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First Trust Utilities AlphaDEX Fund
FXU

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: 3 → 4 (+1)

0.5% more ownership

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

5% less funds holding

Funds holding: 104 → 99 (-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
–

Top Buyers

Rank Fund Capital Flow
1
Citadel Advisors
Citadel Advisors
Florida
+$3.72M
2
SFI
SPC Financial Inc
Maryland
+$909K
3
HFS
HL Financial Services
Kentucky
+$352K
4
Goldman Sachs
Goldman Sachs
New York
+$348K
5
MFBTD
MB Financial Bank - Trust Department
Illinois
+$335K

Top Sellers

Rank Fund Capital Flow
1
First Trust Advisors
First Trust Advisors
Illinois
-$60M
2
Morgan Stanley
Morgan Stanley
New York
-$21.8M
3
RIG
RiverFront Investment Group
Virginia
-$19.8M
4
UBS Group
UBS Group
Switzerland
-$18.8M
5
Wells Fargo
Wells Fargo
California
-$18.1M
Name Holding Trade Value Shares
Change 		Change in
Stake
VF
101
Virtu Financial
New York
– -$1.43M -55,008 Closed
ACM
102
Aviance Capital Management
Florida
– -$1.07M -41,253 Closed
RPG
103
Risk Paradigm Group
Texas
– -$549K -21,160 Closed
HF
104
HRT Financial
New York
– -$496K -19,143 Closed
ACM
105
Argentus Capital Management
Texas
– -$482K -18,588 Closed
WI
106
WBI Investments
New Jersey
– -$464K -17,885 Closed
BRWA
107
B. Riley Wealth Advisors
Florida
– -$385K -14,812 Closed
PTC
108
Private Trust Company
Ohio
– -$255K -9,854 Closed
WS
109
Wedbush Securities
California
– -$226K -8,729 Closed
CAM
110
Concorde Asset Management
Michigan
– -$203K -7,816 Closed
SAM
111
Shamrock Asset Management
Texas
– -$92K -3,584 Closed
AIM
112
Advantage Investment Management
Iowa
– -$20K -780 Closed
Mariner
113
Mariner
Kansas
– -$5K -188 Closed
JFGIW
114
Johnson Financial Group Inc (Wisconsin)
Wisconsin
– -$4K -160 Closed
1 2 3 4
5

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.