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First Trust Financials AlphaDEX Fund
FXO

88 hedge funds and large institutions have $556M invested in First Trust Financials AlphaDEX Fund in 2015 Q3 according to their latest regulatory filings, with 16 funds opening new positions, 32 increasing their positions, 30 reducing their positions, and 15 closing their positions.

New
Increased
Maintained
Reduced
Closed

7% more first-time investments, than exits

New positions opened: 16 | Existing positions closed: 15

7% more repeat investments, than reductions

Existing positions increased: 32 | Existing positions reduced: 30

2% less funds holding

Funds holding: 90 → 88 (-2)

3.96% less ownership

Funds ownership: 68.45% → 64.48% (-4%)

27% less capital invested

Capital invested by funds: $765M → $556M (-$209M)

33% less funds holding in top 10

Funds holding in top 10: 3 → 2 (-1)

Holders
88
Holders Change
-2
Holders Change %
-2.22%
% of All Funds
2.46%
Holding in Top 10
2
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-33.33%
% of All Funds
0.06%
New
16
Increased
32
Reduced
30
Closed
15
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Goldman Sachs
Goldman Sachs
New York
+$22.3M
2
ACM
Aviance Capital Management
Florida
+$15.7M
3
Wells Fargo
Wells Fargo
California
+$9.34M
4
Morgan Stanley
Morgan Stanley
New York
+$8.63M
5
CS
Credit Suisse
Switzerland
+$6.21M

Top Sellers

Rank Fund Capital Flow
1
PPA
Parametric Portfolio Associates
Washington
-$28.4M
2
DIA
Dana Investment Advisors
Wisconsin
-$24.8M
3
Envestnet Asset Management
Envestnet Asset Management
Illinois
-$10.8M
4
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
-$7.74M
5
UBS Group
UBS Group
Switzerland
-$5.41M
Name Holding Trade Value Shares
Change 		Change in
Stake
ONB
26
Old National Bancorp
Indiana
$2.36M -$249K -10,573 -9%
AIG
27
American International Group
New York
$2.11M +$272K +11,527 +14%
HR
28
Howe & Rusling
New York
$1.96M +$4.67K +198 +0.2%
Jane Street
29
Jane Street
New York
$1.94M +$2.04M +86,298 New
FAAS
30
First Allied Advisory Services
California
$1.77M -$300K -12,736 -14%
Susquehanna International Group
31
Susquehanna International Group
Pennsylvania
$1.63M -$499K -21,139 -23%
OC
32
Oppenheimer & Co
New York
$1.56M +$228K +9,676 +16%
Commonwealth Equity Services
33
Commonwealth Equity Services
Massachusetts
$1.45M +$31.5K +1,334 +2%
VKH
34
Virtu KCG Holdings
New York
$1.31M +$1.37M +58,280 New
DADC
35
D.A. Davidson & Co
Montana
$1.3M +$337K +14,301 +33%
FHC
36
First Heartland Consultants
Missouri
$1.24M +$514K +21,801 +65%
ASN
37
Advisory Services Network
Georgia
$1.24M +$440K +18,640 +51%
BRWM
38
B. Riley Wealth Management
Tennessee
$1.12M +$132K +5,591 +13%
Citigroup
39
Citigroup
New York
$983K -$64.7K -2,744 -6%
ICOA
40
Investment Centers of America
North Dakota
$844K +$337K +14,310 +62%
Cambridge Investment Research Advisors
41
Cambridge Investment Research Advisors
Iowa
$834K +$71.5K +3,031 +9%
SB
42
Suntrust Banks
Georgia
$776K +$244K +10,333 +43%
HF
43
HRT Financial
New York
$644K +$677K +28,697 New
Baird Financial Group
44
Baird Financial Group
Wisconsin
$615K -$166K -7,042 -20%
PPA
45
Parametric Portfolio Associates
Washington
$575K -$28.4M -1,204,349 -98%
HFS
46
HL Financial Services
Kentucky
$512K -$831K -35,221 -61%
BRWA
47
B. Riley Wealth Advisors
Florida
$480K +$72.7K +3,084 +17%
RIA
48
Regal Investment Advisors
Michigan
$460K -$10.4K -441 -2%
CA
49
Cetera Advisors
Colorado
$457K -$36.4K -1,545 -7%
PAG
50
Private Advisor Group
New Jersey
$418K +$54.9K +2,328 +14%
1
2
3 4 5

FXO Hedge Fund Activity: Q3 2015 in Review

88 of the 3,582 institutional investors tracked by Wall St. Rank reported a position in First Trust Financials AlphaDEX Fund (FXO) for Q3 2015, worth a combined $556M — down 27% from $765M a quarter earlier.

Buyers outnumbered sellers: 16 funds opened new FXO positions and 15 closed out — a net gain of 1 holder — while 32 added to existing stakes and 30 trimmed.

The largest buyer was Goldman Sachs, adding an estimated $22.3M. The largest seller was Parametric Portfolio Associates, cutting an estimated $28.4M.

  • 88 institutional investors held First Trust Financials AlphaDEX Fund (FXO) as of Q3 2015, down from 90 in Q2 2015.
  • Funds reported $556M of First Trust Financials AlphaDEX Fund stock for Q3 2015, down 27% quarter-over-quarter.
  • 16 funds opened new First Trust Financials AlphaDEX Fund positions in Q3 2015 and 15 closed out, a net change of +1 holder.
  • The largest First Trust Financials AlphaDEX Fund buyer in Q3 2015 was Goldman Sachs, an estimated $22.3M added.
  • The largest First Trust Financials AlphaDEX Fund seller in Q3 2015 was Parametric Portfolio Associates, an estimated $28.4M sold.

Based on aggregated 13F filings for Q3 2015.