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First Trust Financials AlphaDEX Fund

52 hedge funds and large institutions have $332M invested in First Trust Financials AlphaDEX Fund in 2013 Q3 according to their latest regulatory filings, with 9 funds opening new positions, 27 increasing their positions, 11 reducing their positions, and 8 closing their positions.

New
Increased
Maintained
Reduced
Closed

145% more repeat investments, than reductions

Existing positions increased: 27 | Existing positions reduced: 11

100% more funds holding in top 10

Funds holding in top 10: 12 (+1)

72% more capital invested

Capital invested by funds: $193M → $332M (+$139M)

13% more first-time investments, than exits

New positions opened: 9 | Existing positions closed: 8

10.18% more ownership

Funds ownership: 58.42%68.59% (+10%)

0% more funds holding

Funds holding: 5252 (0)

Holders
52
Holders Change
Holders Change %
0%
% of All Funds
1.69%
Holding in Top 10
2
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+100%
% of All Funds
0.06%
New
9
Increased
27
Reduced
11
Closed
8
Calls
$8K
Puts
Net Calls
+$8K
Net Calls Change
+$8K
Name Holding Trade Value Shares
Change
Change in
Stake
NA
1
Navellier & Associates
Nevada
$59.1M +$54.9M +2,796,462 +1,455%
Morgan Stanley
2
Morgan Stanley
New York
$51.6M +$11.2M +568,915 +28%
Wells Fargo
3
Wells Fargo
California
$39.4M +$2.89M +147,225 +8%
FSIM
4
F-Squared Investment Management
Massachusetts
$27.6M +$27.4M +1,396,739 New
BTS
5
BB&T Securities
Virginia
$26.8M +$1.4M +71,393 +111%
PPA
6
Parametric Portfolio Associates
Washington
$18.7M +$5.73M +291,710 +44%
Bank of America
7
Bank of America
North Carolina
$15M +$562K +28,594 +4%
PWAG
8
Polaris Wealth Advisory Group
California
$10M +$9.94M +506,200 New
U
9
UBS
Switzerland
$9.86M +$390K +19,849 +4%
BFA
10
Beaumont Financial Advisors
Massachusetts
$9.38M +$3.03M +154,296 +48%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$9.03M +$838K +42,690 +10%
SG Americas Securities
12
SG Americas Securities
New York
$7.29M +$7.24M +368,763 New
BUB
13
BBVA USA Bancshares
Texas
$6.35M +$140K +7,146 +2%
PI
14
Placemark Investments
Illinois
$4.88M +$1.31M +66,529 +37%
RJA
15
Raymond James & Associates
Florida
$4.18M +$1.24M +62,949 +42%
LPL Financial
16
LPL Financial
California
$4.17M +$1.33M +67,908 +49%
TT
17
Tower Trust
Indiana
$4.04M -$205K -10,447 -5%
HighTower Advisors
18
HighTower Advisors
Illinois
$2.85M +$357K +18,177 +14%
FA
19
FDx Advisors
Illinois
$2.8M +$667K +33,952 +31%
Citigroup
20
Citigroup
New York
$1.99M -$1.96M -100,000 -50%
Janney Montgomery Scott
21
Janney Montgomery Scott
Pennsylvania
$1.69M +$1.68M +85,750 New
SNC
22
Stifel Nicolaus & Co
Missouri
$1.64M -$860K -43,771 -35%
OC
23
Oppenheimer & Co
New York
$1.35M -$64K -3,261 -5%
JP Morgan Chase
24
JP Morgan Chase
New York
$1.3M +$123K +6,271 +10%
HR
25
Howe & Rusling
New York
$1.27M -$224K -11,415 -15%

FXO Hedge Fund Activity: Q3 2013 in Review

52 of the 3,084 institutional investors tracked by Wall St. Rank reported a position in First Trust Financials AlphaDEX Fund (FXO) for Q3 2013, worth a combined $332M — up 72% from $193M a quarter earlier.

Buyers outnumbered sellers: 9 funds opened new FXO positions and 8 closed out — a net gain of 1 holder — while 27 added to existing stakes and 11 trimmed.

The largest buyer was Navellier & Associates, adding an estimated $54.9M. The largest seller was Hays Advisory, exiting entirely with an estimated $18.5M sold.

  • 52 institutional investors held First Trust Financials AlphaDEX Fund (FXO) as of Q3 2013, unchanged from Q2 2013.
  • Funds reported $332M of First Trust Financials AlphaDEX Fund stock for Q3 2013, up 72% quarter-over-quarter.
  • 9 funds opened new First Trust Financials AlphaDEX Fund positions in Q3 2013 and 8 closed out, a net change of +1 holder.
  • The largest First Trust Financials AlphaDEX Fund buyer in Q3 2013 was Navellier & Associates, an estimated $54.9M added.
  • The largest First Trust Financials AlphaDEX Fund seller in Q3 2013 was Hays Advisory, an estimated $18.5M sold.

Based on aggregated 13F filings for Q3 2013.