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First Trust Financials AlphaDEX Fund
FXO

Overview Fund Activity

66 hedge funds and large institutions have $755M invested in First Trust Financials AlphaDEX Fund in 2014 Q1 according to their latest regulatory filings, with 12 funds opening new positions, 40 increasing their positions, 7 reducing their positions, and 8 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
66
Holders Change
+4
Holders Change %
+6.45%
% of All Funds
1.91%
Holding in Top 10
3
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+50%
% of All Funds
0.09%
New
12
Increased
40
Reduced
7
Closed
8
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
FSIM
F-Squared Investment Management
Massachusetts
+$151M
2
BTS
BB&T Securities
Virginia
+$27.4M
3
PPA
Parametric Portfolio Associates
Washington
+$19.8M
4
BFA
Beaumont Financial Advisors
Massachusetts
+$10.5M
5
Wells Fargo
Wells Fargo
California
+$9.3M

Top Sellers

1
CM
Churchill Management
California
-$7.92M
2
HR
Howe & Rusling
New York
-$1.77M
3
FA
FDx Advisors
Illinois
-$1.73M
4
U
UBS
Switzerland
-$1.7M
5
CK
Carnick & Kubik
Colorado
-$764K
Name Holding Trade Value Shares
Change 		Shares
Change %
Stifel Financial
26
Stifel Financial
Missouri
$1.56M +$1.56M +71,449 New
OC
27
Oppenheimer & Co
New York
$1.36M -$101K -4,624 -7%
AIM
28
Astor Investment Management
Illinois
$1.22M +$1.22M +55,737 New
CS
29
Credit Suisse
Switzerland
$1.1M +$37.9K +1,734 +4%
AIG
30
American International Group
New York
$1.06M +$128K +5,868 +14%
VKH
31
Virtu KCG Holdings
New York
$934K +$934K +42,763 New
Creative Planning
32
Creative Planning
Kansas
$873K +$872K +39,970 +133,233%
B
33
Baird
Wisconsin
$837K +$440K +20,171 +111%
DADC
34
D.A. Davidson & Co
Montana
$835K +$42.1K +1,931 +5%
Commonwealth Equity Services
35
Commonwealth Equity Services
Massachusetts
$705K +$42.1K +1,928 +6%
PFS
36
Prospera Financial Services
Texas
$624K +$265K +12,544 +74%
Cambridge Investment Research Advisors
37
Cambridge Investment Research Advisors
Iowa
$535K +$112K +5,136 +26%
FHC
38
First Heartland Consultants
Missouri
$498K +$50.3K +2,300 +11%
SAM
39
Shamrock Asset Management
Texas
$453K +$144K +6,614 +47%
JPMorgan Chase & Co
40
JPMorgan Chase & Co
New York
$395K -$72.5K -3,324 -16%
RIA
41
Regal Investment Advisors
Michigan
$392K +$392K +17,960 New
CS
42
Comerica Securities
Michigan
$351K +$351K +16,069 New
HFS
43
HL Financial Services
Kentucky
$341K +$109K +4,978 +47%
FAAS
44
First Allied Advisory Services
California
$319K +$319K +14,748 New
NA
45
Navellier & Associates
Nevada
$311K +$311K +14,247 New
DWA
46
Dorsey Wright & Associates
California
$272K +$272K +12,481 New
AP
47
Advisors Preferred
Maryland
$264K +$151K +6,931 +134%
SB
48
Suntrust Banks
Georgia
$255K +$255K +11,718 New
WA
49
WFG Advisors
Texas
$248K +$98.9K +4,525 +66%
First Trust Advisors
50
First Trust Advisors
Illinois
$236K -$65K -2,984 -22%
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