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First Trust Utilities AlphaDEX Fund
FXU

77 hedge funds and large institutions have $109M invested in First Trust Utilities AlphaDEX Fund in 2020 Q4 according to their latest regulatory filings, with 11 funds opening new positions, 14 increasing their positions, 35 reducing their positions, and 7 closing their positions.

New
Increased
Maintained
Reduced
Closed

57% more first-time investments, than exits

New positions opened: 11 | Existing positions closed: 7

3% more funds holding

Funds holding: 75 → 77 (+2)

1.38% more ownership

Funds ownership: 53.7% → 55.08% (+1.4%)

0% more funds holding in top 10

Funds holding in top 10: 1 → 1 (0)

2% less capital invested

Capital invested by funds: $111M → $109M (-$1.81M)

60% less repeat investments, than reductions

Existing positions increased: 14 | Existing positions reduced: 35

Holders
77
Holders Change
+2
Holders Change %
+2.67%
% of All Funds
1.36%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.02%
New
11
Increased
14
Reduced
35
Closed
7
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
JAWM
J. Arnold Wealth Management
Ohio
+$1.59M
2
AWM
AE Wealth Management
Kansas
+$1.17M
3
SS
Simplicity Solutions
Minnesota
+$1.15M
4
PFS
Prospera Financial Services
Texas
+$1.04M
5
Goldman Sachs
Goldman Sachs
New York
+$684K

Top Sellers

Rank Fund Capital Flow
1
Truist Financial
Truist Financial
North Carolina
-$5.28M
2
MML Investors Services
MML Investors Services
Massachusetts
-$2.58M
3
UBS Group
UBS Group
Switzerland
-$2.16M
4
Wells Fargo
Wells Fargo
California
-$1.45M
5
Bank of America
Bank of America
North Carolina
-$1.25M
Name Holding Trade Value Shares
Change 		Change in
Stake
Citigroup
51
Citigroup
New York
$110K +$651 +23 +0.6%
CFGS
52
Concourse Financial Group Securities
Alabama
$97K -$9.12K -322 -9%
FFA
53
Founders Financial Alliance
North Carolina
$76K +$142 +5 +0.2%
ASN
54
Advisory Services Network
Georgia
$75K – – –
WTC
55
WhitTier Trust Company
Nevada
$71K – – –
PFBT
56
Parkside Financial Bank & Trust
Missouri
$49K – – –
AAP
57
Arax Advisory Partners
Colorado
$43K – – –
Northwestern Mutual Wealth Management
58
Northwestern Mutual Wealth Management
Wisconsin
$42K -$57.7K -2,037 -58%
GWM
59
Geneos Wealth Management
Colorado
$40K – – –
EP
60
Eudaimonia Partners
Tennessee
$39K -$12.9K -456 -25%
Carson Wealth (CWM LLC)
61
Carson Wealth (CWM LLC)
Nebraska
$38K – – –
CFB
62
Cullen/Frost Bankers
Texas
$28K – – –
SPIA
63
Steward Partners Investment Advisory
New York
$23K – – –
MCC
64
Money Concepts Capital
Florida
$22K +$21.7K +767 New
JP Morgan Chase
65
JP Morgan Chase
New York
$21K – – –
BFEC
66
Benjamin F. Edwards & Company
Missouri
$16K -$3.12K -110 -16%
Fidelity Investments
67
Fidelity Investments
Massachusetts
$7K -$5.8K -205 -46%
William Blair & Company
68
William Blair & Company
Illinois
$7K – – –
VFA
69
Valeo Financial Advisors
Indiana
$5K – – –
CIAS
70
Capital Investment Advisory Services
North Carolina
$4K – – –
NFG
71
Next Financial Group
Texas
$3K +$1.7K +60 +162%
TFA
72
Transamerica Financial Advisors
Florida
$2K – – –
KFI
73
Key Financial Inc
Pennsylvania
$2K +$2.21K +78 New
AF
74
Advisornet Financial
Minnesota
$1K – – –
HFS
75
Horizon Financial Services
North Carolina
$1K – – –
1 2
3
4

FXU Hedge Fund Activity: Q4 2020 in Review

77 of the 5,651 institutional investors tracked by Wall St. Rank reported a position in First Trust Utilities AlphaDEX Fund (FXU) for Q4 2020, worth a combined $109M — down 1.6% from $111M a quarter earlier.

Buyers outnumbered sellers: 11 funds opened new FXU positions and 7 closed out — a net gain of 4 holders — while 14 added to existing stakes and 35 trimmed.

The largest buyer was J. Arnold Wealth Management, adding an estimated $1.59M. The largest seller was Truist Financial, cutting an estimated $5.28M.

  • 77 institutional investors held First Trust Utilities AlphaDEX Fund (FXU) as of Q4 2020, up from 75 in Q3 2020.
  • Funds reported $109M of First Trust Utilities AlphaDEX Fund stock for Q4 2020, down 1.6% quarter-over-quarter.
  • 11 funds opened new First Trust Utilities AlphaDEX Fund positions in Q4 2020 and 7 closed out, a net change of +4 holders.
  • The largest First Trust Utilities AlphaDEX Fund buyer in Q4 2020 was J. Arnold Wealth Management, an estimated $1.59M added.
  • The largest First Trust Utilities AlphaDEX Fund seller in Q4 2020 was Truist Financial, an estimated $5.28M sold.

Based on aggregated 13F filings for Q4 2020.