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First Trust Small Cap Value AlphaDEX Fund

38 hedge funds and large institutions have $44M invested in First Trust Small Cap Value AlphaDEX Fund in 2016 Q4 according to their latest regulatory filings, with 8 funds opening new positions, 12 increasing their positions, 13 reducing their positions, and 1 closing their positions.

New
Increased
Maintained
Reduced
Closed

700% more first-time investments, than exits

New positions opened: 8 | Existing positions closed: 1

27% more capital invested

Capital invested by funds: $34.7M → $44M (+$9.31M)

23% more funds holding

Funds holding: 3138 (+7)

8% less repeat investments, than reductions

Existing positions increased: 12 | Existing positions reduced: 13

9.31% less ownership

Funds ownership: 64.22%54.91% (-9.3%)

Holders
38
Holders Change
+7
Holders Change %
+22.58%
% of All Funds
0.95%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
8
Increased
12
Reduced
13
Closed
1
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$9.16M +$1.11M +34,315 +15%
BTS
2
BB&T Securities
Virginia
$7.63M
Wells Fargo
3
Wells Fargo
California
$6M +$83.8K +2,582 +2%
LPL Financial
4
LPL Financial
California
$2.93M +$223K +6,875 +9%
Bank of America
5
Bank of America
North Carolina
$2.92M +$1.05M +32,467 +63%
RJA
6
Raymond James & Associates
Florida
$2.44M -$847K -26,104 -27%
JIP
7
Jaffetilchin Investment Partners
Florida
$1.27M +$1.19M +36,600 New
Cambridge Investment Research Advisors
8
Cambridge Investment Research Advisors
Iowa
$1.19M +$640K +19,716 +136%
Susquehanna International Group
9
Susquehanna International Group
Pennsylvania
$1.15M +$1.07M +32,840 New
BFEC
10
Benjamin F. Edwards & Company
Missouri
$1.01M -$165K -5,078 -15%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$942K +$675K +20,813 +333%
AG
12
Advisor Group
Arizona
$898K -$304K -9,375 -27%
SAM
13
Sequent Asset Management
Texas
$753K +$170K +5,250 +32%
CWM
14
Cornerstone Wealth Management
Missouri
$632K -$12.5K -385 -2%
DADC
15
D.A. Davidson & Co
Montana
$467K -$7.72K -238 -2%
IWA
16
Intercontinental Wealth Advisors
Texas
$459K
Stifel Financial
17
Stifel Financial
Missouri
$428K -$122K -3,751 -23%
Goldman Sachs
18
Goldman Sachs
New York
$415K -$4.45K -137 -1%
US Bancorp
19
US Bancorp
Minnesota
$410K -$5.13K -158 -1%
MFS
20
MSI Financial Services
Massachusetts
$396K +$55.9K +1,722 +18%
Jane Street
21
Jane Street
New York
$364K +$339K +10,450 New
CS
22
Credit Suisse
Switzerland
$354K +$329K +10,152 New
HFS
23
HL Financial Services
Kentucky
$294K -$17.7K -546 -6%
LTFS
24
Ladenburg Thalmann Financial Services
Florida
$292K +$32 +1 +0%
Ameriprise
25
Ameriprise
Minnesota
$242K -$16.4K -505 -7%

FYT Hedge Fund Activity: Q4 2016 in Review

38 of the 4,001 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Value AlphaDEX Fund (FYT) for Q4 2016, worth a combined $44M — up 27% from $34.7M a quarter earlier.

Buyers outnumbered sellers: 8 funds opened new FYT positions and 1 closed out — a net gain of 7 holders — while 12 added to existing stakes and 13 trimmed.

The largest buyer was Jaffetilchin Investment Partners, opening a new position worth an estimated $1.19M. The largest seller was Raymond James & Associates, cutting an estimated $847K.

  • 38 institutional investors held First Trust Small Cap Value AlphaDEX Fund (FYT) as of Q4 2016, up from 31 in Q3 2016.
  • Funds reported $44M of First Trust Small Cap Value AlphaDEX Fund stock for Q4 2016, up 27% quarter-over-quarter.
  • 8 funds opened new First Trust Small Cap Value AlphaDEX Fund positions in Q4 2016 and 1 closed out, a net change of +7 holders.
  • The largest First Trust Small Cap Value AlphaDEX Fund buyer in Q4 2016 was Jaffetilchin Investment Partners, an estimated $1.19M added.
  • The largest First Trust Small Cap Value AlphaDEX Fund seller in Q4 2016 was Raymond James & Associates, an estimated $847K sold.

Based on aggregated 13F filings for Q4 2016.