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First Trust Utilities AlphaDEX Fund
FXU

105 hedge funds and large institutions have $1.06B invested in First Trust Utilities AlphaDEX Fund in 2019 Q3 according to their latest regulatory filings, with 15 funds opening new positions, 36 increasing their positions, 36 reducing their positions, and 18 closing their positions.

New
Increased
Maintained
Reduced
Closed

0% more repeat investments, than reductions

Existing positions increased: 36 | Existing positions reduced: 36

1.54% less ownership

Funds ownership: 82.86% → 81.32% (-1.5%)

3% less funds holding

Funds holding: 108 → 105 (-3)

5% less capital invested

Capital invested by funds: $1.12B → $1.06B (-$57.9M)

17% less first-time investments, than exits

New positions opened: 15 | Existing positions closed: 18

25% less funds holding in top 10

Funds holding in top 10: 4 → 3 (-1)

Holders
105
Holders Change
-3
Holders Change %
-2.78%
% of All Funds
2.3%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.07%
New
15
Increased
36
Reduced
36
Closed
18
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
TC
Trilogy Capital
California
+$10.6M
2
RJFSA
Raymond James Financial Services Advisors
Florida
+$6.72M
3
Bank of America
Bank of America
North Carolina
+$5.16M
4
Morgan Stanley
Morgan Stanley
New York
+$4.06M
5
AW
ACG Wealth
Georgia
+$3.71M

Top Sellers

Rank Fund Capital Flow
1
First Trust Advisors
First Trust Advisors
Illinois
-$51.5M
2
RIG
RiverFront Investment Group
Virginia
-$34.7M
3
HighTower Advisors
HighTower Advisors
Illinois
-$6.74M
4
UBS Group
UBS Group
Switzerland
-$6.07M
5
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
-$5.5M
Name Holding Trade Value Shares
Change 		Change in
Stake
Cambridge Investment Research Advisors
26
Cambridge Investment Research Advisors
Iowa
$3.89M +$604K +20,851 +19%
AW
27
ACG Wealth
Georgia
$3.79M +$3.71M +127,967 New
VCM
28
Virtue Capital Management
Tennessee
$3.72M +$2.23M +76,815 +158%
BTS
29
BB&T Securities
Virginia
$3.63M -$1.98M -68,318 -36%
GA
30
Gateway Advisory
New Jersey
$3.39M -$3.39M -116,789 -51%
MML Investors Services
31
MML Investors Services
Massachusetts
$3.18M -$905K -31,214 -23%
MWM
32
MinichMacGregor Wealth Management
New York
$2.83M +$249K +8,607 +10%
PFS
33
Prospera Financial Services
Texas
$2.78M -$146K -5,031 -5%
AWM
34
AE Wealth Management
Kansas
$2.27M +$1.97M +67,860 +788%
SS
35
Simplicity Solutions
Minnesota
$2.23M +$2.18M +75,376 New
SPC
36
Sigma Planning Corp
Michigan
$2.11M +$2.06M +71,126 New
Susquehanna International Group
37
Susquehanna International Group
Pennsylvania
$2.01M +$263K +9,084 +16%
AG
38
Advisor Group
Arizona
$2M +$28.8K +993 +1%
DWA
39
Dorsey Wright & Associates
California
$1.55M -$404K -13,922 -21%
JP Morgan Chase
40
JP Morgan Chase
New York
$1.54M +$3.56K +123 +0.2%
AA
41
Advisory Alpha
Michigan
$1.29M +$74.2K +2,558 +6%
Millennium Management
42
Millennium Management
New York
$1.28M +$1.25M +43,170 New
TRCT
43
Tower Research Capital (TRC)
New York
$1.27M +$84.8K +2,927 +7%
IAA
44
Independent Advisor Alliance
North Carolina
$1.13M +$29 +1 +0%
Goldman Sachs
45
Goldman Sachs
New York
$1.08M – – –
DBRC
46
D.B. Root & Company
Pennsylvania
$1.04M +$531K +18,311 +109%
CAN
47
Claraphi Advisory Network
United States
$1.02M -$7.88K -272 -0.8%
MOS
48
MGO One Seven
Ohio
$918K -$38.4K -1,324 -4%
CAN
49
Cetera Advisor Networks
California
$749K +$29.6K +1,022 +4%
CWM
50
Cornerstone Wealth Management
Missouri
$741K +$465K +16,030 +179%
1
2
3 4 5

FXU Hedge Fund Activity: Q3 2019 in Review

105 of the 4,560 institutional investors tracked by Wall St. Rank reported a position in First Trust Utilities AlphaDEX Fund (FXU) for Q3 2019, worth a combined $1.06B — down 5.2% from $1.12B a quarter earlier.

Sellers outnumbered buyers: 18 funds closed out of FXU and 15 opened new positions — a net loss of 3 holders — while 36 trimmed existing stakes and 36 added.

The largest buyer was Trilogy Capital, opening a new position worth an estimated $10.6M. The largest seller was First Trust Advisors, cutting an estimated $51.5M.

  • 105 institutional investors held First Trust Utilities AlphaDEX Fund (FXU) as of Q3 2019, down from 108 in Q2 2019.
  • Funds reported $1.06B of First Trust Utilities AlphaDEX Fund stock for Q3 2019, down 5.2% quarter-over-quarter.
  • 15 funds opened new First Trust Utilities AlphaDEX Fund positions in Q3 2019 and 18 closed out, a net change of -3 holders.
  • The largest First Trust Utilities AlphaDEX Fund buyer in Q3 2019 was Trilogy Capital, an estimated $10.6M added.
  • The largest First Trust Utilities AlphaDEX Fund seller in Q3 2019 was First Trust Advisors, an estimated $51.5M sold.

Based on aggregated 13F filings for Q3 2019.