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First Trust Utilities AlphaDEX Fund
FXU

76 hedge funds and large institutions have $206M invested in First Trust Utilities AlphaDEX Fund in 2018 Q3 according to their latest regulatory filings, with 13 funds opening new positions, 25 increasing their positions, 20 reducing their positions, and 8 closing their positions.

New
Increased
Maintained
Reduced
Closed

63% more first-time investments, than exits

New positions opened: 13 | Existing positions closed: 8

25% more repeat investments, than reductions

Existing positions increased: 25 | Existing positions reduced: 20

22% more capital invested

Capital invested by funds: $169M → $206M (+$36.9M)

6% more funds holding

Funds holding: 72 → 76 (+4)

4.58% less ownership

Funds ownership: 66.03% → 61.46% (-4.6%)

Holders
76
Holders Change
+4
Holders Change %
+5.56%
% of All Funds
1.74%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
13
Increased
25
Reduced
20
Closed
8
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Morgan Stanley
Morgan Stanley
New York
+$16.3M
2
Wells Fargo
Wells Fargo
California
+$6.29M
3
RJFSA
Raymond James Financial Services Advisors
Florida
+$4.47M
4
VF
Virtu Financial
New York
+$3.56M
5
WP
WealthSource Partners
California
+$2.59M

Top Sellers

Rank Fund Capital Flow
1
Bank of America
Bank of America
North Carolina
-$4.14M
2
LPL Financial
LPL Financial
California
-$2.11M
3
Cambridge Investment Research Advisors
Cambridge Investment Research Advisors
Iowa
-$1.36M
4
RJA
Raymond James & Associates
Florida
-$1.32M
5
Envestnet Asset Management
Envestnet Asset Management
Illinois
-$1.11M
Name Holding Trade Value Shares
Change 		Change in
Stake
PFBT
51
Parkside Financial Bank & Trust
Missouri
$47K – – –
AF
52
Advisornet Financial
Minnesota
$39K – – –
RCAG
53
Rehmann Capital Advisory Group
Michigan
$34.5K +$109 +4 +0.3%
GP
54
Girard Partners
Pennsylvania
$33K +$33.4K +1,230 New
NFG
55
Next Financial Group
Texas
$30K +$29.2K +1,075 New
MWPCG
56
Measured Wealth Private Client Group
New Hampshire
$29K +$28.5K +1,050 New
WEC
57
Winslow Evans & Crocker
Massachusetts
$28K – – –
AP
58
Atwood & Palmer
Missouri
$24K – – –
NC
59
NewSquare Capital
Pennsylvania
$23K – – –
BWA
60
Burt Wealth Advisors
Maryland
$20K – – –
TFA
61
Transamerica Financial Advisors
Florida
$18K -$787 -29 -4%
William Blair & Company
62
William Blair & Company
Illinois
$16K +$27 +1 +0.2%
QCIG
63
Quad-Cities Investment Group
Iowa
$11K -$21.2K -780 -66%
APA
64
American Portfolios Advisors
New York
$10.1K – – –
ASN
65
Advisory Services Network
Georgia
$10K -$4.34K -160 -30%
AWMS
66
Advocacy Wealth Management Services
Georgia
$9K – – –
HI
67
Hudock Inc
Pennsylvania
$7K – – –
RFC
68
Regions Financial Corp
Alabama
$7K – – –
TIM
69
Tortoise Investment Management
New York
$7K – – –
BRC
70
Bell Rock Capital
Delaware
$7K +$54 +2 +0.8%
GWM
71
Geneos Wealth Management
Colorado
$5K – – –
VFA
72
Valeo Financial Advisors
Indiana
$5K – – –
MWM
73
MinichMacGregor Wealth Management
New York
$5K +$27 +1 +0.5%
AA
74
Advisory Alpha
Michigan
$3K -$971K -35,778 -100%
FHA
75
Flagship Harbor Advisors
Massachusetts
$1K – – –
1 2
3
4

FXU Hedge Fund Activity: Q3 2018 in Review

76 of the 4,374 institutional investors tracked by Wall St. Rank reported a position in First Trust Utilities AlphaDEX Fund (FXU) for Q3 2018, worth a combined $206M — up 22% from $169M a quarter earlier.

Buyers outnumbered sellers: 13 funds opened new FXU positions and 8 closed out — a net gain of 5 holders — while 25 added to existing stakes and 20 trimmed.

The largest buyer was Morgan Stanley, adding an estimated $16.3M. The largest seller was Bank of America, cutting an estimated $4.14M.

  • 76 institutional investors held First Trust Utilities AlphaDEX Fund (FXU) as of Q3 2018, up from 72 in Q2 2018.
  • Funds reported $206M of First Trust Utilities AlphaDEX Fund stock for Q3 2018, up 22% quarter-over-quarter.
  • 13 funds opened new First Trust Utilities AlphaDEX Fund positions in Q3 2018 and 8 closed out, a net change of +5 holders.
  • The largest First Trust Utilities AlphaDEX Fund buyer in Q3 2018 was Morgan Stanley, an estimated $16.3M added.
  • The largest First Trust Utilities AlphaDEX Fund seller in Q3 2018 was Bank of America, an estimated $4.14M sold.

Based on aggregated 13F filings for Q3 2018.