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First Trust Small Cap Growth AlphaDEX Fund
FYC

72 hedge funds and large institutions have $114M invested in First Trust Small Cap Growth AlphaDEX Fund in 2022 Q3 according to their latest regulatory filings, with 8 funds opening new positions, 23 increasing their positions, 29 reducing their positions, and 6 closing their positions.

New
Increased
Maintained
Reduced
Closed

33% more first-time investments, than exits

New positions opened: 8 | Existing positions closed: 6

6% more capital invested

Capital invested by funds: $107M → $114M (+$6.89M)

3% more funds holding

Funds holding: 70 → 72 (+2)

2.26% more ownership

Funds ownership: 57.97% → 60.23% (+2.3%)

21% less repeat investments, than reductions

Existing positions increased: 23 | Existing positions reduced: 29

Holders
72
Holders Change
+2
Holders Change %
+2.86%
% of All Funds
1.24%
Holding in Top 10
2
Holding in Top 10 Change
+2
Holding in Top 10 Change %
% of All Funds
0.03%
New
8
Increased
23
Reduced
29
Closed
6
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
JAWM
J. Arnold Wealth Management
Ohio
+$9.47M
2
EH
Equitable Holdings
New York
+$963K
3
LPL Financial
LPL Financial
California
+$944K
4
IA
IFP Advisors
Florida
+$559K
5
Envestnet Asset Management
Envestnet Asset Management
Illinois
+$495K

Top Sellers

1
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$2.21M
2
UBS Group
UBS Group
Switzerland
-$1.56M
3
Bank of America
Bank of America
North Carolina
-$1.26M
4
Cambridge Investment Research Advisors
Cambridge Investment Research Advisors
Iowa
-$689K
5
Wells Fargo
Wells Fargo
California
-$450K
Name Holding Trade Value Shares
Change 		Change in
Stake
HA
26
HFG Advisors
Ohio
$913K +$369K +6,272 +59%
Stifel Financial
27
Stifel Financial
Missouri
$860K -$130K -2,208 -12%
AWS
28
Atria Wealth Solutions
New York
$859K +$34.2K +582 +4%
TRCT
29
Tower Research Capital (TRC)
New York
$854K -$397K -6,757 -30%
APA
30
American Portfolios Advisors
New York
$683K -$125K -2,125 -14%
Commonwealth Equity Services
31
Commonwealth Equity Services
Massachusetts
$631K +$114K +1,940 +20%
Susquehanna International Group
32
Susquehanna International Group
Pennsylvania
$622K -$2.21M -37,671 -77%
SG
33
Strid Group
Pennsylvania
$578K -$122K -2,067 -16%
CCA
34
Clearwater Capital Advisors
Illinois
$570K – – –
MML Investors Services
35
MML Investors Services
Massachusetts
$474K -$2.17K -37 -0.4%
AWM
36
AE Wealth Management
Kansas
$434K +$18.3K +312 +4%
BAM
37
Belpointe Asset Management
Nevada
$407K +$444K +7,548 New
Citadel Advisors
38
Citadel Advisors
Florida
$381K +$416K +7,076 New
IWN
39
Independent Wealth Network
Iowa
$343K -$4.06K -69 -1%
IF
40
Intrua Financial
Texas
$342K -$41.2K -700 -10%
Janney Montgomery Scott
41
Janney Montgomery Scott
Pennsylvania
$342K -$39.7K -675 -10%
AAS
42
Avantax Advisory Services
Texas
$308K +$56.4K +959 +20%
IWM
43
IHT Wealth Management
Illinois
$300K +$328K +5,571 New
RA
44
RFG Advisory
Alabama
$289K -$31.1K -529 -9%
AC
45
Avestar Capital
New York
$284K +$309K +5,263 New
HI
46
Harbour Investments
Wisconsin
$282K – – –
FAIM
47
Financial Advocates Investment Management
Washington
$281K +$4.88K +83 +2%
Truist Financial
48
Truist Financial
North Carolina
$275K +$35.9K +610 +14%
QPW
49
Quantum Private Wealth
Florida
$272K – – –
WH
50
Willner & Heller
California
$271K +$296K +5,035 New
1
2
3 4

FYC Hedge Fund Activity: Q3 2022 in Review

72 of the 5,805 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Growth AlphaDEX Fund (FYC) for Q3 2022, worth a combined $114M — up 6.5% from $107M a quarter earlier.

Buyers outnumbered sellers: 8 funds opened new FYC positions and 6 closed out — a net gain of 2 holders — while 23 added to existing stakes and 29 trimmed.

The largest buyer was J. Arnold Wealth Management, opening a new position worth an estimated $9.47M. The largest seller was Susquehanna International Group, cutting an estimated $2.21M.

  • 72 institutional investors held First Trust Small Cap Growth AlphaDEX Fund (FYC) as of Q3 2022, up from 70 in Q2 2022.
  • Funds reported $114M of First Trust Small Cap Growth AlphaDEX Fund stock for Q3 2022, up 6.5% quarter-over-quarter.
  • 8 funds opened new First Trust Small Cap Growth AlphaDEX Fund positions in Q3 2022 and 6 closed out, a net change of +2 holders.
  • The largest First Trust Small Cap Growth AlphaDEX Fund buyer in Q3 2022 was J. Arnold Wealth Management, an estimated $9.47M added.
  • The largest First Trust Small Cap Growth AlphaDEX Fund seller in Q3 2022 was Susquehanna International Group, an estimated $2.21M sold.

Based on aggregated 13F filings for Q3 2022.