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First Trust Small Cap Growth AlphaDEX Fund
FYC

Overview Fund Activity

78 hedge funds and large institutions have $236M invested in First Trust Small Cap Growth AlphaDEX Fund in 2021 Q3 according to their latest regulatory filings, with 5 funds opening new positions, 25 increasing their positions, 34 reducing their positions, and 8 closing their positions.

Holders
78
Holders Change
-5
Holders Change %
-6.02%
% of All Funds
1.37%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.05%
New
5
Increased
25
Reduced
34
Closed
8
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
KPWS
1
Kestra Private Wealth Services
Texas
$2.21M
2
Bank of America
2
Bank of America
North Carolina
$10.8M
3
APA
3
American Portfolios Advisors
New York
$1.45M
4
First Trust Advisors
4
First Trust Advisors
Illinois
$26.8M
5
Osaic Holdings
5
Osaic Holdings
Arizona
$3.75M

Top Sellers

1
Truist Financial
1
Truist Financial
North Carolina
$9.11M
2
Wells Fargo
2
Wells Fargo
California
$13.5M
3
LPL Financial
3
LPL Financial
California
$30.1M
4
MIAN
4
Mariner Independent Advisor Network
Kansas
$0
5
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$4.89M
Name Market Value Shares Shares
Change 		Shares
Change %
Envestnet Asset Management
26
Envestnet Asset Management
Illinois
$1.67M 23,317 +3,719 +19%
HIS
27
Harvest Investment Services
Illinois
$1.61M 22,546 -8,509 -27%
SPC
28
Sigma Planning Corp
Michigan
$1.59M 22,260 -19,132 -46%
MIM
29
MTM Investment Management
South Carolina
$1.46M 20,382 – –
APA
30
American Portfolios Advisors
New York
$1.45M 20,201 +15,705 +349%
KAS
31
Kestra Advisory Services
Texas
$1.34M 18,777 +733 +4%
SWP
32
Stratos Wealth Partners
Ohio
$1.33M 18,502 -15,391 -45%
Susquehanna International Group
33
Susquehanna International Group
Pennsylvania
$1.23M 17,232 +5,674 +49%
SG
34
Strid Group
Pennsylvania
$1.16M 16,213 -578 -3%
CCA
35
Clearwater Capital Advisors
Illinois
$898K 12,549 – –
GIA
36
Gladstone Institutional Advisory
Florida
$869K 12,144 -224 -2%
MML Investors Services
37
MML Investors Services
Massachusetts
$674K 9,416 -413 -4%
NFG
38
Next Financial Group
Texas
$668K 9,332 -2,842 -23%
GRP
39
Global Retirement Partners
California
$644K 8,989 -2,182 -20%
WS
40
Wedbush Securities
California
$637K 8,892 +1,386 +18%
Commonwealth Equity Services
41
Commonwealth Equity Services
Massachusetts
$587K 8,211 -229 -3%
IF
42
Intrua Financial
Texas
$576K 7,850 – –
Janney Montgomery Scott
43
Janney Montgomery Scott
Pennsylvania
$460K 6,421 -994 -13%
CWM
44
Cornerstone Wealth Management
Missouri
$450K 6,288 -23,123 -79%
HI
45
Harbour Investments
Wisconsin
$432K 6,039 +101 +2%
IWN
46
Independent Wealth Network
Iowa
$432K 5,474 +5,474 New
TCWA
47
Ten Capital Wealth Advisors
Washington
$395K 5,522 -54 -1%
FAIM
48
Financial Advocates Investment Management
Washington
$384K 5,367 +194 +4%
PAG
49
Private Advisor Group
New Jersey
$348K 4,859 +48 +1%
IA
50
IFG Advisory
Georgia
$343K 4,797 -16 -0.3%
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