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First Trust Small Cap Value AlphaDEX Fund

30 hedge funds and large institutions have $112M invested in First Trust Small Cap Value AlphaDEX Fund in 2015 Q1 according to their latest regulatory filings, with 10 funds opening new positions, 11 increasing their positions, 6 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed

297% more capital invested

Capital invested by funds: $28.1M → $112M (+$83.6M)

233% more first-time investments, than exits

New positions opened: 10 | Existing positions closed: 3

83% more repeat investments, than reductions

Existing positions increased: 11 | Existing positions reduced: 6

30% more funds holding

Funds holding: 2330 (+7)

16.35% more ownership

Funds ownership: 44.95%61.3% (+16%)

Holders
30
Holders Change
+7
Holders Change %
+30.43%
% of All Funds
0.8%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
10
Increased
11
Reduced
6
Closed
3
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
BTS
1
BB&T Securities
Virginia
$69.5M +$6.77M +207,703 New
Morgan Stanley
2
Morgan Stanley
New York
$15.8M +$2.07M +63,568 +16%
Wells Fargo
3
Wells Fargo
California
$6.16M +$584K +17,908 +11%
Jane Street
4
Jane Street
New York
$5.22M +$4.83M +148,284 +1,899%
UBS Group
5
UBS Group
Switzerland
$2.3M +$1.86M +57,122 +490%
VFS
6
VSR Financial Services
Kansas
$1.78M +$1.74M +53,365 New
LPL Financial
7
LPL Financial
California
$1.56M +$415K +12,735 +38%
SG Americas Securities
8
SG Americas Securities
New York
$1.2M -$140K -4,300 -11%
Goldman Sachs
9
Goldman Sachs
New York
$1.18M +$1.15M +35,260 New
RJA
10
Raymond James & Associates
Florida
$1.17M +$169K +5,188 +17%
SAM
11
Sequent Asset Management
Texas
$1.12M +$1.09M +33,570 New
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$677K -$951K -29,163 -59%
CA
13
Cetera Advisors
Colorado
$536K +$79.5K +2,439 +18%
Susquehanna International Group
14
Susquehanna International Group
Pennsylvania
$530K -$251K -7,691 -33%
Stifel Financial
15
Stifel Financial
Missouri
$529K -$9.97K -306 -2%
Bank of America
16
Bank of America
North Carolina
$451K -$102K -3,124 -19%
SPC
17
Sigma Planning Corp
Michigan
$389K +$379K +11,620 New
Commonwealth Equity Services
18
Commonwealth Equity Services
Massachusetts
$363K +$34.3K +1,052 +11%
Cambridge Investment Research Advisors
19
Cambridge Investment Research Advisors
Iowa
$351K +$343K +10,508 New
Ameriprise
20
Ameriprise
Minnesota
$236K -$91.1K -2,794 -29%
Citigroup
21
Citigroup
New York
$207K +$202K +6,200 New
BFEC
22
Benjamin F. Edwards & Company
Missouri
$156K +$51.7K +1,586 +51%
AIG
23
American International Group
New York
$152K +$23.2K +712 +19%
PNC Financial Services Group
24
PNC Financial Services Group
Pennsylvania
$93K +$90.7K +2,782 New
GWM
25
Gupta Wealth Management
California
$67K +$65.2K +2,000 New

FYT Hedge Fund Activity: Q1 2015 in Review

30 of the 3,754 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Value AlphaDEX Fund (FYT) for Q1 2015, worth a combined $112M — up 297% from $28.1M a quarter earlier.

Buyers outnumbered sellers: 10 funds opened new FYT positions and 3 closed out — a net gain of 7 holders — while 11 added to existing stakes and 6 trimmed.

The largest buyer was BB&T Securities, opening a new position worth an estimated $6.77M. The largest seller was Royal Bank of Canada, cutting an estimated $951K.

  • 30 institutional investors held First Trust Small Cap Value AlphaDEX Fund (FYT) as of Q1 2015, up from 23 in Q4 2014.
  • Funds reported $112M of First Trust Small Cap Value AlphaDEX Fund stock for Q1 2015, up 297% quarter-over-quarter.
  • 10 funds opened new First Trust Small Cap Value AlphaDEX Fund positions in Q1 2015 and 3 closed out, a net change of +7 holders.
  • The largest First Trust Small Cap Value AlphaDEX Fund buyer in Q1 2015 was BB&T Securities, an estimated $6.77M added.
  • The largest First Trust Small Cap Value AlphaDEX Fund seller in Q1 2015 was Royal Bank of Canada, an estimated $951K sold.

Based on aggregated 13F filings for Q1 2015.