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.
0.88% more ownership
Funds ownership: 66.43% → 67.31% (+0.88%)
0% more funds holding in top 10
Funds holding in top 10: 3 → 3 (0)
6% less funds holding
Funds holding: 83 → 78 (-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
Top Buyers
| Rank | Fund | Capital Flow |
|---|---|---|
| 1 |
KPWS
Kestra Private Wealth Services
Austin,
Texas
|
+$2.2M |
| 2 |
Bank of America
Charlotte,
North Carolina
|
+$1.27M |
| 3 |
APA
American Portfolios Advisors
Holbrook,
New York
|
+$1.12M |
| 4 |
First Trust Advisors
Wheaton,
Illinois
|
+$874K |
| 5 |
Osaic Holdings
Scottsdale,
Arizona
|
+$735K |
Top Sellers
| Rank | Fund | Capital Flow |
|---|---|---|
| 1 |
Truist Financial
Charlotte,
North Carolina
|
-$14.5M |
| 2 |
Wells Fargo
San Francisco,
California
|
-$13M |
| 3 |
LPL Financial
San Diego,
California
|
-$6.49M |
| 4 |
MIAN
Mariner Independent Advisor Network
Overland Park,
Kansas
|
-$3.79M |
| 5 |
Royal Bank of Canada
Toronto,
Ontario, Canada
|
-$2.65M |
| Name | Holding | Trade Value |
Shares Change |
Change in Stake |
|
|---|---|---|---|---|---|
|
LWM
76
Liberty Wealth Management
Oakland,
California
| $10K | -$143 | -2 | -1% |
|
|
OIA
77
Optimum Investment Advisors
Chicago,
Illinois
| $8K | – | – | – |
|
|
S
78
SignatureFD
Atlanta,
Georgia
| $1K | – | – | – |
|
|
MIAN
79
Mariner Independent Advisor Network
Overland Park,
Kansas
| – | -$3.79M | -51,659 | Closed |
|
|
OMC
80
Old Mission Capital
Chicago,
Illinois
| – | -$2.53M | -34,506 | Closed |
|
|
IAIM
81
International Assets Investment Management
Orlando,
Florida
| – | -$1.84M | -31,916 | Closed |
|
|
CAN
82
Claraphi Advisory Network
Aliso Viejo,
United States
| – | -$457K | -6,235 | Closed |
|
|
ARC
83
Advisor Resource Council
Dallas,
Texas
| – | -$212K | -2,895 | Closed |
|
|
1IA
84
1834 Investment Advisors
Milwaukee,
Wisconsin
| – | -$26K | -350 | Closed |
|
|
SB
85
Strategic Blueprint
Atlanta,
Georgia
| – | -$14K | -190 | Closed |
|
86
Barclays
London,
United Kingdom
| – | -$4K | -59 | Closed |
|
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.