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First Trust Small Cap Growth AlphaDEX Fund
FYC

32 hedge funds and large institutions have $38.6M invested in First Trust Small Cap Growth AlphaDEX Fund in 2016 Q3 according to their latest regulatory filings, with 3 funds opening new positions, 12 increasing their positions, 11 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed

12% more capital invested

Capital invested by funds: $34.4M → $38.6M (+$4.29M)

3.24% more ownership

Funds ownership: 73.14% → 76.38% (+3.2%)

9% more repeat investments, than reductions

Existing positions increased: 12 | Existing positions reduced: 11

0% more first-time investments, than exits

New positions opened: 3 | Existing positions closed: 3

3% less funds holding

Funds holding: 33 → 32 (-1)

Holders
32
Holders Change
-1
Holders Change %
-3.03%
% of All Funds
0.85%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
3
Increased
12
Reduced
11
Closed
3
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
UBS Group
UBS Group
Switzerland
+$1.79M
2
RJA
Raymond James & Associates
Florida
+$1.02M
3
LPL Financial
LPL Financial
California
+$643K
4
Susquehanna International Group
Susquehanna International Group
Pennsylvania
+$528K
5
Bank of America
Bank of America
North Carolina
+$325K

Top Sellers

1
SG Americas Securities
SG Americas Securities
New York
-$865K
2
Jane Street
Jane Street
New York
-$677K
3
Cambridge Investment Research Advisors
Cambridge Investment Research Advisors
Iowa
-$623K
4
Morgan Stanley
Morgan Stanley
New York
-$259K
5
CIM
Confluence Investment Management
Missouri
-$92.1K
Name Holding Trade Value Shares
Change 		Change in
Stake
Manulife (Manufacturers Life Insurance)
26
Manulife (Manufacturers Life Insurance)
Ontario, Canada
$34K – – –
MFS
27
MSI Financial Services
Massachusetts
$11K – – –
NFG
28
Next Financial Group
Texas
$11K +$11.3K +340 New
TFA
29
Transamerica Financial Advisors
Florida
$6K -$4.93K -149 -49%
WEC
30
Winslow Evans & Crocker
Massachusetts
$3.38K – – –
AG
31
Advisor Group
Arizona
$1K -$6.52K -197 -83%
SG Americas Securities
32
SG Americas Securities
New York
– -$865K -27,630 Closed
Jane Street
33
Jane Street
New York
– -$677K -21,614 Closed
Barclays
34
Barclays
United Kingdom
– -$47K -1,500 Closed
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