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First Trust Utilities AlphaDEX Fund

99 hedge funds and large institutions have $1.24B invested in First Trust Utilities AlphaDEX Fund in 2016 Q4 according to their latest regulatory filings, with 14 funds opening new positions, 16 increasing their positions, 57 reducing their positions, and 17 closing their positions.

New
Increased
Maintained
Reduced
Closed

33% more funds holding in top 10

Funds holding in top 10: 34 (+1)

0.5% more ownership

Funds ownership: 83.78%84.28% (+0.5%)

5% less funds holding

Funds holding: 10499 (-5)

12% less capital invested

Capital invested by funds: $1.41B → $1.24B (-$169M)

18% less first-time investments, than exits

New positions opened: 14 | Existing positions closed: 17

72% less repeat investments, than reductions

Existing positions increased: 16 | Existing positions reduced: 57

Holders
99
Holders Change
-5
Holders Change %
-4.81%
% of All Funds
2.48%
Holding in Top 10
4
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+33.33%
% of All Funds
0.1%
New
14
Increased
16
Reduced
57
Closed
17
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
NPC
76
National Planning Corporation
California
$232K -$23.3K -898 -9%
DADC
77
D.A. Davidson & Co
Montana
$204K -$39.4K -1,520 -17%
Fifth Third Bancorp
78
Fifth Third Bancorp
Ohio
$137K +$112K +4,316 +534%
RFM
79
Royal Fund Management
Florida
$113K +$110K +4,243 New
GWM
80
Geneos Wealth Management
Colorado
$101K
PMFA
81
Plante Moran Financial Advisors
Michigan
$89K +$86.3K +3,330 New
FANJ
82
Financial Architects (New Jersey)
New Jersey
$63K +$44.5K +1,715 +271%
PFBT
83
Parkside Financial Bank & Trust
Missouri
$46K
HIIFS
84
Harel Insurance Investments & Financial Services
Israel
$43K
IPC
85
Independent Portfolio Consultants
Florida
$31K -$8.81K -340 -23%
NFG
86
Next Financial Group
Texas
$31K
CFD
87
Creative Financial Designs
Indiana
$28K +$27.2K +1,050 New
Manulife (Manufacturers Life Insurance)
88
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$27K -$76.7K -2,958 -74%
WEC
89
Winslow Evans & Crocker
Massachusetts
$25.4K
CFA
90
Camarda Financial Advisors
Florida
$21K +$20.8K +801 New
BWA
91
Burt Wealth Advisors
Maryland
$19K
AWMS
92
Advocacy Wealth Management Services
Georgia
$15K +$130 +5 +0.9%
BTIS
93
BB&T Investment Services
North Carolina
$13K +$12.1K +468 New
US Bancorp
94
US Bancorp
Minnesota
$8K +$7.67K +296 New
HI
95
Hudock Inc
Pennsylvania
$7K -$21.3K -820 -75%
MSFP
96
Mark Sheptoff Financial Planning
Connecticut
$7K
TIM
97
Tortoise Investment Management
New York
$7K
BRC
98
Bell Rock Capital
Delaware
$7K +$6.48K +250 New
BFA
99
Beaumont Financial Advisors
Massachusetts
-$2.96M -113,951 Closed
Wolverine Trading
100
Wolverine Trading
Illinois
-$2M -76,701 Closed

FXU Hedge Fund Activity: Q4 2016 in Review

99 of the 4,000 institutional investors tracked by Wall St. Rank reported a position in First Trust Utilities AlphaDEX Fund (FXU) for Q4 2016, worth a combined $1.24B — down 12% from $1.41B a quarter earlier.

Sellers outnumbered buyers: 17 funds closed out of FXU and 14 opened new positions — a net loss of 3 holders — while 57 trimmed existing stakes and 16 added.

The largest buyer was Citadel Advisors, adding an estimated $3.72M. The largest seller was First Trust Advisors, cutting an estimated $60M.

  • 99 institutional investors held First Trust Utilities AlphaDEX Fund (FXU) as of Q4 2016, down from 104 in Q3 2016.
  • Funds reported $1.24B of First Trust Utilities AlphaDEX Fund stock for Q4 2016, down 12% quarter-over-quarter.
  • 14 funds opened new First Trust Utilities AlphaDEX Fund positions in Q4 2016 and 17 closed out, a net change of -3 holders.
  • The largest First Trust Utilities AlphaDEX Fund buyer in Q4 2016 was Citadel Advisors, an estimated $3.72M added.
  • The largest First Trust Utilities AlphaDEX Fund seller in Q4 2016 was First Trust Advisors, an estimated $60M sold.

Based on aggregated 13F filings for Q4 2016.