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First Trust Utilities AlphaDEX Fund
FXU

Overview Fund Activity

35 hedge funds and large institutions have $209M invested in First Trust Utilities AlphaDEX Fund in 2013 Q3 according to their latest regulatory filings, with 8 funds opening new positions, 13 increasing their positions, 10 reducing their positions, and 12 closing their positions.

Holders
35
Holders Change
-5
Holders Change %
-12.5%
% of All Funds
1.14%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
%
% of All Funds
0.03%
New
8
Increased
13
Reduced
10
Closed
12
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
NA
1
Navellier & Associates
Nevada
$58M
2
FSIM
2
F-Squared Investment Management
Massachusetts
$27.4M
3
BTS
3
BB&T Securities
Virginia
$23.8M
4
PPA
4
Parametric Portfolio Associates
Washington
$18.6M
5
Goldman Sachs
5
Goldman Sachs
New York
$2.12M

Top Sellers

1
BFA
1
Beaumont Financial Advisors
Massachusetts
$0
2
Wells Fargo
2
Wells Fargo
California
$6.67M
3
CS
3
Credit Suisse
Switzerland
$1.23M
4
Susquehanna International Group
4
Susquehanna International Group
Pennsylvania
$0
5
DS
5
DRW Securities
Illinois
$0
Name Market Value Shares Shares
Change 		Shares
Change %
Envestnet Asset Management
26
Envestnet Asset Management
Illinois
$225K 11,310 -4,385 -28%
Northwestern Mutual Wealth Management
27
Northwestern Mutual Wealth Management
Wisconsin
$151K 7,597 +7,597 New
AIG
28
American International Group
New York
$81.6K 4,099 -100 -2%
RIA
29
Regal Investment Advisors
Michigan
$72K 3,613 – –
LTFS
30
Ladenburg Thalmann Financial Services
Florida
$46K 2,301 +31 +1%
WA
31
WFG Advisors
Texas
$20K 1,000 – –
Nomura Holdings
32
Nomura Holdings
Japan
$6K 300 +300 New
TIM
33
Tortoise Investment Management
New York
$5K 248 – –
AC
34
Alexandria Capital
Virginia
$3K 172 – –
KIG
35
Kessler Investment Group
Indiana
$3K 175 +175 New
BFA
36
Beaumont Financial Advisors
Massachusetts
– – -304,263 Closed
Susquehanna International Group
37
Susquehanna International Group
Pennsylvania
– – -93,093 Closed
DS
38
DRW Securities
Illinois
– – -79,476 Closed
RJA
39
Raymond James & Associates
Florida
– – -20,839 Closed
Thrivent Financial for Lutherans
40
Thrivent Financial for Lutherans
Minnesota
– – -16,551 Closed
RJFSA
41
Raymond James Financial Services Advisors
Florida
– – -12,429 Closed
Ameriprise
42
Ameriprise
Minnesota
– – -6,174 Closed
FHC
43
First Heartland Consultants
Missouri
– – -2,705 Closed
BFEC
44
Benjamin F. Edwards & Company
Missouri
– – -661 Closed
NES
45
New England Securities
New York
– – -525 Closed
Citigroup
46
Citigroup
New York
– – -57 Closed
GI
47
Gradient Investments
Minnesota
– – -51 Closed
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