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First Trust Utilities AlphaDEX Fund
FXU

66 hedge funds and large institutions have $739M invested in First Trust Utilities AlphaDEX Fund in 2014 Q4 according to their latest regulatory filings, with 31 funds opening new positions, 20 increasing their positions, 9 reducing their positions, and 8 closing their positions.

New
Increased
Maintained
Reduced
Closed

427% more capital invested

Capital invested by funds: $140M → $739M (+$599M)

288% more first-time investments, than exits

New positions opened: 31 | Existing positions closed: 8

132.46% more ownership

Funds ownership: 66.58% → 199.04% (+132%)

122% more repeat investments, than reductions

Existing positions increased: 20 | Existing positions reduced: 9

50% more funds holding

Funds holding: 44 → 66 (+22)

100% less call options, than puts

Call options by funds: $0 | Put options by funds: $503K

Holders
66
Holders Change
+22
Holders Change %
+50%
% of All Funds
1.76%
Holding in Top 10
2
Holding in Top 10 Change
+2
Holding in Top 10 Change %
% of All Funds
0.05%
New
31
Increased
20
Reduced
9
Closed
8
Calls
–
Puts
$503K
Net Calls
-$503K
Net Calls Change
-$503K

Top Buyers

Rank Fund Capital Flow
1
FSIM
F-Squared Investment Management
Massachusetts
+$342M
2
PPA
Parametric Portfolio Associates
Washington
+$41.1M
3
BFA
Beaumont Financial Advisors
Massachusetts
+$29M
4
SAM
Shamrock Asset Management
Texas
+$23M
5
HA
Hays Advisory
Tennessee
+$20.1M

Top Sellers

Rank Fund Capital Flow
1
CS
Credit Suisse
Switzerland
-$4.13M
2
Goldman Sachs
Goldman Sachs
New York
-$2.6M
3
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$2.2M
4
Jane Street
Jane Street
New York
-$1.42M
5
VF
Virtu Financial
New York
-$734K
Name Holding Trade Value Shares
Change 		Change in
Stake
TRCT
26
Tower Research Capital (TRC)
New York
$733K +$705K +29,454 New
Royal Bank of Canada
27
Royal Bank of Canada
Ontario, Canada
$698K -$201K -8,381 -23%
SI
28
Stephens Inc
Arkansas
$644K +$398K +16,638 +180%
Janney Montgomery Scott
29
Janney Montgomery Scott
Pennsylvania
$641K +$617K +25,778 New
Cambridge Investment Research Advisors
30
Cambridge Investment Research Advisors
Iowa
$621K +$132K +5,536 +29%
IH
31
IFC Holdings
Florida
$568K – – –
HighTower Advisors
32
HighTower Advisors
Illinois
$542K – – –
ACM
33
Aviance Capital Management
Florida
$541K +$520K +21,735 New
FA
34
FDx Advisors
Illinois
$539K +$518K +21,658 New
ACM
35
Argentus Capital Management
Texas
$481K +$463K +19,339 New
Commonwealth Equity Services
36
Commonwealth Equity Services
Massachusetts
$449K -$62.4K -2,609 -13%
PAG
37
Private Advisor Group
New Jersey
$432K +$334K +13,976 +412%
ONB
38
Old National Bancorp
Indiana
$382K -$106K -4,445 -22%
AIG
39
American International Group
New York
$354K +$41.5K +1,733 +14%
Koshinski Asset Management
40
Koshinski Asset Management
Illinois
$299K +$287K +12,004 New
FHC
41
First Heartland Consultants
Missouri
$278K +$7.18K +300 +3%
CA
42
Cetera Advisors
Colorado
$251K +$241K +10,069 New
FIM
43
Freedom Investment Management
Connecticut
$244K +$235K +9,808 New
CS
44
Credit Suisse
Switzerland
$240K -$4.13M -172,663 -95%
NA
45
Navellier & Associates
Nevada
$240K +$7.8K +326 +3%
LTFS
46
Ladenburg Thalmann Financial Services
Florida
$223K +$7.11K +297 +3%
Creative Planning
47
Creative Planning
Kansas
$108K -$21.2K -887 -17%
IPC
48
Independent Portfolio Consultants
Florida
$103K +$98.8K +4,130 New
ASN
49
Advisory Services Network
Georgia
$95K +$89.9K +3,755 New
BRWM
50
B. Riley Wealth Management
Tennessee
$90K +$69.9K +2,921 +409%
1
2
3

FXU Hedge Fund Activity: Q4 2014 in Review

66 of the 3,749 institutional investors tracked by Wall St. Rank reported a position in First Trust Utilities AlphaDEX Fund (FXU) for Q4 2014, worth a combined $739M — up 427% from $140M a quarter earlier.

Buyers outnumbered sellers: 31 funds opened new FXU positions and 8 closed out — a net gain of 23 holders — while 20 added to existing stakes and 9 trimmed.

The largest buyer was F-Squared Investment Management, opening a new position worth an estimated $342M. The largest seller was Credit Suisse, cutting an estimated $4.13M.

  • 66 institutional investors held First Trust Utilities AlphaDEX Fund (FXU) as of Q4 2014, up from 44 in Q3 2014.
  • Funds reported $739M of First Trust Utilities AlphaDEX Fund stock for Q4 2014, up 427% quarter-over-quarter.
  • 31 funds opened new First Trust Utilities AlphaDEX Fund positions in Q4 2014 and 8 closed out, a net change of +23 holders.
  • The largest First Trust Utilities AlphaDEX Fund buyer in Q4 2014 was F-Squared Investment Management, an estimated $342M added.
  • The largest First Trust Utilities AlphaDEX Fund seller in Q4 2014 was Credit Suisse, an estimated $4.13M sold.

Based on aggregated 13F filings for Q4 2014.