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First Trust Financials AlphaDEX Fund
FXO

75 hedge funds and large institutions have $730M invested in First Trust Financials AlphaDEX Fund in 2014 Q3 according to their latest regulatory filings, with 11 funds opening new positions, 44 increasing their positions, 14 reducing their positions, and 8 closing their positions.

New
Increased
Maintained
Reduced
Closed

214% more repeat investments, than reductions

Existing positions increased: 44 | Existing positions reduced: 14

38% more first-time investments, than exits

New positions opened: 11 | Existing positions closed: 8

15% more capital invested

Capital invested by funds: $636M → $730M (+$94.2M)

6.26% more ownership

Funds ownership: 71.07% → 77.33% (+6.3%)

4% more funds holding

Funds holding: 72 → 75 (+3)

0% more funds holding in top 10

Funds holding in top 10: 2 → 2 (0)

79% less call options, than puts

Call options by funds: $44K | Put options by funds: $208K

Holders
75
Holders Change
+3
Holders Change %
+4.17%
% of All Funds
2.18%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.06%
New
11
Increased
44
Reduced
14
Closed
8
Calls
$44K
Puts
$208K
Net Calls
-$164K
Net Calls Change
+$59K

Top Buyers

Rank Fund Capital Flow
1
FSIM
F-Squared Investment Management
Massachusetts
+$59.3M
2
U
UBS
Switzerland
+$9.51M
3
BFA
Beaumont Financial Advisors
Massachusetts
+$8.2M
4
PPA
Parametric Portfolio Associates
Washington
+$4.38M
5
AIM
Astor Investment Management
Illinois
+$4.3M

Top Sellers

Rank Fund Capital Flow
1
SG Americas Securities
SG Americas Securities
New York
-$3.64M
2
HighTower Advisors
HighTower Advisors
Illinois
-$3.19M
3
CS
Credit Suisse
Switzerland
-$3.13M
4
SAM
Shamrock Asset Management
Texas
-$1.3M
5
Morgan Stanley
Morgan Stanley
New York
-$807K
Name Holding Trade Value Shares
Change 		Change in
Stake
WS
51
Wedbush Securities
California
$246K +$250K +11,252 New
First Trust Advisors
52
First Trust Advisors
Illinois
$239K +$2.11K +95 +0.9%
SI
53
Stephens Inc
Arkansas
$237K +$31.2K +1,407 +15%
M&T Bank
54
M&T Bank
New York
$222K +$226K +10,159 New
BRWA
55
B. Riley Wealth Advisors
Florida
$214K +$28.8K +1,296 +15%
FFC
56
First Financial Corp
Indiana
$165K – – –
WEC
57
Winslow Evans & Crocker
Massachusetts
$138K +$688 +31 +0.5%
Citigroup
58
Citigroup
New York
$124K -$45.7K -2,057 -27%
Thrivent Financial for Lutherans
59
Thrivent Financial for Lutherans
Minnesota
$92K +$93.5K +4,210 New
MFS
60
MSI Financial Services
Massachusetts
$73K -$11.8K -530 -14%
Bank of Montreal
61
Bank of Montreal
Ontario, Canada
$66K +$66.5K +2,995 New
US Bancorp
62
US Bancorp
Minnesota
$60K +$20.4K +920 +51%
NFG
63
Next Financial Group
Texas
$48K +$25.3K +1,140 +106%
FAM
64
Formidable Asset Management
Ohio
$43K – – –
LTFS
65
Ladenburg Thalmann Financial Services
Florida
$34K -$7.19K -324 -17%
GI
66
Gradient Investments
Minnesota
$33K -$8.93K -402 -21%
BC
67
Bartlett & Co
Ohio
$26K – – –
PNC Financial Services Group
68
PNC Financial Services Group
Pennsylvania
$25K +$8.64K +389 +51%
MAS
69
Madden Advisory Services
Florida
$24K – – –
NES
70
New England Securities
New York
$17K +$4.88K +220 +40%
SCA
71
Strategic Capital Alternatives
United States
$13K +$12.8K +576 New
NCM
72
Nelson Capital Management
California
$8K – – –
TIM
73
Tortoise Investment Management
New York
$7K – – –
LWM
74
LBA Wealth Management
Florida
$5K +$4.73K +213 New
Creative Planning
75
Creative Planning
Kansas
$3K -$463K -20,865 -99%
1 2
3
4

FXO Hedge Fund Activity: Q3 2014 in Review

75 of the 3,446 institutional investors tracked by Wall St. Rank reported a position in First Trust Financials AlphaDEX Fund (FXO) for Q3 2014, worth a combined $730M — up 15% from $636M a quarter earlier.

Buyers outnumbered sellers: 11 funds opened new FXO positions and 8 closed out — a net gain of 3 holders — while 44 added to existing stakes and 14 trimmed.

The largest buyer was F-Squared Investment Management, adding an estimated $59.3M. The largest seller was SG Americas Securities, exiting entirely with an estimated $3.64M sold.

  • 75 institutional investors held First Trust Financials AlphaDEX Fund (FXO) as of Q3 2014, up from 72 in Q2 2014.
  • Funds reported $730M of First Trust Financials AlphaDEX Fund stock for Q3 2014, up 15% quarter-over-quarter.
  • 11 funds opened new First Trust Financials AlphaDEX Fund positions in Q3 2014 and 8 closed out, a net change of +3 holders.
  • The largest First Trust Financials AlphaDEX Fund buyer in Q3 2014 was F-Squared Investment Management, an estimated $59.3M added.
  • The largest First Trust Financials AlphaDEX Fund seller in Q3 2014 was SG Americas Securities, an estimated $3.64M sold.

Based on aggregated 13F filings for Q3 2014.