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First Trust Small Cap Growth AlphaDEX Fund

35 hedge funds and large institutions have $64.7M invested in First Trust Small Cap Growth AlphaDEX Fund in 2017 Q1 according to their latest regulatory filings, with 7 funds opening new positions, 13 increasing their positions, 11 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed

133% more first-time investments, than exits

New positions opened: 7 | Existing positions closed: 3

23% more capital invested

Capital invested by funds: $52.8M → $64.7M (+$11.9M)

18% more repeat investments, than reductions

Existing positions increased: 13 | Existing positions reduced: 11

10.06% more ownership

Funds ownership: 59.79%69.85% (+10%)

9% more funds holding

Funds holding: 3235 (+3)

Holders
35
Holders Change
+3
Holders Change %
+9.38%
% of All Funds
0.87%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
7
Increased
13
Reduced
11
Closed
3
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$16M +$1.57M +43,875 +11%
Bank of America
2
Bank of America
North Carolina
$10.4M +$87.6K +2,447 +0.9%
LPL Financial
3
LPL Financial
California
$8.52M +$1.04M +29,122 +14%
Cambridge Investment Research Advisors
4
Cambridge Investment Research Advisors
Iowa
$4.09M +$1.67M +46,554 +71%
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$3.63M +$3.57M +99,787 New
RJA
6
Raymond James & Associates
Florida
$2.94M +$1.3M +36,316 +82%
TFA
7
Transamerica Financial Advisors
Florida
$2.7M -$541K -15,128 -17%
UBS Group
8
UBS Group
Switzerland
$2.23M +$147K +4,117 +7%
IA
9
IFP Advisors
Florida
$2.16M +$1.85M +51,586 +663%
CCA
10
Clearwater Capital Advisors
Illinois
$2.06M +$66.4K +1,855 +3%
First Trust Advisors
11
First Trust Advisors
Illinois
$1.28M +$215K +6,004 +21%
KWM
12
Kingsview Wealth Management
Oregon
$1.18M +$1.16M +32,395 New
Wells Fargo
13
Wells Fargo
California
$1.17M -$35.3K -985 -3%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$999K -$104K -2,895 -10%
Ameriprise
15
Ameriprise
Minnesota
$720K +$707K +19,764 New
JIP
16
Jaffetilchin Investment Partners
Florida
$633K -$252K -7,027 -29%
IAA
17
Independent Advisor Alliance
North Carolina
$584K +$590K +16,475 New
RJFSA
18
Raymond James Financial Services Advisors
Florida
$574K +$289K +8,075 +105%
SG Americas Securities
19
SG Americas Securities
New York
$492K -$1.31M -36,494 -73%
Stifel Financial
20
Stifel Financial
Missouri
$415K -$56.2K -1,569 -12%
CWM
21
Cornerstone Wealth Management
Missouri
$352K -$7.73K -216 -2%
BFEC
22
Benjamin F. Edwards & Company
Missouri
$257K -$1.22M -33,977 -83%
WA
23
WFG Advisors
Texas
$255K -$4.65K -130 -2%
HFS
24
HL Financial Services
Kentucky
$230K -$67K -1,871 -23%
LTFS
25
Ladenburg Thalmann Financial Services
Florida
$206K +$12.2K +342 +6%

FYC Hedge Fund Activity: Q1 2017 in Review

35 of the 4,017 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Growth AlphaDEX Fund (FYC) for Q1 2017, worth a combined $64.7M — up 23% from $52.8M a quarter earlier.

Buyers outnumbered sellers: 7 funds opened new FYC positions and 3 closed out — a net gain of 4 holders — while 13 added to existing stakes and 11 trimmed.

The largest buyer was Susquehanna International Group, opening a new position worth an estimated $3.57M. The largest seller was Jane Street, exiting entirely with an estimated $1.56M sold.

  • 35 institutional investors held First Trust Small Cap Growth AlphaDEX Fund (FYC) as of Q1 2017, up from 32 in Q4 2016.
  • Funds reported $64.7M of First Trust Small Cap Growth AlphaDEX Fund stock for Q1 2017, up 23% quarter-over-quarter.
  • 7 funds opened new First Trust Small Cap Growth AlphaDEX Fund positions in Q1 2017 and 3 closed out, a net change of +4 holders.
  • The largest First Trust Small Cap Growth AlphaDEX Fund buyer in Q1 2017 was Susquehanna International Group, an estimated $3.57M added.
  • The largest First Trust Small Cap Growth AlphaDEX Fund seller in Q1 2017 was Jane Street, an estimated $1.56M sold.

Based on aggregated 13F filings for Q1 2017.