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First Trust Utilities AlphaDEX Fund
FXU

105 hedge funds and large institutions have $1.06B invested in First Trust Utilities AlphaDEX Fund in 2019 Q3 according to their latest regulatory filings, with 15 funds opening new positions, 36 increasing their positions, 36 reducing their positions, and 18 closing their positions.

New
Increased
Maintained
Reduced
Closed

0% more repeat investments, than reductions

Existing positions increased: 36 | Existing positions reduced: 36

1.54% less ownership

Funds ownership: 82.86% → 81.32% (-1.5%)

3% less funds holding

Funds holding: 108 → 105 (-3)

5% less capital invested

Capital invested by funds: $1.12B → $1.06B (-$57.9M)

17% less first-time investments, than exits

New positions opened: 15 | Existing positions closed: 18

25% less funds holding in top 10

Funds holding in top 10: 4 → 3 (-1)

Holders
105
Holders Change
-3
Holders Change %
-2.78%
% of All Funds
2.3%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.07%
New
15
Increased
36
Reduced
36
Closed
18
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
TC
Trilogy Capital
California
+$10.6M
2
RJFSA
Raymond James Financial Services Advisors
Florida
+$6.72M
3
Bank of America
Bank of America
North Carolina
+$5.16M
4
Morgan Stanley
Morgan Stanley
New York
+$4.06M
5
AW
ACG Wealth
Georgia
+$3.71M

Top Sellers

Rank Fund Capital Flow
1
First Trust Advisors
First Trust Advisors
Illinois
-$51.5M
2
RIG
RiverFront Investment Group
Virginia
-$34.7M
3
HighTower Advisors
HighTower Advisors
Illinois
-$6.74M
4
UBS Group
UBS Group
Switzerland
-$6.07M
5
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
-$5.5M
Name Holding Trade Value Shares
Change 		Change in
Stake
CA
76
Cetera Advisors
Colorado
$221K -$1.8M -62,049 -89%
KA
77
Kovack Advisors
Florida
$219K +$7.68K +265 +4%
SFS
78
Sowell Financial Services
Arkansas
$215K +$210K +7,250 New
FAAS
79
First Allied Advisory Services
California
$214K -$11.1K -384 -5%
CA
80
Claro Advisors
Massachusetts
$210K +$205K +7,088 New
APA
81
American Portfolios Advisors
New York
$163K +$1.1K +38 +0.7%
TFA
82
Transamerica Financial Advisors
Florida
$139K -$3.76M -129,717 -97%
NFG
83
Next Financial Group
Texas
$115K – – –
AP
84
Atwood & Palmer
Missouri
$94K -$12.2K -420 -12%
WTC
85
WhitTier Trust Company
Nevada
$74K – – –
PFBT
86
Parkside Financial Bank & Trust
Missouri
$51K – – –
AIC
87
Ameritas Investment Company
Nebraska
$45K +$44.2K +1,525 New
GWM
88
Geneos Wealth Management
Colorado
$40K – – –
Carson Wealth (CWM LLC)
89
Carson Wealth (CWM LLC)
Nebraska
$38K – – –
CFB
90
Cullen/Frost Bankers
Texas
$29K – – –
CFGS
91
Concourse Financial Group Securities
Alabama
$22K -$6.29K -217 -23%
BWA
92
Burt Wealth Advisors
Maryland
$21K – – –
WEC
93
Winslow Evans & Crocker
Massachusetts
$16K – – –
US Bancorp
94
US Bancorp
Minnesota
$15K +$14.5K +500 New
QCIG
95
Quad-Cities Investment Group
Iowa
$12K – – –
Fidelity Investments
96
Fidelity Investments
Massachusetts
$10K -$2.44K -84 -20%
William Blair & Company
97
William Blair & Company
Illinois
$10K – – –
BRC
98
Bell Rock Capital
Delaware
$7K +$29 +1 +0.4%
Northwestern Mutual Wealth Management
99
Northwestern Mutual Wealth Management
Wisconsin
$6K – – –
VFA
100
Valeo Financial Advisors
Indiana
$5K – – –
1 2 3
4
5

FXU Hedge Fund Activity: Q3 2019 in Review

105 of the 4,560 institutional investors tracked by Wall St. Rank reported a position in First Trust Utilities AlphaDEX Fund (FXU) for Q3 2019, worth a combined $1.06B — down 5.2% from $1.12B a quarter earlier.

Sellers outnumbered buyers: 18 funds closed out of FXU and 15 opened new positions — a net loss of 3 holders — while 36 trimmed existing stakes and 36 added.

The largest buyer was Trilogy Capital, opening a new position worth an estimated $10.6M. The largest seller was First Trust Advisors, cutting an estimated $51.5M.

  • 105 institutional investors held First Trust Utilities AlphaDEX Fund (FXU) as of Q3 2019, down from 108 in Q2 2019.
  • Funds reported $1.06B of First Trust Utilities AlphaDEX Fund stock for Q3 2019, down 5.2% quarter-over-quarter.
  • 15 funds opened new First Trust Utilities AlphaDEX Fund positions in Q3 2019 and 18 closed out, a net change of -3 holders.
  • The largest First Trust Utilities AlphaDEX Fund buyer in Q3 2019 was Trilogy Capital, an estimated $10.6M added.
  • The largest First Trust Utilities AlphaDEX Fund seller in Q3 2019 was First Trust Advisors, an estimated $51.5M sold.

Based on aggregated 13F filings for Q3 2019.