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First Trust Small Cap Growth AlphaDEX Fund

70 hedge funds and large institutions have $185M invested in First Trust Small Cap Growth AlphaDEX Fund in 2018 Q4 according to their latest regulatory filings, with 13 funds opening new positions, 22 increasing their positions, 26 reducing their positions, and 13 closing their positions.

New
Increased
Maintained
Reduced
Closed

0% more funds holding

Funds holding: 7070 (0)

0% more first-time investments, than exits

New positions opened: 13 | Existing positions closed: 13

5% less ownership

Funds ownership: 69.49%64.49% (-5%)

15% less repeat investments, than reductions

Existing positions increased: 22 | Existing positions reduced: 26

43% less capital invested

Capital invested by funds: $324M → $185M (-$139M)

Holders
70
Holders Change
Holders Change %
0%
% of All Funds
1.56%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
13
Increased
22
Reduced
26
Closed
13
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Bank of America
1
Bank of America
North Carolina
$25M -$5.9M -131,553 -17%
Morgan Stanley
2
Morgan Stanley
New York
$24.8M -$42.8M -953,322 -61%
RJA
3
Raymond James & Associates
Florida
$22.5M -$13.2M -294,167 -34%
LPL Financial
4
LPL Financial
California
$21M -$5.28M -117,744 -18%
First Trust Advisors
5
First Trust Advisors
Illinois
$10.3M +$605K +13,483 +6%
UBS Group
6
UBS Group
Switzerland
$8.2M -$2.76M -61,602 -23%
BFEC
7
Benjamin F. Edwards & Company
Missouri
$8.06M +$833K +18,568 +10%
Cambridge Investment Research Advisors
8
Cambridge Investment Research Advisors
Iowa
$7.54M -$1.68M -37,481 -17%
Susquehanna International Group
9
Susquehanna International Group
Pennsylvania
$3.52M +$3.93M +87,563 New
Wells Fargo
10
Wells Fargo
California
$3.17M +$1.81M +40,329 +104%
Carson Wealth (CWM LLC)
11
Carson Wealth (CWM LLC)
Nebraska
$3.13M +$44.6K +994 +1%
RJFSA
12
Raymond James Financial Services Advisors
Florida
$2.99M -$3.81M -84,986 -53%
TRCT
13
Tower Research Capital (TRC)
New York
$2.89M +$2.73M +60,801 +541%
SFS
14
Sowell Financial Services
Arkansas
$2.73M +$3.06M +68,178 New
CS
15
Credit Suisse
Switzerland
$2.65M +$716K +15,954 +32%
Janney Montgomery Scott
16
Janney Montgomery Scott
Pennsylvania
$2.29M +$382K +8,518 +18%
MML Investors Services
17
MML Investors Services
Massachusetts
$2.25M -$729K -16,248 -22%
CA
18
Cetera Advisors
Colorado
$2.11M +$1.15M +25,663 +95%
Citadel Advisors
19
Citadel Advisors
Florida
$2.08M +$901K +20,085 +63%
CCA
20
Clearwater Capital Advisors
Illinois
$1.98M -$76.7K -1,710 -3%
Royal Bank of Canada
21
Royal Bank of Canada
Ontario, Canada
$1.97M -$658K -14,677 -23%
TFA
22
Transamerica Financial Advisors
Florida
$1.81M +$123K +2,751 +6%
DADC
23
D.A. Davidson & Co
Montana
$1.81M +$13.8K +308 +0.7%
Goldman Sachs
24
Goldman Sachs
New York
$1.68M +$1.88M +41,938 New
LA
25
LexAurum Advisors
Kansas
$1.63M +$86.5K +1,928 +5%

FYC Hedge Fund Activity: Q4 2018 in Review

70 of the 4,488 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Growth AlphaDEX Fund (FYC) for Q4 2018, worth a combined $185M — down 43% from $324M a quarter earlier.

Fund positioning in FYC was balanced in Q4 2018: 13 funds opened new positions, 13 closed out, 22 added to existing stakes and 26 trimmed.

The largest buyer was Susquehanna International Group, opening a new position worth an estimated $3.93M. The largest seller was Morgan Stanley, cutting an estimated $42.8M.

  • 70 institutional investors held First Trust Small Cap Growth AlphaDEX Fund (FYC) as of Q4 2018, unchanged from Q3 2018.
  • Funds reported $185M of First Trust Small Cap Growth AlphaDEX Fund stock for Q4 2018, down 43% quarter-over-quarter.
  • 13 funds opened new First Trust Small Cap Growth AlphaDEX Fund positions in Q4 2018 and 13 closed out, a net change of 0 holders.
  • The largest First Trust Small Cap Growth AlphaDEX Fund buyer in Q4 2018 was Susquehanna International Group, an estimated $3.93M added.
  • The largest First Trust Small Cap Growth AlphaDEX Fund seller in Q4 2018 was Morgan Stanley, an estimated $42.8M sold.

Based on aggregated 13F filings for Q4 2018.