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First Trust Utilities AlphaDEX Fund
FXU

94 hedge funds and large institutions have $633M invested in First Trust Utilities AlphaDEX Fund in 2020 Q1 according to their latest regulatory filings, with 16 funds opening new positions, 20 increasing their positions, 46 reducing their positions, and 23 closing their positions.

New
Increased
Maintained
Reduced
Closed

1.58% less ownership

Funds ownership: 81.71% → 80.13% (-1.6%)

10% less funds holding

Funds holding: 104 → 94 (-10)

30% less first-time investments, than exits

New positions opened: 16 | Existing positions closed: 23

38% less capital invested

Capital invested by funds: $1.03B → $633M (-$392M)

57% less repeat investments, than reductions

Existing positions increased: 20 | Existing positions reduced: 46

67% less funds holding in top 10

Funds holding in top 10: 3 → 1 (-2)

Holders
94
Holders Change
-10
Holders Change %
-9.62%
% of All Funds
2.07%
Holding in Top 10
1
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-66.67%
% of All Funds
0.02%
New
16
Increased
20
Reduced
46
Closed
23
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Susquehanna International Group
Susquehanna International Group
Pennsylvania
+$3.23M
2
MML Investors Services
MML Investors Services
Massachusetts
+$1.98M
3
TSS
Two Sigma Securities
New York
+$1.72M
4
Goldman Sachs
Goldman Sachs
New York
+$1.63M
5
Citadel Advisors
Citadel Advisors
Florida
+$1.13M

Top Sellers

Rank Fund Capital Flow
1
First Trust Advisors
First Trust Advisors
Illinois
-$154M
2
Morgan Stanley
Morgan Stanley
New York
-$24.7M
3
NC
NewSquare Capital
Pennsylvania
-$13.7M
4
Bank of America
Bank of America
North Carolina
-$11.7M
5
Wells Fargo
Wells Fargo
California
-$11.1M
Name Holding Trade Value Shares
Change 		Change in
Stake
Carson Wealth (CWM LLC)
76
Carson Wealth (CWM LLC)
Nebraska
$38K – – –
EWM
77
EPG Wealth Management
Georgia
$37K +$42.4K +1,495 New
AIC
78
Ameritas Investment Company
Nebraska
$37K +$43.2K +1,525 New
EP
79
Eudaimonia Partners
Tennessee
$36K -$61.2K -2,158 -60%
GWM
80
Geneos Wealth Management
Colorado
$33K – – –
CS
81
Capital Square
Tennessee
$28K +$32K +1,129 New
Northwestern Mutual Wealth Management
82
Northwestern Mutual Wealth Management
Wisconsin
$27K +$13.6K +478 +78%
CFB
83
Cullen/Frost Bankers
Texas
$24K – – –
SNT
84
Security National Trust
West Virginia
$18K – – –
Fidelity Investments
85
Fidelity Investments
Massachusetts
$18K +$8.93K +315 +76%
BWA
86
Burt Wealth Advisors
Maryland
$17K – – –
WAP
87
Wealthcare Advisory Partners
Pennsylvania
$10K +$11.3K +400 New
William Blair & Company
88
William Blair & Company
Illinois
$6K -$2.07K -73 -22%
VFA
89
Valeo Financial Advisors
Indiana
$5K – – –
VNA
90
Valley National Advisers
Pennsylvania
$3K – – –
AA
91
Advisory Alpha
Michigan
$1.27K -$1.38M -48,701 -100%
AF
92
Advisornet Financial
Minnesota
$1K – – –
LFG
93
Larson Financial Group
Missouri
$1K +$737 +26 New
Qube Research & Technologies (QRT)
94
Qube Research & Technologies (QRT)
United Kingdom
$1K +$822 +29 New
IAA
95
Independent Advisor Alliance
North Carolina
– -$3.17M -108,391 Closed
MWM
96
MinichMacGregor Wealth Management
New York
– -$2.96M -101,329 Closed
WP
97
WealthSource Partners
California
– -$2.65M -90,823 Closed
VCM
98
Virtue Capital Management
Tennessee
– -$2.07M -70,815 Closed
SPC
99
Sigma Planning Corp
Michigan
– -$1.97M -67,287 Closed
FEM
100
Fulcrum Equity Management
Texas
– -$1.57M -53,750 Closed
1 2 3
4
5

FXU Hedge Fund Activity: Q1 2020 in Review

94 of the 4,538 institutional investors tracked by Wall St. Rank reported a position in First Trust Utilities AlphaDEX Fund (FXU) for Q1 2020, worth a combined $633M — down 38% from $1.03B a quarter earlier.

Sellers outnumbered buyers: 23 funds closed out of FXU and 16 opened new positions — a net loss of 7 holders — while 46 trimmed existing stakes and 20 added.

The largest buyer was Susquehanna International Group, adding an estimated $3.23M. The largest seller was First Trust Advisors, cutting an estimated $154M.

  • 94 institutional investors held First Trust Utilities AlphaDEX Fund (FXU) as of Q1 2020, down from 104 in Q4 2019.
  • Funds reported $633M of First Trust Utilities AlphaDEX Fund stock for Q1 2020, down 38% quarter-over-quarter.
  • 16 funds opened new First Trust Utilities AlphaDEX Fund positions in Q1 2020 and 23 closed out, a net change of -7 holders.
  • The largest First Trust Utilities AlphaDEX Fund buyer in Q1 2020 was Susquehanna International Group, an estimated $3.23M added.
  • The largest First Trust Utilities AlphaDEX Fund seller in Q1 2020 was First Trust Advisors, an estimated $154M sold.

Based on aggregated 13F filings for Q1 2020.