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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
GI
76
Gradient Investments
Minnesota
$34K – – –
BC
77
Bartlett & Co
Ohio
$27K – – –
MAS
78
Madden Advisory Services
Florida
$24K – – –
BCM
79
Brookstone Capital Management
Illinois
$18K +$19.2K +815 New
JFGIW
80
Johnson Financial Group Inc (Wisconsin)
Wisconsin
$15K – – –
SEI Investments
81
SEI Investments
Pennsylvania
$14K +$14.3K +605 New
WEC
82
Winslow Evans & Crocker
Massachusetts
$7.07K – – –
Creative Planning
83
Creative Planning
Kansas
$7K -$1.41M -59,690 -99%
TIM
84
Tortoise Investment Management
New York
$7K – – –
KIG
85
Kessler Investment Group
Indiana
$6K +$6.49K +275 New
LWM
86
LBA Wealth Management
Florida
$5K – – –
FNBT
87
FineMark National Bank & Trust
Florida
$5K +$5.17K +219 New
DIA
88
Dana Investment Advisors
Wisconsin
– -$24.8M -179,489 Closed
WA
89
WESPAC Advisors
California
– -$3.03M -127,860 Closed
NA
90
Navellier & Associates
Nevada
– -$2.7M -113,679 Closed
SI
91
Stephens Inc
Arkansas
– -$2.21M -93,161 Closed
VFS
92
VSR Financial Services
Kansas
– -$1.23M -51,836 Closed
AWA
93
Arete Wealth Advisors
Illinois
– -$915K -38,551 Closed
RPG
94
Risk Paradigm Group
Texas
– -$885K -37,276 Closed
AI
95
Atria Investments
North Carolina
– -$718K -30,276 Closed
PFS
96
Prospera Financial Services
Texas
– -$434K -18,298 Closed
TH
97
Timber Hill
Connecticut
– -$337K -14,184 Closed
CS
98
Comerica Securities
Michigan
– -$292K -12,319 Closed
SFWA
99
Summit Financial Wealth Advisors
Louisiana
– -$113K -4,800 Closed
CTC
100
Central Trust Company
Missouri
– -$46K -1,933 Closed
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.