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First Trust Utilities AlphaDEX Fund
FXU

44 hedge funds and large institutions have $95.1M invested in First Trust Utilities AlphaDEX Fund in 2015 Q3 according to their latest regulatory filings, with 4 funds opening new positions, 18 increasing their positions, 16 reducing their positions, and 10 closing their positions.

New
Increased
Maintained
Reduced
Closed

50% more capital invested

Capital invested by funds: $63.4M → $95.1M (+$31.7M)

12.68% more ownership

Funds ownership: 48.2% → 60.88% (+13%)

13% more repeat investments, than reductions

Existing positions increased: 18 | Existing positions reduced: 16

14% less funds holding

Funds holding: 51 → 44 (-7)

60% less first-time investments, than exits

New positions opened: 4 | Existing positions closed: 10

Holders
44
Holders Change
-7
Holders Change %
-13.73%
% of All Funds
1.23%
Holding in Top 10
4
Holding in Top 10 Change
+4
Holding in Top 10 Change %
% of All Funds
0.11%
New
4
Increased
18
Reduced
16
Closed
10
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
BCM
Brookstone Capital Management
Illinois
+$16.1M
2
UBS Group
UBS Group
Switzerland
+$11M
3
Morgan Stanley
Morgan Stanley
New York
+$6.76M
4
Wells Fargo
Wells Fargo
California
+$3.33M
5
CS
Credit Suisse
Switzerland
+$1.64M

Top Sellers

Rank Fund Capital Flow
1
Goldman Sachs
Goldman Sachs
New York
-$3.47M
2
Bank of America
Bank of America
North Carolina
-$1.75M
3
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$1.5M
4
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
-$1.28M
5
Jane Street
Jane Street
New York
-$974K
Name Holding Trade Value Shares
Change 		Change in
Stake
BRWA
26
B. Riley Wealth Advisors
Florida
$326K -$15.8K -700 -5%
Walleye Trading
27
Walleye Trading
New York
$245K +$43.2K +1,915 +21%
ONB
28
Old National Bancorp
Indiana
$230K -$41.5K -1,840 -15%
FIM
29
Freedom Investment Management
Connecticut
$227K -$239K -10,572 -53%
CA
30
Cetera Advisors
Colorado
$226K +$13.3K +589 +6%
AIG
31
American International Group
New York
$222K -$1.63K -72 -0.7%
Citigroup
32
Citigroup
New York
$168K -$24.4K -1,081 -13%
MFS
33
MSI Financial Services
Massachusetts
$94K +$11.7K +517 +14%
PNC Financial Services Group
34
PNC Financial Services Group
Pennsylvania
$90K – – –
TRCT
35
Tower Research Capital (TRC)
New York
$76K -$203K -9,011 -73%
MAS
36
Madden Advisory Services
Florida
$59K – – –
AP
37
Advisors Preferred
Maryland
$33K +$32.8K +1,455 New
WEC
38
Winslow Evans & Crocker
Massachusetts
$21.5K – – –
JFGIW
39
Johnson Financial Group Inc (Wisconsin)
Wisconsin
$18K +$1.01K +45 +6%
BWA
40
Burt Wealth Advisors
Maryland
$16K – – –
TIM
41
Tortoise Investment Management
New York
$6K – – –
Thrivent Financial for Lutherans
42
Thrivent Financial for Lutherans
Minnesota
$2K +$2.14K +95 New
Manulife (Manufacturers Life Insurance)
43
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$5 +$45 +2 +0.9%
Jane Street
44
Jane Street
New York
– -$974K -44,252 Closed
SG Americas Securities
45
SG Americas Securities
New York
– -$761K -34,586 Closed
Citadel Advisors
46
Citadel Advisors
Florida
– -$630K -28,635 Closed
TH
47
Timber Hill
Connecticut
– -$625K -28,423 Closed
TFA
48
Transamerica Financial Advisors
Florida
– -$149K -6,771 Closed
NFG
49
Next Financial Group
Texas
– -$27K -1,250 Closed
W
50
Wealthfront
California
– -$19K -877 Closed
1
2
3

FXU Hedge Fund Activity: Q3 2015 in Review

44 of the 3,582 institutional investors tracked by Wall St. Rank reported a position in First Trust Utilities AlphaDEX Fund (FXU) for Q3 2015, worth a combined $95.1M — up 50% from $63.4M a quarter earlier.

Sellers outnumbered buyers: 10 funds closed out of FXU and 4 opened new positions — a net loss of 6 holders — while 16 trimmed existing stakes and 18 added.

The largest buyer was Brookstone Capital Management, opening a new position worth an estimated $16.1M. The largest seller was Goldman Sachs, cutting an estimated $3.47M.

  • 44 institutional investors held First Trust Utilities AlphaDEX Fund (FXU) as of Q3 2015, down from 51 in Q2 2015.
  • Funds reported $95.1M of First Trust Utilities AlphaDEX Fund stock for Q3 2015, up 50% quarter-over-quarter.
  • 4 funds opened new First Trust Utilities AlphaDEX Fund positions in Q3 2015 and 10 closed out, a net change of -6 holders.
  • The largest First Trust Utilities AlphaDEX Fund buyer in Q3 2015 was Brookstone Capital Management, an estimated $16.1M added.
  • The largest First Trust Utilities AlphaDEX Fund seller in Q3 2015 was Goldman Sachs, an estimated $3.47M sold.

Based on aggregated 13F filings for Q3 2015.