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First Trust Financials AlphaDEX Fund
FXO

62 hedge funds and large institutions have $488M invested in First Trust Financials AlphaDEX Fund in 2013 Q4 according to their latest regulatory filings, with 15 funds opening new positions, 33 increasing their positions, 9 reducing their positions, and 4 closing their positions.

New
Increased
Maintained
Reduced
Closed

275% more first-time investments, than exits

New positions opened: 15 | Existing positions closed: 4

267% more repeat investments, than reductions

Existing positions increased: 33 | Existing positions reduced: 9

47% more capital invested

Capital invested by funds: $332M → $488M (+$156M)

19% more funds holding

Funds holding: 52 → 62 (+10)

3.97% more ownership

Funds ownership: 68.59% → 72.56% (+4%)

0% more funds holding in top 10

Funds holding in top 10: 2 → 2 (0)

Holders
62
Holders Change
+10
Holders Change %
+19.23%
% of All Funds
1.8%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.06%
New
15
Increased
33
Reduced
9
Closed
4
Calls
$9K
Puts
–
Net Calls
+$9K
Net Calls Change
+$1K

Top Buyers

Rank Fund Capital Flow
1
FSIM
F-Squared Investment Management
Massachusetts
+$107M
2
U
UBS
Switzerland
+$15.3M
3
Morgan Stanley
Morgan Stanley
New York
+$12.1M
4
CM
Churchill Management
California
+$7.6M
5
Bank of America
Bank of America
North Carolina
+$7.41M

Top Sellers

Rank Fund Capital Flow
1
NA
Navellier & Associates
Nevada
-$59.1M
2
SG Americas Securities
SG Americas Securities
New York
-$7.32M
3
JP Morgan Chase
JP Morgan Chase
New York
-$930K
4
PFS
Prospera Financial Services
Texas
-$713K
5
HighTower Advisors
HighTower Advisors
Illinois
-$476K
Name Holding Trade Value Shares
Change 		Change in
Stake
LTFS
51
Ladenburg Thalmann Financial Services
Florida
$36K – – –
TRCT
52
Tower Research Capital (TRC)
New York
$35K +$33.6K +1,612 New
MFS
53
MSI Financial Services
Massachusetts
$34K +$33.1K +1,585 New
FBT
54
Founders Bank & Trust
Michigan
$28K +$29K +1,390 New
ASN
55
Advisory Services Network
Georgia
$27K +$25.4K +1,219 New
Northwestern Mutual Wealth Management
56
Northwestern Mutual Wealth Management
Wisconsin
$18K +$17K +815 New
NES
57
New England Securities
New York
$12K – – –
US Bancorp
58
US Bancorp
Minnesota
$11K +$10.3K +492 New
TFA
59
Transamerica Financial Advisors
Florida
$9K +$7.34K +352 +640%
TIM
60
Tortoise Investment Management
New York
$7K – – –
CFS
61
Community Financial System
New York
$3K +$2.82K +135 New
Creative Planning
62
Creative Planning
Kansas
$1K – – –
NA
63
Navellier & Associates
Nevada
– -$59.1M -2,988,594 Closed
VKH
64
Virtu KCG Holdings
New York
– -$448K -22,676 Closed
RIA
65
Regal Investment Advisors
Michigan
– -$77K -3,876 Closed
SF
66
Synovus Financial
Georgia
– -$28K -1,429 Closed
1 2
3

FXO Hedge Fund Activity: Q4 2013 in Review

62 of the 3,445 institutional investors tracked by Wall St. Rank reported a position in First Trust Financials AlphaDEX Fund (FXO) for Q4 2013, worth a combined $488M — up 47% from $332M a quarter earlier.

Buyers outnumbered sellers: 15 funds opened new FXO positions and 4 closed out — a net gain of 11 holders — while 33 added to existing stakes and 9 trimmed.

The largest buyer was F-Squared Investment Management, adding an estimated $107M. The largest seller was Navellier & Associates, exiting entirely with an estimated $59.1M sold.

  • 62 institutional investors held First Trust Financials AlphaDEX Fund (FXO) as of Q4 2013, up from 52 in Q3 2013.
  • Funds reported $488M of First Trust Financials AlphaDEX Fund stock for Q4 2013, up 47% quarter-over-quarter.
  • 15 funds opened new First Trust Financials AlphaDEX Fund positions in Q4 2013 and 4 closed out, a net change of +11 holders.
  • The largest First Trust Financials AlphaDEX Fund buyer in Q4 2013 was F-Squared Investment Management, an estimated $107M added.
  • The largest First Trust Financials AlphaDEX Fund seller in Q4 2013 was Navellier & Associates, an estimated $59.1M sold.

Based on aggregated 13F filings for Q4 2013.