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First Trust Utilities AlphaDEX Fund
FXU

76 hedge funds and large institutions have $84.8M invested in First Trust Utilities AlphaDEX Fund in 2021 Q3 according to their latest regulatory filings, with 8 funds opening new positions, 23 increasing their positions, 28 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed

0.69% less ownership

Funds ownership: 47.29% → 46.6% (-0.69%)

1% less capital invested

Capital invested by funds: $85.4M → $84.8M (-$625K)

4% less funds holding

Funds holding: 79 → 76 (-3)

11% less first-time investments, than exits

New positions opened: 8 | Existing positions closed: 9

18% less repeat investments, than reductions

Existing positions increased: 23 | Existing positions reduced: 28

Holders
76
Holders Change
-3
Holders Change %
-3.8%
% of All Funds
1.33%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
8
Increased
23
Reduced
28
Closed
9
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
HighTower Advisors
HighTower Advisors
Illinois
+$4.67M
2
VCM
Virtue Capital Management
Tennessee
+$2.8M
3
Bank of America
Bank of America
North Carolina
+$1.68M
4
Goldman Sachs
Goldman Sachs
New York
+$664K
5
LPL Financial
LPL Financial
California
+$597K

Top Sellers

Rank Fund Capital Flow
1
UBS Group
UBS Group
Switzerland
-$6.26M
2
Citadel Advisors
Citadel Advisors
Florida
-$1.57M
3
Wells Fargo
Wells Fargo
California
-$1.26M
4
Morgan Stanley
Morgan Stanley
New York
-$842K
5
TRCT
Tower Research Capital (TRC)
New York
-$416K
Name Holding Trade Value Shares
Change 		Change in
Stake
CFGS
51
Concourse Financial Group Securities
Alabama
$111K -$14.2K -456 -11%
Rockefeller Capital Management
52
Rockefeller Capital Management
New York
$101K -$289K -9,293 -73%
SFPG
53
Stonebridge Financial Planning Group
Florida
$90K – – –
Koshinski Asset Management
54
Koshinski Asset Management
Illinois
$86.8K +$91.1K +2,933 New
Barclays
55
Barclays
United Kingdom
$59K -$98.1K -3,159 -61%
Bank of Montreal
56
Bank of Montreal
Ontario, Canada
$52K -$32.5K -1,046 -38%
PFBT
57
Parkside Financial Bank & Trust
Missouri
$51K – – –
GWM
58
Geneos Wealth Management
Colorado
$40K – – –
Qube Research & Technologies (QRT)
59
Qube Research & Technologies (QRT)
United Kingdom
$32K -$166K -5,341 -83%
NFSG
60
Newbridge Financial Services Group
Florida
$32K -$2.21K -71 -6%
CFB
61
Cullen/Frost Bankers
Texas
$29K – – –
SPIA
62
Steward Partners Investment Advisory
New York
$27K +$869 +28 +3%
BFEC
63
Benjamin F. Edwards & Company
Missouri
$25K +$8.51K +274 +49%
AAP
64
Arax Advisory Partners
Colorado
$23K – – –
Citigroup
65
Citigroup
New York
$15K -$85.8K -2,763 -85%
NFG
66
Next Financial Group
Texas
$9K +$1.33K +43 +16%
William Blair & Company
67
William Blair & Company
Illinois
$8K -$7.95K -256 -50%
CIAS
68
Capital Investment Advisory Services
North Carolina
$4K – – –
Fidelity Investments
69
Fidelity Investments
Massachusetts
$3K – – –
GI
70
Gradient Investments
Minnesota
$3K – – –
CAAS
71
Capital Asset Advisory Services
Michigan
$2K – – –
KFI
72
Key Financial Inc
Pennsylvania
$2K – – –
TFA
73
Transamerica Financial Advisors
Florida
$2K – – –
SCA
74
Stonebridge Capital Advisors
Minnesota
$2K +$2.08K +67 New
AF
75
Advisornet Financial
Minnesota
$1K – – –
1 2
3
4

FXU Hedge Fund Activity: Q3 2021 in Review

76 of the 5,712 institutional investors tracked by Wall St. Rank reported a position in First Trust Utilities AlphaDEX Fund (FXU) for Q3 2021, worth a combined $84.8M — down 0.73% from $85.4M a quarter earlier.

Sellers outnumbered buyers: 9 funds closed out of FXU and 8 opened new positions — a net loss of 1 holder — while 28 trimmed existing stakes and 23 added.

The largest buyer was HighTower Advisors, opening a new position worth an estimated $4.67M. The largest seller was UBS Group, cutting an estimated $6.26M.

  • 76 institutional investors held First Trust Utilities AlphaDEX Fund (FXU) as of Q3 2021, down from 79 in Q2 2021.
  • Funds reported $84.8M of First Trust Utilities AlphaDEX Fund stock for Q3 2021, down 0.73% quarter-over-quarter.
  • 8 funds opened new First Trust Utilities AlphaDEX Fund positions in Q3 2021 and 9 closed out, a net change of -1 holder.
  • The largest First Trust Utilities AlphaDEX Fund buyer in Q3 2021 was HighTower Advisors, an estimated $4.67M added.
  • The largest First Trust Utilities AlphaDEX Fund seller in Q3 2021 was UBS Group, an estimated $6.26M sold.

Based on aggregated 13F filings for Q3 2021.