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First Trust Small Cap Growth AlphaDEX Fund

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.

New
Increased
Maintained
Reduced
Closed

0.88% more ownership

Funds ownership: 66.43%67.31% (+0.88%)

0% more funds holding in top 10

Funds holding in top 10: 33 (0)

6% less funds holding

Funds holding: 8378 (-5)

18% less capital invested

Capital invested by funds: $289M → $236M (-$52.8M)

26% less repeat investments, than reductions

Existing positions increased: 25 | Existing positions reduced: 34

38% less first-time investments, than exits

New positions opened: 5 | Existing positions closed: 8

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
Name Holding Trade Value Shares
Change
Change in
Stake
Envestnet Asset Management
26
Envestnet Asset Management
Illinois
$1.67M +$266K +3,719 +19%
HIS
27
Harvest Investment Services
Illinois
$1.61M -$609K -8,509 -27%
SPC
28
Sigma Planning Corp
Michigan
$1.59M -$1.37M -19,132 -46%
MIM
29
MTM Investment Management
South Carolina
$1.46M
APA
30
American Portfolios Advisors
New York
$1.45M +$1.12M +15,705 +349%
KAS
31
Kestra Advisory Services
Texas
$1.34M +$52.4K +733 +4%
SWP
32
Stratos Wealth Partners
Ohio
$1.32M -$1.1M -15,391 -45%
Susquehanna International Group
33
Susquehanna International Group
Pennsylvania
$1.23M +$406K +5,674 +49%
SG
34
Strid Group
Pennsylvania
$1.16M -$41.3K -578 -3%
CCA
35
Clearwater Capital Advisors
Illinois
$898K
GIA
36
Gladstone Institutional Advisory
Florida
$869K -$16K -224 -2%
MML Investors Services
37
MML Investors Services
Massachusetts
$674K -$29.5K -413 -4%
NFG
38
Next Financial Group
Texas
$668K -$203K -2,842 -23%
GRP
39
Global Retirement Partners
California
$644K -$156K -2,182 -20%
WS
40
Wedbush Securities
California
$637K +$99.1K +1,386 +18%
Commonwealth Equity Services
41
Commonwealth Equity Services
Massachusetts
$587K -$16.4K -229 -3%
IF
42
Intrua Financial
Texas
$576K
Janney Montgomery Scott
43
Janney Montgomery Scott
Pennsylvania
$460K -$71.1K -994 -13%
CWM
44
Cornerstone Wealth Management
Missouri
$450K -$1.65M -23,123 -79%
HI
45
Harbour Investments
Wisconsin
$432K +$7.22K +101 +2%
IWN
46
Independent Wealth Network
Iowa
$432K +$392K +5,474 New
TCWA
47
Ten Capital Wealth Advisors
Washington
$395K -$3.86K -54 -1%
FAIM
48
Financial Advocates Investment Management
Washington
$384K +$13.9K +194 +4%
PAG
49
Private Advisor Group
New Jersey
$348K +$3.43K +48 +1%
IA
50
IFG Advisory
Georgia
$343K -$1.14K -16 -0.3%

FYC Hedge Fund Activity: Q3 2021 in Review

78 of the 5,712 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Growth AlphaDEX Fund (FYC) for Q3 2021, worth a combined $236M — down 18% from $289M a quarter earlier.

Sellers outnumbered buyers: 8 funds closed out of FYC and 5 opened new positions — a net loss of 3 holders — while 34 trimmed existing stakes and 25 added.

The largest buyer was Kestra Private Wealth Services, opening a new position worth an estimated $2.2M. The largest seller was Truist Financial, cutting an estimated $14.5M.

  • 78 institutional investors held First Trust Small Cap Growth AlphaDEX Fund (FYC) as of Q3 2021, down from 83 in Q2 2021.
  • Funds reported $236M of First Trust Small Cap Growth AlphaDEX Fund stock for Q3 2021, down 18% quarter-over-quarter.
  • 5 funds opened new First Trust Small Cap Growth AlphaDEX Fund positions in Q3 2021 and 8 closed out, a net change of -3 holders.
  • The largest First Trust Small Cap Growth AlphaDEX Fund buyer in Q3 2021 was Kestra Private Wealth Services, an estimated $2.2M added.
  • The largest First Trust Small Cap Growth AlphaDEX Fund seller in Q3 2021 was Truist Financial, an estimated $14.5M sold.

Based on aggregated 13F filings for Q3 2021.