera Financial Services
Texas
$1.02M +$10.5K +528 +1%
CS
28
Credit Suisse
Switzerland
$835K +$521K +26,361 +166%
DADC
29
D.A. Davidson & Co
Montana
$729K +$730 +37 +0.1%
AIG
30
American International Group
New York
$688K +$321K +16,250 +87%
Goldman Sachs
31
Goldman Sachs
New York
$641K +$641K +32,456 New
Envestnet Asset Management
32
Envestnet Asset Management
Illinois
$573K +$200K +10,115 +54%
First Trust Advisors
33
First Trust Advisors
Illinois
$515K -$246K -12,456 -32%
Commonwealth Equity Services
34
Commonwealth Equity Services
Massachusetts
$505K +$104K +5,269 +26%
Susquehanna International Group
35
Susquehanna International Group
Pennsylvania
$471K -$4.21M -212,770 -90%
VKH
36
Virtu KCG Holdings
New York
$448K +$448K +22,676 New
FHC
37
First Heartland Consultants
Missouri
$401K +$64.9K +3,255 +19%
B
38
Baird
Wisconsin
$337K +$22.6K +1,147 +7%
Cambridge Investment Research Advisors
39
Cambridge Investment Research Advisors
Iowa
$314K +$314K +15,873 New
FFC
40
First Financial Corp
Indiana
$264K -$19.4K -980 -7%
Ameriprise
41
Ameriprise
Minnesota
$194K -$26.9K -1,367 -12%
Deutsche Bank
42
Deutsche Bank
Germany
$129K +$71.7K +3,667 +125%
BRWA
43
B. Riley Wealth Advisors
Florida
$107K +$7.93K +400 +8%
RIA
44
Regal Investment Advisors
Michigan
$77K – – –
FAM
45
Formidable Asset Management
Ohio
$38K +$38K +1,909 New
LTFS
46
Ladenburg Thalmann Financial Services
Florida
$33K +$10.6K +534 +47%
SF
47
Synovus Financial
Georgia
$28K – – –
NES
48
New England Securities
New York
$11K – – –
WA
49
WFG Advisors
Texas
$8K – – –
TIM
50
Tortoise Investment Management
New York
$6K – – –
1
2
3