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First Trust Small Cap Growth AlphaDEX Fund
FYC

Overview Fund Activity

67 hedge funds and large institutions have $156M invested in First Trust Small Cap Growth AlphaDEX Fund in 2020 Q4 according to their latest regulatory filings, with 13 funds opening new positions, 24 increasing their positions, 18 reducing their positions, and 2 closing their positions.

Holders
67
Holders Change
+10
Holders Change %
+17.54%
% of All Funds
1.19%
Holding in Top 10
1
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-50%
% of All Funds
0.02%
New
13
Increased
24
Reduced
18
Closed
2
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
First Trust Advisors
1
First Trust Advisors
Illinois
$16.8M
2
LPL Financial
2
LPL Financial
California
$17.1M
3
BFEC
3
Benjamin F. Edwards & Company
Missouri
$7.7M
4
Stifel Financial
4
Stifel Financial
Missouri
$6.6M
5
MIAN
5
Mariner Independent Advisor Network
Kansas
$3.09M

Top Sellers

1
SG
1
Strid Group
Pennsylvania
$3.71M
2
Susquehanna International Group
2
Susquehanna International Group
Pennsylvania
$1.1M
3
Truist Financial
3
Truist Financial
North Carolina
$10.9M
4
Goldman Sachs
4
Goldman Sachs
New York
$276K
5
TRCT
5
Tower Research Capital (TRC)
New York
$54K
Name Market Value Shares Shares
Change 		Shares
Change %
Cambridge Investment Research Advisors
26
Cambridge Investment Research Advisors
Iowa
$1M 16,273 +2,034 +14%
KWM
27
Kingsview Wealth Management
Oregon
$916K 14,851 +7,244 +95%
MML Investors Services
28
MML Investors Services
Massachusetts
$841K 13,636 -1,953 -13%
CCA
29
Clearwater Capital Advisors
Illinois
$793K 12,856 -1,000 -7%
CWM
30
Cornerstone Wealth Management
Missouri
$768K 12,453 +2,228 +22%
Envestnet Asset Management
31
Envestnet Asset Management
Illinois
$718K 11,638 +3,012 +35%
NFG
32
Next Financial Group
Texas
$598K 9,705 +3,035 +46%
CF
33
Centaurus Financial
California
$570K 9,232 +9,232 New
PAG
34
Private Advisor Group
New Jersey
$533K 8,648 -1,424 -14%
TCWA
35
Ten Capital Wealth Advisors
Washington
$514K 8,335 -1,702 -17%
Janney Montgomery Scott
36
Janney Montgomery Scott
Pennsylvania
$464K 7,515 -100 -1%
Commonwealth Equity Services
37
Commonwealth Equity Services
Massachusetts
$407K 6,603 -2,123 -24%
IA
38
IFG Advisory
Georgia
$289K 4,687 -376 -7%
V
39
Veritable
Delaware
$289K 4,682 – –
Goldman Sachs
40
Goldman Sachs
New York
$276K 4,472 -16,504 -79%
GWM
41
Geneos Wealth Management
Colorado
$265K 3,818 +173 +5%
CA
42
Cetera Advisors
Colorado
$228K 3,690 +3,690 New
ASN
43
Advisory Services Network
Georgia
$221K 3,582 +3,582 New
SG
44
StoneX Group
New York
$210K 3,408 +3,408 New
SPC
45
Sigma Planning Corp
Michigan
$204K 3,302 +3,302 New
IA
46
IFP Advisors
Florida
$188K 3,055 – –
JAWM
47
J. Arnold Wealth Management
Ohio
$165K 2,667 +279 +12%
FFA
48
Founders Financial Alliance
North Carolina
$127K 2,065 – –
APA
49
American Portfolios Advisors
New York
$122K 1,977 -151 -7%
WWM
50
Wagner Wealth Management
South Carolina
$111K 1,800 +1,800 New
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