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First Trust Financials AlphaDEX Fund
FXO

104 hedge funds and large institutions have $610M invested in First Trust Financials AlphaDEX Fund in 2016 Q4 according to their latest regulatory filings, with 24 funds opening new positions, 45 increasing their positions, 25 reducing their positions, and 15 closing their positions.

New
Increased
Maintained
Reduced
Closed

80% more repeat investments, than reductions

Existing positions increased: 45 | Existing positions reduced: 25

60% more first-time investments, than exits

New positions opened: 24 | Existing positions closed: 15

28% more capital invested

Capital invested by funds: $476M → $610M (+$134M)

20% more funds holding in top 10

Funds holding in top 10: 5 → 6 (+1)

7% more funds holding

Funds holding: 97 → 104 (+7)

2% more ownership

Funds ownership: 61.3% → 63.31% (+2%)

Holders
104
Holders Change
+7
Holders Change %
+7.22%
% of All Funds
2.6%
Holding in Top 10
6
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+20%
% of All Funds
0.15%
New
24
Increased
45
Reduced
25
Closed
15
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Bank of America
Bank of America
North Carolina
+$20.7M
2
Morgan Stanley
Morgan Stanley
New York
+$15M
3
CS
Credit Suisse
Switzerland
+$11.2M
4
UBS Group
UBS Group
Switzerland
+$10.3M
5
RJFSA
Raymond James Financial Services Advisors
Florida
+$8.1M

Top Sellers

Rank Fund Capital Flow
1
AIM
Astor Investment Management
Illinois
-$25.9M
2
ACM
Aviance Capital Management
Florida
-$8.9M
3
Wells Fargo
Wells Fargo
California
-$5.26M
4
SAM
SignalPoint Asset Management
Missouri
-$2.05M
5
UCFA
United Capital Financial Advisors
Texas
-$1.8M
Name Holding Trade Value Shares
Change 		Change in
Stake
MFS
26
MSI Financial Services
Massachusetts
$3.79M +$2.75M +107,746 +331%
SB
27
Suntrust Banks
Georgia
$3.42M +$1.44M +56,292 +80%
IUHSA
28
Itau Unibanco Holding S.A.
Brazil
$3.01M +$1.46M +57,401 +106%
BCM
29
Barometer Capital Management
Ontario, Canada
$2.85M +$2.69M +105,600 New
PFA
30
Pinnacle Family Advisors
Missouri
$2.83M +$2.67M +104,665 New
HR
31
Howe & Rusling
New York
$2.53M +$3.19K +125 +0.1%
Commonwealth Equity Services
32
Commonwealth Equity Services
Massachusetts
$2.3M +$200K +7,848 +10%
IAS
33
IMA Advisory Services
Colorado
$2.21M -$469K -18,370 -18%
AIA
34
Allegis Investment Advisors
Idaho
$2.1M +$1.98M +77,610 New
HFS
35
HL Financial Services
Kentucky
$2.09M +$549K +21,531 +39%
NPC
36
National Planning Corporation
California
$2.03M +$194K +7,606 +11%
Stifel Financial
37
Stifel Financial
Missouri
$1.97M +$925K +36,259 +100%
IH
38
IFC Holdings
Florida
$1.94M +$1.41M +55,395 +336%
BRWA
39
B. Riley Wealth Advisors
Florida
$1.83M +$1.15M +45,162 +199%
DADC
40
D.A. Davidson & Co
Montana
$1.79M +$322K +12,615 +24%
FHC
41
First Heartland Consultants
Missouri
$1.59M +$215K +8,425 +17%
OC
42
Oppenheimer & Co
New York
$1.28M -$320K -12,546 -21%
LFAS
43
Level Four Advisory Services
Texas
$1.25M +$1.18M +46,186 New
BFEC
44
Benjamin F. Edwards & Company
Missouri
$1.24M +$198K +7,749 +20%
CAN
45
Cetera Advisor Networks
California
$1.11M -$533K -20,878 -34%
BTS
46
BB&T Securities
Virginia
$1.11M – – –
WI
47
Wintrust Investments
Illinois
$1.05M -$343K -13,442 -26%
PAG
48
Private Advisor Group
New Jersey
$1M +$314K +12,307 +51%
ONB
49
Old National Bancorp
Indiana
$970K +$47.1K +1,847 +5%
SI
50
Stephens Inc
Arkansas
$964K -$34.2K -1,342 -4%
1
2
3 4 5

FXO Hedge Fund Activity: Q4 2016 in Review

104 of the 4,000 institutional investors tracked by Wall St. Rank reported a position in First Trust Financials AlphaDEX Fund (FXO) for Q4 2016, worth a combined $610M — up 28% from $476M a quarter earlier.

Buyers outnumbered sellers: 24 funds opened new FXO positions and 15 closed out — a net gain of 9 holders — while 45 added to existing stakes and 25 trimmed.

The largest buyer was Bank of America, adding an estimated $20.7M. The largest seller was Astor Investment Management, exiting entirely with an estimated $25.9M sold.

  • 104 institutional investors held First Trust Financials AlphaDEX Fund (FXO) as of Q4 2016, up from 97 in Q3 2016.
  • Funds reported $610M of First Trust Financials AlphaDEX Fund stock for Q4 2016, up 28% quarter-over-quarter.
  • 24 funds opened new First Trust Financials AlphaDEX Fund positions in Q4 2016 and 15 closed out, a net change of +9 holders.
  • The largest First Trust Financials AlphaDEX Fund buyer in Q4 2016 was Bank of America, an estimated $20.7M added.
  • The largest First Trust Financials AlphaDEX Fund seller in Q4 2016 was Astor Investment Management, an estimated $25.9M sold.

Based on aggregated 13F filings for Q4 2016.