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First Trust Small Cap Value AlphaDEX Fund
FYT

15 hedge funds and large institutions have $40.4M invested in First Trust Small Cap Value AlphaDEX Fund in 2013 Q3 according to their latest regulatory filings, with 3 funds opening new positions, 9 increasing their positions, 2 reducing their positions, and closing their positions.

New
Increased
Maintained
Reduced
Closed

350% more repeat investments, than reductions

Existing positions increased: 9 | Existing positions reduced: 2

53% more capital invested

Capital invested by funds: $26.4M → $40.4M (+$14.1M)

25% more funds holding

Funds holding: 12 → 15 (+3)

4.54% less ownership

Funds ownership: 75.04% → 70.49% (-4.5%)

Holders
15
Holders Change
+3
Holders Change %
+25%
% of All Funds
0.49%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
3
Increased
9
Reduced
2
Closed
–
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Morgan Stanley
Morgan Stanley
New York
+$6.57M
2
Bank of America
Bank of America
North Carolina
+$2.25M
3
VFS
VSR Financial Services
Kansas
+$976K
4
FHA
First Horizon Advisors
Tennessee
+$737K
5
Wells Fargo
Wells Fargo
California
+$490K

Top Sellers

Rank Fund Capital Flow
1
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$4.08M
2
SI
Stephens Inc
Arkansas
-$61.9K
Name Holding Trade Value Shares
Change 		Change in
Stake
HA
1
Hays Advisory
Tennessee
$18.1M +$449K +16,121 +3%
Morgan Stanley
2
Morgan Stanley
New York
$7.87M +$6.57M +235,806 +621%
Bank of America
3
Bank of America
North Carolina
$4.04M +$2.25M +80,769 +135%
BTS
4
BB&T Securities
Virginia
$3.26M +$25.1K +900 +9%
Wells Fargo
5
Wells Fargo
California
$3.12M +$490K +17,581 +19%
VFS
6
VSR Financial Services
Kansas
$1.01M +$976K +35,001 New
FHA
7
First Horizon Advisors
Tennessee
$760K +$737K +26,440 New
SNC
8
Stifel Nicolaus & Co
Missouri
$706K +$212K +7,615 +45%
SI
9
Stephens Inc
Arkansas
$472K -$61.9K -2,220 -12%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$398K +$374K +13,404 +3,238%
HFS
11
HL Financial Services
Kentucky
$357K +$118K +4,215 +51%
Susquehanna International Group
12
Susquehanna International Group
Pennsylvania
$217K -$4.08M -146,230 -95%
Ameriprise
13
Ameriprise
Minnesota
$77K +$44.6K +1,600 +148%
WA
14
WFG Advisors
Texas
$15K – – –
AIG
15
American International Group
New York
$3.16K +$3.07K +110 New

FYT Hedge Fund Activity: Q3 2013 in Review

15 of the 3,084 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Value AlphaDEX Fund (FYT) for Q3 2013, worth a combined $40.4M — up 53% from $26.4M a quarter earlier.

Buyers outnumbered sellers: 3 funds opened new FYT positions and 0 closed out — a net gain of 3 holders — while 9 added to existing stakes and 2 trimmed.

The largest buyer was Morgan Stanley, adding an estimated $6.57M. The largest seller was Susquehanna International Group, cutting an estimated $4.08M.

  • 15 institutional investors held First Trust Small Cap Value AlphaDEX Fund (FYT) as of Q3 2013, up from 12 in Q2 2013.
  • Funds reported $40.4M of First Trust Small Cap Value AlphaDEX Fund stock for Q3 2013, up 53% quarter-over-quarter.
  • 3 funds opened new First Trust Small Cap Value AlphaDEX Fund positions in Q3 2013 and 0 closed out, a net change of +3 holders.
  • The largest First Trust Small Cap Value AlphaDEX Fund buyer in Q3 2013 was Morgan Stanley, an estimated $6.57M added.
  • The largest First Trust Small Cap Value AlphaDEX Fund seller in Q3 2013 was Susquehanna International Group, an estimated $4.08M sold.

Based on aggregated 13F filings for Q3 2013.