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First Trust Small Cap Growth AlphaDEX Fund

45 hedge funds and large institutions have $99.6M invested in First Trust Small Cap Growth AlphaDEX Fund in 2017 Q4 according to their latest regulatory filings, with 15 funds opening new positions, 14 increasing their positions, 14 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed

67% more first-time investments, than exits

New positions opened: 15 | Existing positions closed: 9

22% more capital invested

Capital invested by funds: $81.3M → $99.6M (+$18.2M)

15% more funds holding

Funds holding: 3945 (+6)

4.26% more ownership

Funds ownership: 62.66%66.92% (+4.3%)

0% more funds holding in top 10

Funds holding in top 10: 11 (0)

0% more repeat investments, than reductions

Existing positions increased: 14 | Existing positions reduced: 14

Holders
45
Holders Change
+6
Holders Change %
+15.38%
% of All Funds
1.02%
Holding in Top 10
1
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
0.02%
New
15
Increased
14
Reduced
14
Closed
9
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$28.9M +$3.63M +86,850 +15%
LPL Financial
2
LPL Financial
California
$15.4M +$4.96M +118,826 +49%
Bank of America
3
Bank of America
North Carolina
$14.6M +$1.77M +42,311 +14%
UBS Group
4
UBS Group
Switzerland
$6.37M +$3.6M +86,153 +136%
Cambridge Investment Research Advisors
5
Cambridge Investment Research Advisors
Iowa
$6M +$5.42M +129,890 +1,144%
RJA
6
Raymond James & Associates
Florida
$4.01M +$636K +15,234 +19%
KWM
7
Kingsview Wealth Management
Oregon
$3.2M +$1.21M +29,055 +63%
SAM
8
Shamrock Asset Management
Texas
$2.74M -$2.86M -68,391 -52%
CCA
9
Clearwater Capital Advisors
Illinois
$2.32M -$243K -5,823 -10%
First Trust Advisors
10
First Trust Advisors
Illinois
$2.15M +$195K +4,671 +10%
TFA
11
Transamerica Financial Advisors
Florida
$2M -$550K -13,181 -22%
RJFSA
12
Raymond James Financial Services Advisors
Florida
$1.99M +$880K +21,085 +82%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$1.93M -$98.8K -2,367 -5%
BFEC
14
Benjamin F. Edwards & Company
Missouri
$1.33M -$523K -12,519 -29%
Wells Fargo
15
Wells Fargo
California
$1.22M -$21.1K -506 -2%
BCM
16
Breiter Capital Management
Florida
$747K +$734K +17,570 New
Stifel Financial
17
Stifel Financial
Missouri
$586K -$147K -3,523 -20%
NWP
18
Northstar Wealth Partners
Connecticut
$472K +$19.2K +459 +4%
FAAS
19
First Allied Advisory Services
California
$396K -$12.7K -303 -3%
CWM
20
Cornerstone Wealth Management
Missouri
$350K -$36K -863 -10%
IA
21
IFP Advisors
Florida
$320K -$8.31K -199 -3%
JIP
22
Jaffetilchin Investment Partners
Florida
$318K -$162K -3,889 -34%
CAN
23
Cetera Advisor Networks
California
$295K +$288K +6,901 New
UR
24
USCA RIA
Texas
$278K +$273K +6,528 New
Janney Montgomery Scott
25
Janney Montgomery Scott
Pennsylvania
$255K -$41.8K -1,000 -14%

FYC Hedge Fund Activity: Q4 2017 in Review

45 of the 4,409 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Growth AlphaDEX Fund (FYC) for Q4 2017, worth a combined $99.6M — up 22% from $81.3M a quarter earlier.

Buyers outnumbered sellers: 15 funds opened new FYC positions and 9 closed out — a net gain of 6 holders — while 14 added to existing stakes and 14 trimmed.

The largest buyer was Cambridge Investment Research Advisors, adding an estimated $5.42M. The largest seller was Shamrock Asset Management, cutting an estimated $2.86M.

  • 45 institutional investors held First Trust Small Cap Growth AlphaDEX Fund (FYC) as of Q4 2017, up from 39 in Q3 2017.
  • Funds reported $99.6M of First Trust Small Cap Growth AlphaDEX Fund stock for Q4 2017, up 22% quarter-over-quarter.
  • 15 funds opened new First Trust Small Cap Growth AlphaDEX Fund positions in Q4 2017 and 9 closed out, a net change of +6 holders.
  • The largest First Trust Small Cap Growth AlphaDEX Fund buyer in Q4 2017 was Cambridge Investment Research Advisors, an estimated $5.42M added.
  • The largest First Trust Small Cap Growth AlphaDEX Fund seller in Q4 2017 was Shamrock Asset Management, an estimated $2.86M sold.

Based on aggregated 13F filings for Q4 2017.