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First Trust Small Cap Growth AlphaDEX Fund
FYC

Overview Fund Activity

68 hedge funds and large institutions have $145M invested in First Trust Small Cap Growth AlphaDEX Fund in 2019 Q4 according to their latest regulatory filings, with 13 funds opening new positions, 14 increasing their positions, 32 reducing their positions, and 9 closing their positions.

Holders
68
Holders Change
+4
Holders Change %
+6.25%
% of All Funds
1.34%
Holding in Top 10
–
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-100%
% of All Funds
–
New
13
Increased
14
Reduced
32
Closed
9
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
PAG
1
Private Advisory Group
Washington
$2.06M
2
Citadel Advisors
2
Citadel Advisors
Florida
$1.75M
3
JAWM
3
J. Arnold Wealth Management
Ohio
$1.25M
4
RJFSA
4
Raymond James Financial Services Advisors
Florida
$3.05M
5
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$3.83M

Top Sellers

1
RJA
1
Raymond James & Associates
Florida
$7.79M
2
BCM
2
Breiter Capital Management
Florida
$0
3
IWA
3
IBEX Wealth Advisors
New Jersey
$0
4
Susquehanna International Group
4
Susquehanna International Group
Pennsylvania
$0
5
Morgan Stanley
5
Morgan Stanley
New York
$18.7M
Name Market Value Shares Shares
Change 		Shares
Change %
SPC
26
Sigma Planning Corp
Michigan
$1.04M 22,262 -25,167 -53%
AG
27
Advisor Group
Arizona
$1.01M 21,659 -706 -3%
UR
28
USCA RIA
Texas
$904K 19,365 +1,878 +11%
PAG
29
Private Advisor Group
New Jersey
$708K 15,166 +689 +5%
CAN
30
Cetera Advisor Networks
California
$649K 13,909 -1,165 -8%
PFA
31
Plotkin Financial Advisors
Maryland
$646K 13,832 +13,832 New
CWM
32
Cornerstone Wealth Management
Missouri
$519K 11,121 +4,310 +63%
LTFS
33
Ladenburg Thalmann Financial Services
Florida
$484K 10,387 -669 -6%
IWC
34
Integrated Wealth Concepts
Massachusetts
$482K 10,328 -199 -2%
MIAN
35
Mariner Independent Advisor Network
Kansas
$481K 10,305 +10,305 New
TRCT
36
Tower Research Capital (TRC)
New York
$414K 8,868 -4,365 -33%
PNC Financial Services Group
37
PNC Financial Services Group
Pennsylvania
$413K 8,853 -231 -3%
WS
38
Wedbush Securities
California
$406K 8,705 -560 -6%
ASN
39
Advisory Services Network
Georgia
$361K 7,727 +8 +0.1%
FAAS
40
First Allied Advisory Services
California
$327K 7,026 -2,558 -27%
IA
41
IFG Advisory
Georgia
$324K 6,960 -45 -0.6%
LWS
42
Lucia Wealth Services
California
$290K 6,218 +6,218 New
BAM
43
Belpointe Asset Management
Nevada
$263K 5,645 -625 -10%
CA
44
Cetera Advisors
Colorado
$254K 5,478 -160 -3%
QWM
45
QP Wealth Management
New Jersey
$248K 5,272 +5,272 New
IAA
46
Independent Advisor Alliance
North Carolina
$231K 4,955 +4,955 New
GWM
47
Geneos Wealth Management
Colorado
$181K 3,882 – –
SFPG
48
Stonebridge Financial Planning Group
Florida
$178K 3,805 +3,805 New
IA
49
IFP Advisors
Florida
$172K 3,695 -23,854 -87%
APA
50
American Portfolios Advisors
New York
$113K 2,422 -172 -7%
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