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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
SG
51
StoneX Group
New York
$313K
PFA
52
Professional Financial Advisors
Nebraska
$287K -$3.36K -47 -1%
GWM
53
Geneos Wealth Management
Colorado
$281K
ASN
54
Advisory Services Network
Georgia
$280K
CA
55
Cetera Advisors
Colorado
$276K -$1.43K -20 -0.5%
WWMSC
56
Wagner Wealth Management (South Carolina)
South Carolina
$237K +$5.79K +81 +3%
SEP
57
Southland Equity Partners
Missouri
$228K
LS
58
Leelyn Smith
Illinois
$174K -$41.1K -575 -19%
IA
59
IFP Advisors
Florida
$159K -$215 -3 -0.1%
Koshinski Asset Management
60
Koshinski Asset Management
Illinois
$148K +$148K +2,070 New
FFA
61
Founders Financial Alliance
North Carolina
$148K
SFPG
62
Stonebridge Financial Planning Group
Florida
$113K -$25K -350 -20%
SWM
63
Spire Wealth Management
Virginia
$105K -$2.3M -32,207 -96%
TRCT
64
Tower Research Capital (TRC)
New York
$77K -$523K -7,319 -87%
Fidelity Investments
65
Fidelity Investments
Massachusetts
$76K -$10.7K -149 -12%
KFI
66
Key Financial Inc
Pennsylvania
$60K
Northwestern Mutual Wealth Management
67
Northwestern Mutual Wealth Management
Wisconsin
$46K -$2.29K -32 -5%
TCWM
68
Total Clarity Wealth Management
Illinois
$42K +$41.7K +583 New
Citigroup
69
Citigroup
New York
$39K -$94.9K -1,327 -71%
TFA
70
Transamerica Financial Advisors
Florida
$37K +$501 +7 +1%
DWMG
71
DB Wealth Management Group
California
$28K
GEA
72
Glen Eagle Advisors
New Jersey
$15.4K +$4.65K +65 +43%
CHC
73
City Holding Co
West Virginia
$15K
MA
74
MUFG Americas
New York
$14K
Rockefeller Capital Management
75
Rockefeller Capital Management
New York
$14K +$14.1K +197 New

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.