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First Trust Small Cap Growth AlphaDEX Fund
FYC

57 hedge funds and large institutions have $96.4M invested in First Trust Small Cap Growth AlphaDEX Fund in 2020 Q3 according to their latest regulatory filings, with 9 funds opening new positions, 18 increasing their positions, 19 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed

18% more capital invested

Capital invested by funds: $81.8M → $96.4M (+$14.6M)

2.48% more ownership

Funds ownership: 59.54% → 62.01% (+2.5%)

0% more funds holding

Funds holding: 57 → 57 (0)

0% more funds holding in top 10

Funds holding in top 10: 2 → 2 (0)

0% more first-time investments, than exits

New positions opened: 9 | Existing positions closed: 9

5% less repeat investments, than reductions

Existing positions increased: 18 | Existing positions reduced: 19

Holders
57
Holders Change
–
Holders Change %
0%
% of All Funds
1.15%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.04%
New
9
Increased
18
Reduced
19
Closed
9
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Truist Financial
Truist Financial
North Carolina
+$8.82M
2
Wells Fargo
Wells Fargo
California
+$1.32M
3
Stifel Financial
Stifel Financial
Missouri
+$1.21M
4
First Trust Advisors
First Trust Advisors
Illinois
+$827K
5
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
+$680K

Top Sellers

Rank Fund Capital Flow
1
SL
Savior LLC
Massachusetts
-$4.68M
2
FAIM
Financial Advocates Investment Management
Washington
-$1.88M
3
Citadel Advisors
Citadel Advisors
Florida
-$1.18M
4
SPC
Sigma Planning Corp
Michigan
-$705K
5
TFA
Transamerica Financial Advisors
Florida
-$528K
Name Holding Trade Value Shares
Change 		Change in
Stake
CCA
26
Clearwater Capital Advisors
Illinois
$655K – – –
TRCT
27
Tower Research Capital (TRC)
New York
$641K +$620K +13,569 New
PNC Financial Services Group
28
PNC Financial Services Group
Pennsylvania
$596K +$135K +2,948 +31%
CWM
29
Cornerstone Wealth Management
Missouri
$483K +$26.4K +579 +6%
PAG
30
Private Advisor Group
New Jersey
$476K +$32K +701 +7%
TCWA
31
Ten Capital Wealth Advisors
Washington
$474K +$458K +10,037 New
Commonwealth Equity Services
32
Commonwealth Equity Services
Massachusetts
$412K -$200K -4,370 -33%
Envestnet Asset Management
33
Envestnet Asset Management
Illinois
$408K +$394K +8,626 New
Janney Montgomery Scott
34
Janney Montgomery Scott
Pennsylvania
$360K – – –
KWM
35
Kingsview Wealth Management
Oregon
$360K +$126K +2,767 +57%
NFG
36
Next Financial Group
Texas
$315K +$305K +6,670 New
IA
37
IFG Advisory
Georgia
$239K +$7.99K +175 +4%
V
38
Veritable
Delaware
$221K +$214K +4,682 New
GWM
39
Geneos Wealth Management
Colorado
$166K -$1.69K -37 -1%
IA
40
IFP Advisors
Florida
$143K +$3.29K +72 +2%
JAWM
41
J. Arnold Wealth Management
Ohio
$113K -$23.2K -508 -18%
FFA
42
Founders Financial Alliance
North Carolina
$106K +$94.3K +2,065 New
APA
43
American Portfolios Advisors
New York
$101K – – –
Carson Wealth (CWM LLC)
44
Carson Wealth (CWM LLC)
Nebraska
$83K – – –
Citigroup
45
Citigroup
New York
$63K +$11.6K +254 +23%
SFPG
46
Stonebridge Financial Planning Group
Florida
$54K -$36.2K -792 -43%
GRP
47
Global Retirement Partners
California
$17K +$16.2K +355 New
APWM
48
Atlas Private Wealth Management
New York
$14K – – –
CHC
49
City Holding Co
West Virginia
$10K – – –
MA
50
MUFG Americas
New York
$9K – – –
1
2
3

FYC Hedge Fund Activity: Q3 2020 in Review

57 of the 4,956 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Growth AlphaDEX Fund (FYC) for Q3 2020, worth a combined $96.4M — up 18% from $81.8M a quarter earlier.

Fund positioning in FYC was balanced in Q3 2020: 9 funds opened new positions, 9 closed out, 18 added to existing stakes and 19 trimmed.

The largest buyer was Truist Financial, opening a new position worth an estimated $8.82M. The largest seller was Savior LLC, exiting entirely with an estimated $4.68M sold.

  • 57 institutional investors held First Trust Small Cap Growth AlphaDEX Fund (FYC) as of Q3 2020, unchanged from Q2 2020.
  • Funds reported $96.4M of First Trust Small Cap Growth AlphaDEX Fund stock for Q3 2020, up 18% quarter-over-quarter.
  • 9 funds opened new First Trust Small Cap Growth AlphaDEX Fund positions in Q3 2020 and 9 closed out, a net change of 0 holders.
  • The largest First Trust Small Cap Growth AlphaDEX Fund buyer in Q3 2020 was Truist Financial, an estimated $8.82M added.
  • The largest First Trust Small Cap Growth AlphaDEX Fund seller in Q3 2020 was Savior LLC, an estimated $4.68M sold.

Based on aggregated 13F filings for Q3 2020.