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First Trust Financials AlphaDEX Fund
FXO

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

145% more repeat investments, than reductions

Existing positions increased: 27 | Existing positions reduced: 11

100% more funds holding in top 10

Funds holding in top 10: 1 → 2 (+1)

72% more capital invested

Capital invested by funds: $193M → $332M (+$139M)

13% more first-time investments, than exits

New positions opened: 9 | Existing positions closed: 8

10.18% more ownership

Funds ownership: 58.42% → 68.59% (+10%)

0% more funds holding

Funds holding: 52 → 52 (0)

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

Rank Fund Capital Flow
1
NA
Navellier & Associates
Nevada
+$54.9M
2
FSIM
F-Squared Investment Management
Massachusetts
+$27.4M
3
Morgan Stanley
Morgan Stanley
New York
+$11.2M
4
PWAG
Polaris Wealth Advisory Group
California
+$9.94M
5
SG Americas Securities
SG Americas Securities
New York
+$7.24M

Top Sellers

Rank Fund Capital Flow
1
HA
Hays Advisory
Tennessee
-$18.5M
2
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$4.18M
3
Citigroup
Citigroup
New York
-$1.96M
4
SNC
Stifel Nicolaus & Co
Missouri
-$860K
5
CK
Carnick & Kubik
Colorado
-$852K
Name Holding Trade Value Shares
Change 		Change in
Stake
SAM
26
SignalPoint Asset Management
Missouri
$1.25M -$219K -11,157 -15%
PFS
27
Prospera Financial Services
Texas
$1.02M +$10.4K +528 +1%
CS
28
Credit Suisse
Switzerland
$835K +$518K +26,361 +166%
DADC
29
D.A. Davidson & Co
Montana
$729K +$727 +37 +0.1%
AIG
30
American International Group
New York
$688K +$319K +16,250 +87%
Goldman Sachs
31
Goldman Sachs
New York
$641K +$637K +32,456 New
Envestnet Asset Management
32
Envestnet Asset Management
Illinois
$573K +$199K +10,115 +54%
First Trust Advisors
33
First Trust Advisors
Illinois
$515K -$245K -12,456 -32%
Commonwealth Equity Services
34
Commonwealth Equity Services
Massachusetts
$505K +$103K +5,269 +26%
Susquehanna International Group
35
Susquehanna International Group
Pennsylvania
$471K -$4.18M -212,770 -90%
VKH
36
Virtu KCG Holdings
New York
$448K +$445K +22,676 New
FHC
37
First Heartland Consultants
Missouri
$401K +$63.9K +3,255 +19%
B
38
Baird
Wisconsin
$337K +$22.5K +1,147 +7%
Cambridge Investment Research Advisors
39
Cambridge Investment Research Advisors
Iowa
$314K +$312K +15,873 New
FFC
40
First Financial Corp
Indiana
$264K -$19.2K -980 -7%
Ameriprise
41
Ameriprise
Minnesota
$194K -$26.8K -1,367 -12%
Deutsche Bank
42
Deutsche Bank
Germany
$129K +$72K +3,667 +125%
BRWA
43
B. Riley Wealth Advisors
Florida
$107K +$7.86K +400 +8%
RIA
44
Regal Investment Advisors
Michigan
$77K – – –
FAM
45
Formidable Asset Management
Ohio
$38K +$37.5K +1,909 New
LTFS
46
Ladenburg Thalmann Financial Services
Florida
$33K +$10.5K +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

FXO Hedge Fund Activity: Q3 2013 in Review

52 of the 3,084 institutional investors tracked by Wall St. Rank reported a position in First Trust Financials AlphaDEX Fund (FXO) for Q3 2013, worth a combined $332M — up 72% from $193M a quarter earlier.

Buyers outnumbered sellers: 9 funds opened new FXO positions and 8 closed out — a net gain of 1 holder — while 27 added to existing stakes and 11 trimmed.

The largest buyer was Navellier & Associates, adding an estimated $54.9M. The largest seller was Hays Advisory, exiting entirely with an estimated $18.5M sold.

  • 52 institutional investors held First Trust Financials AlphaDEX Fund (FXO) as of Q3 2013, unchanged from Q2 2013.
  • Funds reported $332M of First Trust Financials AlphaDEX Fund stock for Q3 2013, up 72% quarter-over-quarter.
  • 9 funds opened new First Trust Financials AlphaDEX Fund positions in Q3 2013 and 8 closed out, a net change of +1 holder.
  • The largest First Trust Financials AlphaDEX Fund buyer in Q3 2013 was Navellier & Associates, an estimated $54.9M added.
  • The largest First Trust Financials AlphaDEX Fund seller in Q3 2013 was Hays Advisory, an estimated $18.5M sold.

Based on aggregated 13F filings for Q3 2013.