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First Trust Small Cap Growth AlphaDEX Fund
FYC

Overview Fund Activity

64 hedge funds and large institutions have $153M invested in First Trust Small Cap Growth AlphaDEX Fund in 2019 Q3 according to their latest regulatory filings, with 9 funds opening new positions, 18 increasing their positions, 28 reducing their positions, and 7 closing their positions.

Holders
64
Holders Change
+2
Holders Change %
+3.23%
% of All Funds
1.41%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.02%
New
9
Increased
18
Reduced
28
Closed
7
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Wells Fargo
1
Wells Fargo
California
$9.56M
2
IA
2
IFP Advisors
Florida
$1.2M
3
First Trust Advisors
3
First Trust Advisors
Illinois
$16.8M
4
Jane Street
4
Jane Street
New York
$1.01M
5
AAS
5
Avantax Advisory Services
Texas
$855K

Top Sellers

1
Morgan Stanley
1
Morgan Stanley
New York
$19.6M
2
LPL Financial
2
LPL Financial
California
$14M
3
UBS Group
3
UBS Group
Switzerland
$7.4M
4
Bank of America
4
Bank of America
North Carolina
$15.7M
5
TFA
5
Transamerica Financial Advisors
Florida
$74K
Name Market Value Shares Shares
Change 		Shares
Change %
Morgan Stanley
1
Morgan Stanley
New York
$19.6M 446,942 -159,965 -26%
First Trust Advisors
2
First Trust Advisors
Illinois
$16.8M 383,250 +26,606 +7%
Bank of America
3
Bank of America
North Carolina
$15.7M 358,107 -46,664 -12%
LPL Financial
4
LPL Financial
California
$14M 318,440 -106,616 -25%
RJA
5
Raymond James & Associates
Florida
$11.2M 254,511 -2,616 -1%
Wells Fargo
6
Wells Fargo
California
$9.56M 217,803 +36,615 +20%
BFEC
7
Benjamin F. Edwards & Company
Missouri
$7.51M 171,250 -3,092 -2%
UBS Group
8
UBS Group
Switzerland
$7.4M 168,741 -47,529 -22%
Cambridge Investment Research Advisors
9
Cambridge Investment Research Advisors
Iowa
$5.76M 131,231 +8,308 +7%
BCM
10
Breiter Capital Management
Florida
$3M 68,351 +1,281 +2%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$2.96M 67,376 +5,116 +8%
CS
12
Credit Suisse
Switzerland
$2.82M 64,203 +3,403 +6%
MML Investors Services
13
MML Investors Services
Massachusetts
$2.62M 59,779 -5,208 -8%
GIA
14
Gladstone Institutional Advisory
Florida
$2.57M 58,480 +7,800 +15%
IWA
15
IBEX Wealth Advisors
New Jersey
$2.23M 50,848 -385 -0.8%
Susquehanna International Group
16
Susquehanna International Group
Pennsylvania
$2.19M 49,959 +7,695 +18%
RJFSA
17
Raymond James Financial Services Advisors
Florida
$2.15M 49,062 -10,305 -17%
SPC
18
Sigma Planning Corp
Michigan
$2.08M 47,429 +1,409 +3%
DADC
19
D.A. Davidson & Co
Montana
$2.07M 47,091 -94 -0.2%
Janney Montgomery Scott
20
Janney Montgomery Scott
Pennsylvania
$1.53M 34,865 -10,408 -23%
Goldman Sachs
21
Goldman Sachs
New York
$1.35M 30,835 -14 -0%
Commonwealth Equity Services
22
Commonwealth Equity Services
Massachusetts
$1.29M 29,404 -4,022 -12%
IA
23
IFP Advisors
Florida
$1.2M 27,549 +27,549 New
SPIA
24
Steward Partners Investment Advisory
New York
$1.15M 26,143 -1,074 -4%
Stifel Financial
25
Stifel Financial
Missouri
$1.14M 25,962 -3,409 -12%
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