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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
CC
76
Cedar Capital
Illinois
$290K -$108K -4,216 -28%
PNC Financial Services Group
77
PNC Financial Services Group
Pennsylvania
$281K -$62.3K -2,444 -19%
RIA
78
Regal Investment Advisors
Michigan
$279K -$10.1K -395 -4%
Citigroup
79
Citigroup
New York
$275K -$10.1K -394 -4%
SWP
80
Stratos Wealth Partners
Ohio
$269K +$20.9K +818 +9%
Koshinski Asset Management
81
Koshinski Asset Management
Illinois
$258K +$26.8K +1,052 +12%
M&T Bank
82
M&T Bank
New York
$249K – – –
Walleye Trading
83
Walleye Trading
New York
$225K +$133K +5,230 +169%
RJT
84
Raymond James Trust
Florida
$220K +$208K +8,156 New
SPC
85
Sigma Planning Corp
Michigan
$210K +$198K +7,768 New
US Bancorp
86
US Bancorp
Minnesota
$181K +$10.8K +424 +7%
AIM
87
Advantage Investment Management
Iowa
$148K +$139K +5,464 New
Creative Planning
88
Creative Planning
Kansas
$120K -$1.43K -56 -1%
HIIFS
89
Harel Insurance Investments & Financial Services
Israel
$116K +$109K +4,285 New
Northwestern Mutual Wealth Management
90
Northwestern Mutual Wealth Management
Wisconsin
$83K +$78.9K +3,093 New
RFWA
91
RPg Family Wealth Advisory
Massachusetts
$44.5K +$42K +1,648 New
FANJ
92
Financial Architects (New Jersey)
New Jersey
$41K – – –
Thrivent Financial for Lutherans
93
Thrivent Financial for Lutherans
Minnesota
$38K – – –
BC
94
Bartlett & Co
Ohio
$33K – – –
GWM
95
Geneos Wealth Management
Colorado
$29K +$26 +1 +0.1%
SFG
96
SevenBridge Financial Group
Pennsylvania
$24K – – –
AWM
97
Avior Wealth Management
Nebraska
$22K +$102 +4 +0.5%
RFM
98
Royal Fund Management
Florida
$16K +$15.2K +595 New
AA
99
AlphaMark Advisors
Kentucky
$15K +$14K +550 New
BIG
100
Bellwether Investment Group
Tennessee
$15K +$14K +550 New
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.