We are live on ! Find out more
FXU icon

First Trust Utilities AlphaDEX Fund

35 hedge funds and large institutions have $209M invested in First Trust Utilities AlphaDEX Fund in 2013 Q3 according to their latest regulatory filings, with 8 funds opening new positions, 13 increasing their positions, 10 reducing their positions, and 12 closing their positions.

New
Increased
Maintained
Reduced
Closed

103% more capital invested

Capital invested by funds: $103M → $209M (+$106M)

30% more repeat investments, than reductions

Existing positions increased: 13 | Existing positions reduced: 10

29.63% more ownership

Funds ownership: 54.38%84.02% (+30%)

13% less funds holding

Funds holding: 4035 (-5)

33% less first-time investments, than exits

New positions opened: 8 | Existing positions closed: 12

Holders
35
Holders Change
-5
Holders Change %
-12.5%
% of All Funds
1.13%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
% of All Funds
0.03%
New
8
Increased
13
Reduced
10
Closed
12
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
NA
1
Navellier & Associates
Nevada
$58M +$55.3M +2,738,741 +1,570%
Bank of America
2
Bank of America
North Carolina
$44.5M +$2.02M +99,811 +5%
FSIM
3
F-Squared Investment Management
Massachusetts
$27.4M +$27.9M +1,379,032 New
BTS
4
BB&T Securities
Virginia
$23.8M +$1.27M +62,793 +110%
PPA
5
Parametric Portfolio Associates
Washington
$18.6M +$6.9M +341,388 +57%
Wells Fargo
6
Wells Fargo
California
$6.67M -$2.98M -147,752 -31%
Morgan Stanley
7
Morgan Stanley
New York
$6.31M -$437K -21,636 -6%
PI
8
Placemark Investments
Illinois
$4.75M +$1.59M +78,951 +49%
U
9
UBS
Switzerland
$3.29M -$153K -7,558 -4%
FA
10
FDx Advisors
Illinois
$2.71M +$770K +38,128 +39%
Goldman Sachs
11
Goldman Sachs
New York
$2.12M +$2.16M +106,707 New
SAM
12
SignalPoint Asset Management
Missouri
$1.41M -$313K -15,503 -18%
CS
13
Credit Suisse
Switzerland
$1.23M -$2.1M -104,138 -63%
LPL Financial
14
LPL Financial
California
$1.1M -$12.9K -637 -1%
PFS
15
Prospera Financial Services
Texas
$1.1M +$1.11M +54,741 New
Royal Bank of Canada
16
Royal Bank of Canada
Ontario, Canada
$1.02M +$284K +14,082 +38%
VF
17
Virtu Financial
New York
$910K +$595K +29,467 +181%
SNC
18
Stifel Nicolaus & Co
Missouri
$614K +$270K +13,361 +76%
Janney Montgomery Scott
19
Janney Montgomery Scott
Pennsylvania
$456K +$463K +22,921 New
TT
20
Tower Trust
Indiana
$437K -$89.6K -4,438 -17%
IH
21
IFC Holdings
Florida
$403K +$173K +8,579 +74%
VKH
22
Virtu KCG Holdings
New York
$388K +$394K +19,486 New
Cambridge Investment Research Advisors
23
Cambridge Investment Research Advisors
Iowa
$317K +$90.2K +4,467 +39%
BRWA
24
B. Riley Wealth Advisors
Florida
$263K +$6.06K +300 +2%
Commonwealth Equity Services
25
Commonwealth Equity Services
Massachusetts
$236K -$25.5K -1,262 -10%

FXU Hedge Fund Activity: Q3 2013 in Review

35 of the 3,084 institutional investors tracked by Wall St. Rank reported a position in First Trust Utilities AlphaDEX Fund (FXU) for Q3 2013, worth a combined $209M — up 103% from $103M a quarter earlier.

Sellers outnumbered buyers: 12 funds closed out of FXU and 8 opened new positions — a net loss of 4 holders — while 10 trimmed existing stakes and 13 added.

The largest buyer was Navellier & Associates, adding an estimated $55.3M. The largest seller was Beaumont Financial Advisors, exiting entirely with an estimated $6.02M sold.

  • 35 institutional investors held First Trust Utilities AlphaDEX Fund (FXU) as of Q3 2013, down from 40 in Q2 2013.
  • Funds reported $209M of First Trust Utilities AlphaDEX Fund stock for Q3 2013, up 103% quarter-over-quarter.
  • 8 funds opened new First Trust Utilities AlphaDEX Fund positions in Q3 2013 and 12 closed out, a net change of -4 holders.
  • The largest First Trust Utilities AlphaDEX Fund buyer in Q3 2013 was Navellier & Associates, an estimated $55.3M added.
  • The largest First Trust Utilities AlphaDEX Fund seller in Q3 2013 was Beaumont Financial Advisors, an estimated $6.02M sold.

Based on aggregated 13F filings for Q3 2013.