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First Trust Utilities AlphaDEX Fund
FXU

74 hedge funds and large institutions have $87.4M invested in First Trust Utilities AlphaDEX Fund in 2021 Q1 according to their latest regulatory filings, with 9 funds opening new positions, 13 increasing their positions, 34 reducing their positions, and 10 closing their positions.

New
Increased
Maintained
Reduced
Closed

4% less funds holding

Funds holding: 77 → 74 (-3)

7.12% less ownership

Funds ownership: 55.08% → 47.96% (-7.1%)

10% less first-time investments, than exits

New positions opened: 9 | Existing positions closed: 10

20% less capital invested

Capital invested by funds: $109M → $87.4M (-$21.5M)

62% less repeat investments, than reductions

Existing positions increased: 13 | Existing positions reduced: 34

100% less funds holding in top 10

Funds holding in top 10: 1 → 0 (-1)

Holders
74
Holders Change
-3
Holders Change %
-3.9%
% of All Funds
1.3%
Holding in Top 10
–
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-100%
% of All Funds
–
New
9
Increased
13
Reduced
34
Closed
10
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
IAIM
International Assets Investment Management
Florida
+$2.36M
2
CF
Centaurus Financial
California
+$2.33M
3
Citadel Advisors
Citadel Advisors
Florida
+$1.91M
4
Osaic Holdings
Osaic Holdings
Arizona
+$807K
5
WWM
Western Wealth Management
Colorado
+$311K

Top Sellers

Rank Fund Capital Flow
1
JAWM
J. Arnold Wealth Management
Ohio
-$9.17M
2
Bank of America
Bank of America
North Carolina
-$4.15M
3
Truist Financial
Truist Financial
North Carolina
-$2.82M
4
UBS Group
UBS Group
Switzerland
-$2.62M
5
Envestnet Asset Management
Envestnet Asset Management
Illinois
-$2.45M
Name Holding Trade Value Shares
Change 		Change in
Stake
PFBT
51
Parkside Financial Bank & Trust
Missouri
$51K – – –
GWM
52
Geneos Wealth Management
Colorado
$42K – – –
Carson Wealth (CWM LLC)
53
Carson Wealth (CWM LLC)
Nebraska
$38K – – –
Northwestern Mutual Wealth Management
54
Northwestern Mutual Wealth Management
Wisconsin
$34K -$9.16K -323 -22%
EP
55
Eudaimonia Partners
Tennessee
$33K -$7.89K -278 -20%
CAL
56
Capital Analysts LLC
Pennsylvania
$32K +$30.1K +1,061 New
CFB
57
Cullen/Frost Bankers
Texas
$29K – – –
SPIA
58
Steward Partners Investment Advisory
New York
$24.5K – – –
Fidelity Investments
59
Fidelity Investments
Massachusetts
$24K +$15.5K +547 +225%
MCC
60
Money Concepts Capital
Florida
$23K – – –
JP Morgan Chase
61
JP Morgan Chase
New York
$22K – – –
BFEC
62
Benjamin F. Edwards & Company
Missouri
$17K – – –
William Blair & Company
63
William Blair & Company
Illinois
$15K +$7.26K +256 +98%
NFG
64
Next Financial Group
Texas
$6K +$2.69K +95 +98%
VFA
65
Valeo Financial Advisors
Indiana
$5K – – –
CIAS
66
Capital Investment Advisory Services
North Carolina
$4K – – –
GI
67
Gradient Investments
Minnesota
$3K +$2.98K +105 New
KFI
68
Key Financial Inc
Pennsylvania
$2K – – –
TFA
69
Transamerica Financial Advisors
Florida
$2K – – –
LFG
70
Larson Financial Group
Missouri
$2K +$113 +4 +8%
HIA
71
Harbor Investment Advisory
Maryland
$2K +$1.79K +63 New
CAAS
72
Capital Asset Advisory Services
Michigan
$2K +$2.27K +80 New
AF
73
Advisornet Financial
Minnesota
$1K – – –
VCM
74
Virtue Capital Management
Tennessee
– -$1.68M -59,334 Closed
AWM
75
AE Wealth Management
Kansas
– -$1.17M -41,319 Closed
1 2
3
4

FXU Hedge Fund Activity: Q1 2021 in Review

74 of the 5,695 institutional investors tracked by Wall St. Rank reported a position in First Trust Utilities AlphaDEX Fund (FXU) for Q1 2021, worth a combined $87.4M — down 20% from $109M a quarter earlier.

Sellers outnumbered buyers: 10 funds closed out of FXU and 9 opened new positions — a net loss of 1 holder — while 34 trimmed existing stakes and 13 added.

The largest buyer was International Assets Investment Management, adding an estimated $2.36M. The largest seller was J. Arnold Wealth Management, cutting an estimated $9.17M.

  • 74 institutional investors held First Trust Utilities AlphaDEX Fund (FXU) as of Q1 2021, down from 77 in Q4 2020.
  • Funds reported $87.4M of First Trust Utilities AlphaDEX Fund stock for Q1 2021, down 20% quarter-over-quarter.
  • 9 funds opened new First Trust Utilities AlphaDEX Fund positions in Q1 2021 and 10 closed out, a net change of -1 holder.
  • The largest First Trust Utilities AlphaDEX Fund buyer in Q1 2021 was International Assets Investment Management, an estimated $2.36M added.
  • The largest First Trust Utilities AlphaDEX Fund seller in Q1 2021 was J. Arnold Wealth Management, an estimated $9.17M sold.

Based on aggregated 13F filings for Q1 2021.