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First Trust Small Cap Value AlphaDEX Fund

30 hedge funds and large institutions have $28M invested in First Trust Small Cap Value AlphaDEX Fund in 2016 Q1 according to their latest regulatory filings, with 3 funds opening new positions, 13 increasing their positions, 7 reducing their positions, and 5 closing their positions.

New
Increased
Maintained
Reduced
Closed

86% more repeat investments, than reductions

Existing positions increased: 13 | Existing positions reduced: 7

8% more capital invested

Capital invested by funds: $25.9M → $28M (+$2.17M)

6.6% more ownership

Funds ownership: 51.78%58.38% (+6.6%)

6% less funds holding

Funds holding: 3230 (-2)

40% less first-time investments, than exits

New positions opened: 3 | Existing positions closed: 5

Holders
30
Holders Change
-2
Holders Change %
-6.25%
% of All Funds
0.8%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
3
Increased
13
Reduced
7
Closed
5
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$6.74M -$1.98M -76,875 -24%
LPL Financial
2
LPL Financial
California
$4.14M +$703K +27,307 +22%
Wells Fargo
3
Wells Fargo
California
$3.98M +$111K +4,318 +3%
VFS
4
VSR Financial Services
Kansas
$3.47M +$3.14M +122,029 New
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$2.42M +$1.01M +39,269 +85%
Bank of America
6
Bank of America
North Carolina
$943K +$445K +17,265 +108%
BFEC
7
Benjamin F. Edwards & Company
Missouri
$845K +$115K +4,472 +18%
Goldman Sachs
8
Goldman Sachs
New York
$830K -$80.1K -3,110 -10%
RJA
9
Raymond James & Associates
Florida
$713K -$30.1K -1,169 -4%
SAM
10
Sequent Asset Management
Texas
$477K
DADC
11
D.A. Davidson & Co
Montana
$384K +$5.79K +225 +2%
IWA
12
Intercontinental Wealth Advisors
Texas
$375K
UBS Group
13
UBS Group
Switzerland
$320K -$20.6K -800 -7%
Stifel Financial
14
Stifel Financial
Missouri
$297K -$82.9K -3,220 -24%
LTFS
15
Ladenburg Thalmann Financial Services
Florida
$295K +$231K +8,984 +658%
HFS
16
HL Financial Services
Kentucky
$271K +$245K +9,522 New
Commonwealth Equity Services
17
Commonwealth Equity Services
Massachusetts
$249K +$773 +30 +0.3%
LWAC
18
Laurel Wealth Advisors (California)
California
$216K
US Bancorp
19
US Bancorp
Minnesota
$215K +$42.3K +1,641 +28%
Citigroup
20
Citigroup
New York
$204K
Royal Bank of Canada
21
Royal Bank of Canada
Ontario, Canada
$189K -$245K -9,515 -59%
AIG
22
American International Group
New York
$144K +$11.4K +444 +10%
PNC Financial Services Group
23
PNC Financial Services Group
Pennsylvania
$94K +$541 +21 +0.6%
WA
24
WFG Advisors
Texas
$92K +$23.2K +900 +38%
GWM
25
Gupta Wealth Management
California
$57K

FYT Hedge Fund Activity: Q1 2016 in Review

30 of the 3,753 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Value AlphaDEX Fund (FYT) for Q1 2016, worth a combined $28M — up 8.4% from $25.9M a quarter earlier.

Sellers outnumbered buyers: 5 funds closed out of FYT and 3 opened new positions — a net loss of 2 holders — while 7 trimmed existing stakes and 13 added.

The largest buyer was VSR Financial Services, opening a new position worth an estimated $3.14M. The largest seller was Morgan Stanley, cutting an estimated $1.98M.

  • 30 institutional investors held First Trust Small Cap Value AlphaDEX Fund (FYT) as of Q1 2016, down from 32 in Q4 2015.
  • Funds reported $28M of First Trust Small Cap Value AlphaDEX Fund stock for Q1 2016, up 8.4% quarter-over-quarter.
  • 3 funds opened new First Trust Small Cap Value AlphaDEX Fund positions in Q1 2016 and 5 closed out, a net change of -2 holders.
  • The largest First Trust Small Cap Value AlphaDEX Fund buyer in Q1 2016 was VSR Financial Services, an estimated $3.14M added.
  • The largest First Trust Small Cap Value AlphaDEX Fund seller in Q1 2016 was Morgan Stanley, an estimated $1.98M sold.

Based on aggregated 13F filings for Q1 2016.