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First Trust Small Cap Growth AlphaDEX Fund

60 hedge funds and large institutions have $63M invested in First Trust Small Cap Growth AlphaDEX Fund in 2020 Q1 according to their latest regulatory filings, with 14 funds opening new positions, 6 increasing their positions, 31 reducing their positions, and 20 closing their positions.

New
Increased
Maintained
Reduced
Closed

11.35% less ownership

Funds ownership: 62.32%50.97% (-11%)

12% less funds holding

Funds holding: 6860 (-8)

30% less first-time investments, than exits

New positions opened: 14 | Existing positions closed: 20

57% less capital invested

Capital invested by funds: $145M → $63M (-$82.4M)

81% less repeat investments, than reductions

Existing positions increased: 6 | Existing positions reduced: 31

Holders
60
Holders Change
-8
Holders Change %
-11.76%
% of All Funds
1.32%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
% of All Funds
0.02%
New
14
Increased
6
Reduced
31
Closed
20
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
APWM
51
Atlas Private Wealth Management
New York
$10K
US Bancorp
52
US Bancorp
Minnesota
$8K -$2.43K -57 -19%
CHC
53
City Holding Co
West Virginia
$7K
MA
54
MUFG Americas
New York
$7K +$8.52K +200 New
LWM
55
Liberty Wealth Management
California
$5K
OIA
56
Optimum Investment Advisors
Illinois
$4K -$63.6K -1,492 -93%
OPS
57
Orion Portfolio Solutions
Nebraska
$3K +$4.26K +100 New
TFA
58
Transamerica Financial Advisors
Florida
$1K -$66.7K -1,564 -98%
SFS
59
Sowell Financial Services
Arkansas
$1K +$43 +1 +6%
First Trust Advisors
60
First Trust Advisors
Illinois
-$17.7M -380,164 Closed
CS
61
Credit Suisse
Switzerland
-$2.74M -58,759 Closed
DADC
62
D.A. Davidson & Co
Montana
-$2.17M -46,414 Closed
PAG
63
Private Advisory Group
Washington
-$2.06M -44,070 Closed
JAWM
64
J. Arnold Wealth Management
Ohio
-$1.25M -26,871 Closed
UR
65
USCA RIA
Texas
-$904K -19,365 Closed
PFA
66
Plotkin Financial Advisors
Maryland
-$646K -13,832 Closed
IWC
67
Integrated Wealth Concepts
Massachusetts
-$482K -10,328 Closed
MIAN
68
Mariner Independent Advisor Network
Kansas
-$481K -10,305 Closed
WS
69
Wedbush Securities
California
-$406K -8,705 Closed
ASN
70
Advisory Services Network
Georgia
-$361K -7,727 Closed
FAAS
71
First Allied Advisory Services
California
-$327K -7,026 Closed
IA
72
IFG Advisory
Georgia
-$324K -6,960 Closed
BAM
73
Belpointe Asset Management
Nevada
-$263K -5,645 Closed
CA
74
Cetera Advisors
Colorado
-$254K -5,478 Closed
QWM
75
QP Wealth Management
New Jersey
-$248K -5,272 Closed

FYC Hedge Fund Activity: Q1 2020 in Review

60 of the 4,538 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Growth AlphaDEX Fund (FYC) for Q1 2020, worth a combined $63M — down 57% from $145M a quarter earlier.

Sellers outnumbered buyers: 20 funds closed out of FYC and 14 opened new positions — a net loss of 6 holders — while 31 trimmed existing stakes and 6 added.

The largest buyer was Strid Group, opening a new position worth an estimated $8.96M. The largest seller was First Trust Advisors, exiting entirely with an estimated $17.7M sold.

  • 60 institutional investors held First Trust Small Cap Growth AlphaDEX Fund (FYC) as of Q1 2020, down from 68 in Q4 2019.
  • Funds reported $63M of First Trust Small Cap Growth AlphaDEX Fund stock for Q1 2020, down 57% quarter-over-quarter.
  • 14 funds opened new First Trust Small Cap Growth AlphaDEX Fund positions in Q1 2020 and 20 closed out, a net change of -6 holders.
  • The largest First Trust Small Cap Growth AlphaDEX Fund buyer in Q1 2020 was Strid Group, an estimated $8.96M added.
  • The largest First Trust Small Cap Growth AlphaDEX Fund seller in Q1 2020 was First Trust Advisors, an estimated $17.7M sold.

Based on aggregated 13F filings for Q1 2020.