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First Trust Small Cap Growth AlphaDEX Fund
FYC

Overview Fund Activity

68 hedge funds and large institutions have $145M invested in First Trust Small Cap Growth AlphaDEX Fund in 2019 Q4 according to their latest regulatory filings, with 13 funds opening new positions, 14 increasing their positions, 32 reducing their positions, and 9 closing their positions.

Holders
68
Holders Change
+4
Holders Change %
+6.25%
% of All Funds
1.34%
Holding in Top 10
–
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-100%
% of All Funds
–
New
13
Increased
14
Reduced
32
Closed
9
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
PAG
1
Private Advisory Group
Washington
$2.06M
2
Citadel Advisors
2
Citadel Advisors
Florida
$1.75M
3
JAWM
3
J. Arnold Wealth Management
Ohio
$1.25M
4
RJFSA
4
Raymond James Financial Services Advisors
Florida
$3.05M
5
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$3.83M

Top Sellers

1
RJA
1
Raymond James & Associates
Florida
$7.79M
2
BCM
2
Breiter Capital Management
Florida
$0
3
IWA
3
IBEX Wealth Advisors
New Jersey
$0
4
Susquehanna International Group
4
Susquehanna International Group
Pennsylvania
$0
5
Morgan Stanley
5
Morgan Stanley
New York
$18.7M
Name Market Value Shares Shares
Change 		Shares
Change %
Morgan Stanley
1
Morgan Stanley
New York
$18.7M 401,127 -45,815 -10%
First Trust Advisors
2
First Trust Advisors
Illinois
$17.7M 380,164 -3,086 -0.8%
Bank of America
3
Bank of America
North Carolina
$17.1M 366,300 +8,193 +2%
LPL Financial
4
LPL Financial
California
$13.2M 282,400 -36,040 -11%
Wells Fargo
5
Wells Fargo
California
$8.17M 174,992 -42,811 -20%
RJA
6
Raymond James & Associates
Florida
$7.79M 166,995 -87,516 -34%
UBS Group
7
UBS Group
Switzerland
$7.26M 155,650 -13,091 -8%
BFEC
8
Benjamin F. Edwards & Company
Missouri
$7.25M 155,251 -15,999 -9%
Cambridge Investment Research Advisors
9
Cambridge Investment Research Advisors
Iowa
$6.37M 136,546 +5,315 +4%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$3.83M 81,970 +14,594 +22%
RJFSA
11
Raymond James Financial Services Advisors
Florida
$3.05M 65,439 +16,377 +33%
CS
12
Credit Suisse
Switzerland
$2.74M 58,759 -5,444 -8%
MML Investors Services
13
MML Investors Services
Massachusetts
$2.51M 53,858 -5,921 -10%
DADC
14
D.A. Davidson & Co
Montana
$2.17M 46,414 -677 -1%
PAG
15
Private Advisory Group
Washington
$2.06M 44,070 +44,070 New
Citadel Advisors
16
Citadel Advisors
Florida
$1.75M 37,455 +27,128 +263%
GIA
17
Gladstone Institutional Advisory
Florida
$1.68M 35,916 -22,564 -39%
Stifel Financial
18
Stifel Financial
Missouri
$1.62M 34,754 +8,792 +34%
Goldman Sachs
19
Goldman Sachs
New York
$1.44M 30,835 – –
Janney Montgomery Scott
20
Janney Montgomery Scott
Pennsylvania
$1.42M 30,483 -4,382 -13%
JAWM
21
J. Arnold Wealth Management
Ohio
$1.25M 26,871 +26,871 New
Commonwealth Equity Services
22
Commonwealth Equity Services
Massachusetts
$1.18M 25,310 -4,094 -14%
AAS
23
Avantax Advisory Services
Texas
$1.16M 24,892 +5,480 +28%
CCA
24
Clearwater Capital Advisors
Illinois
$1.15M 24,610 -220 -0.9%
SPIA
25
Steward Partners Investment Advisory
New York
$1.1M 23,651 -2,492 -10%
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