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First Trust Small Cap Growth AlphaDEX Fund
FYC

Overview Fund Activity

62 hedge funds and large institutions have $176M invested in First Trust Small Cap Growth AlphaDEX Fund in 2019 Q2 according to their latest regulatory filings, with 5 funds opening new positions, 25 increasing their positions, 23 reducing their positions, and 7 closing their positions.

Holders
62
Holders Change
-5
Holders Change %
-7.46%
% of All Funds
1.35%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
%
% of All Funds
0.02%
New
5
Increased
25
Reduced
23
Closed
7
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Wells Fargo
1
Wells Fargo
California
$8.43M
2
BCM
2
Breiter Capital Management
Florida
$3.12M
3
SPC
3
Sigma Planning Corp
Michigan
$2.14M
4
TFA
4
Transamerica Financial Advisors
Florida
$2.14M
5
GIA
5
Gladstone Institutional Advisory
Florida
$2.36M

Top Sellers

1
Bank of America
1
Bank of America
North Carolina
$18.8M
2
Morgan Stanley
2
Morgan Stanley
New York
$28.3M
3
LPL Financial
3
LPL Financial
California
$19.8M
4
Citadel Advisors
4
Citadel Advisors
Florida
$0
5
UBS Group
5
UBS Group
Switzerland
$10.1M
Name Market Value Shares Shares
Change 		Shares
Change %
Morgan Stanley
1
Morgan Stanley
New York
$28.3M 606,907 -78,090 -11%
LPL Financial
2
LPL Financial
California
$19.8M 425,056 -74,762 -15%
Bank of America
3
Bank of America
North Carolina
$18.8M 404,771 -99,166 -20%
First Trust Advisors
4
First Trust Advisors
Illinois
$16.6M 356,644 +21,452 +6%
RJA
5
Raymond James & Associates
Florida
$12M 257,127 -12,314 -5%
UBS Group
6
UBS Group
Switzerland
$10.1M 216,270 -23,253 -10%
Wells Fargo
7
Wells Fargo
California
$8.43M 181,188 +52,267 +41%
BFEC
8
Benjamin F. Edwards & Company
Missouri
$8.12M 174,342 +2,036 +1%
Cambridge Investment Research Advisors
9
Cambridge Investment Research Advisors
Iowa
$5.72M 122,923 +4,771 +4%
BCM
10
Breiter Capital Management
Florida
$3.12M 67,070 +48,615 +263%
MML Investors Services
11
MML Investors Services
Massachusetts
$3.03M 64,987 +7,897 +14%
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$2.9M 62,260 +32,050 +106%
CS
13
Credit Suisse
Switzerland
$2.83M 60,800 -3,844 -6%
RJFSA
14
Raymond James Financial Services Advisors
Florida
$2.76M 59,367 -590 -1%
IWA
15
IBEX Wealth Advisors
New Jersey
$2.38M 51,233 -1,114 -2%
GIA
16
Gladstone Institutional Advisory
Florida
$2.36M 50,680 +35,085 +225%
DADC
17
D.A. Davidson & Co
Montana
$2.2M 47,185 +685 +1%
SPC
18
Sigma Planning Corp
Michigan
$2.14M 46,020 +46,020 New
TFA
19
Transamerica Financial Advisors
Florida
$2.14M 45,913 +44,213 +2,601%
Janney Montgomery Scott
20
Janney Montgomery Scott
Pennsylvania
$2.11M 45,273 -6,235 -12%
Susquehanna International Group
21
Susquehanna International Group
Pennsylvania
$1.97M 42,264 +33,027 +358%
Commonwealth Equity Services
22
Commonwealth Equity Services
Massachusetts
$1.56M 33,426 +1,685 +5%
Goldman Sachs
23
Goldman Sachs
New York
$1.44M 30,849 – –
Stifel Financial
24
Stifel Financial
Missouri
$1.37M 29,371 -4,071 -12%
AG
25
Advisor Group
Arizona
$1.32M 28,323 -1,770 -6%
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