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First Trust Utilities AlphaDEX Fund

104 hedge funds and large institutions have $1.03B invested in First Trust Utilities AlphaDEX Fund in 2019 Q4 according to their latest regulatory filings, with 18 funds opening new positions, 36 increasing their positions, 33 reducing their positions, and 16 closing their positions.

New
Increased
Maintained
Reduced
Closed

13% more first-time investments, than exits

New positions opened: 18 | Existing positions closed: 16

9% more repeat investments, than reductions

Existing positions increased: 36 | Existing positions reduced: 33

0.39% more ownership

Funds ownership: 81.32%81.71% (+0.39%)

0% more funds holding in top 10

Funds holding in top 10: 33 (0)

1% less funds holding

Funds holding: 105104 (-1)

4% less capital invested

Capital invested by funds: $1.06B → $1.03B (-$39.1M)

Holders
104
Holders Change
-1
Holders Change %
-0.95%
% of All Funds
2.05%
Holding in Top 10
3
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
0.06%
New
18
Increased
36
Reduced
33
Closed
16
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
First Trust Advisors
1
First Trust Advisors
Illinois
$551M +$10.2M +349,910 +2%
Morgan Stanley
2
Morgan Stanley
New York
$101M -$11.5M -395,213 -10%
Wells Fargo
3
Wells Fargo
California
$70.5M -$3.87M -133,452 -5%
Bank of America
4
Bank of America
North Carolina
$41.1M -$1.11M -38,320 -3%
UBS Group
5
UBS Group
Switzerland
$29.6M +$5.54M +190,811 +23%
NC
6
NewSquare Capital
Pennsylvania
$20M +$1.19M +40,935 +6%
RJA
7
Raymond James & Associates
Florida
$16.9M -$5.21M -179,724 -24%
Commonwealth Equity Services
8
Commonwealth Equity Services
Massachusetts
$15.1M +$215K +7,413 +1%
RJFSA
9
Raymond James Financial Services Advisors
Florida
$13.9M -$13M -448,358 -48%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$13.2M +$2.18M +75,302 +20%
Truist Financial
11
Truist Financial
North Carolina
$11.9M +$11.9M +408,662 New
LPL Financial
12
LPL Financial
California
$10.5M +$366K +12,634 +4%
NA
13
NewEdge Advisors
Louisiana
$7.43M +$23.9K +823 +0.3%
Stifel Financial
14
Stifel Financial
Missouri
$7.37M -$1.1M -37,763 -13%
JAWM
15
J. Arnold Wealth Management
Ohio
$7.3M +$7.25M +249,875 New
GA
16
Gateway Advisory
New Jersey
$7.07M +$3.71M +127,786 +112%
BFEC
17
Benjamin F. Edwards & Company
Missouri
$7.05M +$618K +21,315 +10%
Janney Montgomery Scott
18
Janney Montgomery Scott
Pennsylvania
$6.5M +$105K +3,625 +2%
Baird Financial Group
19
Baird Financial Group
Wisconsin
$6.23M -$808K -27,868 -12%
ODG
20
O'Dell Group
Ohio
$5.84M +$336K +11,586 +6%
Envestnet Asset Management
21
Envestnet Asset Management
Illinois
$5.61M +$66.2K +2,283 +1%
CONA
22
Capital One National Association
New York
$5.38M +$5.34M +184,088 New
ASN
23
Advisory Services Network
Georgia
$4.53M +$238K +8,209 +6%
HighTower Advisors
24
HighTower Advisors
Illinois
$3.99M -$107K -3,688 -3%
LTFS
25
Ladenburg Thalmann Financial Services
Florida
$3.21M -$658K -22,691 -17%

FXU Hedge Fund Activity: Q4 2019 in Review

104 of the 5,075 institutional investors tracked by Wall St. Rank reported a position in First Trust Utilities AlphaDEX Fund (FXU) for Q4 2019, worth a combined $1.03B — down 3.7% from $1.06B a quarter earlier.

Buyers outnumbered sellers: 18 funds opened new FXU positions and 16 closed out — a net gain of 2 holders — while 36 added to existing stakes and 33 trimmed.

The largest buyer was Truist Financial, opening a new position worth an estimated $11.9M. The largest seller was Raymond James Financial Services Advisors, cutting an estimated $13M.

  • 104 institutional investors held First Trust Utilities AlphaDEX Fund (FXU) as of Q4 2019, down from 105 in Q3 2019.
  • Funds reported $1.03B of First Trust Utilities AlphaDEX Fund stock for Q4 2019, down 3.7% quarter-over-quarter.
  • 18 funds opened new First Trust Utilities AlphaDEX Fund positions in Q4 2019 and 16 closed out, a net change of +2 holders.
  • The largest First Trust Utilities AlphaDEX Fund buyer in Q4 2019 was Truist Financial, an estimated $11.9M added.
  • The largest First Trust Utilities AlphaDEX Fund seller in Q4 2019 was Raymond James Financial Services Advisors, an estimated $13M sold.

Based on aggregated 13F filings for Q4 2019.