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First Trust Small Cap Value AlphaDEX Fund

38 hedge funds and large institutions have $32M invested in First Trust Small Cap Value AlphaDEX Fund in 2017 Q2 according to their latest regulatory filings, with 4 funds opening new positions, 10 increasing their positions, 17 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed

12% less funds holding

Funds holding: 4338 (-5)

34.35% less ownership

Funds ownership: 83.82%49.46% (-34%)

41% less repeat investments, than reductions

Existing positions increased: 10 | Existing positions reduced: 17

52% less capital invested

Capital invested by funds: $67.1M → $32M (-$35.2M)

56% less first-time investments, than exits

New positions opened: 4 | Existing positions closed: 9

100% less funds holding in top 10

Funds holding in top 10: 10 (-1)

Holders
38
Holders Change
-5
Holders Change %
-11.63%
% of All Funds
0.95%
Holding in Top 10
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-100%
% of All Funds
New
4
Increased
10
Reduced
17
Closed
9
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$7.02M -$1.98M -58,660 -22%
LPL Financial
2
LPL Financial
California
$3.27M -$40.9K -1,211 -1%
Bank of America
3
Bank of America
North Carolina
$3.06M -$291K -8,596 -9%
Susquehanna International Group
4
Susquehanna International Group
Pennsylvania
$2.6M +$1.61M +47,649 +168%
CS
5
Credit Suisse
Switzerland
$2.11M +$1.71M +50,511 +441%
Wells Fargo
6
Wells Fargo
California
$2M -$5.28M -156,348 -73%
SAM
7
Sequent Asset Management
Texas
$1.78M -$159K -4,700 -8%
Jane Street
8
Jane Street
New York
$1.63M -$3.48M -102,854 -68%
AG
9
Advisor Group
Arizona
$1.17M +$15.2K +449 +1%
SG Americas Securities
10
SG Americas Securities
New York
$694K +$187K +5,540 +37%
MML Investors Services
11
MML Investors Services
Massachusetts
$622K +$618K +18,288 New
VKH
12
Virtu KCG Holdings
New York
$564K +$122K +3,619 +28%
US Bancorp
13
US Bancorp
Minnesota
$480K +$36.9K +1,092 +8%
BFEC
14
Benjamin F. Edwards & Company
Missouri
$453K -$115K -3,413 -20%
IWA
15
Intercontinental Wealth Advisors
Texas
$449K
DADC
16
D.A. Davidson & Co
Montana
$422K -$24.6K -729 -6%
Stifel Financial
17
Stifel Financial
Missouri
$420K -$371K -10,983 -47%
UBS Group
18
UBS Group
Switzerland
$357K -$23.2K -685 -6%
Goldman Sachs
19
Goldman Sachs
New York
$286K -$52.3K -1,546 -16%
Royal Bank of Canada
20
Royal Bank of Canada
Ontario, Canada
$283K -$118K -3,485 -29%
RJA
21
Raymond James & Associates
Florida
$268K +$266K +7,883 New
Cambridge Investment Research Advisors
22
Cambridge Investment Research Advisors
Iowa
$255K -$951K -28,147 -79%
Commonwealth Equity Services
23
Commonwealth Equity Services
Massachusetts
$250K +$39.2K +1,160 +19%
Ameriprise
24
Ameriprise
Minnesota
$249K -$507K -15,003 -67%
NWM
25
Northwest Wealth Management
Iowa
$244K +$243K +7,184 New

FYT Hedge Fund Activity: Q2 2017 in Review

38 of the 4,011 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Value AlphaDEX Fund (FYT) for Q2 2017, worth a combined $32M — down 52% from $67.1M a quarter earlier.

Sellers outnumbered buyers: 9 funds closed out of FYT and 4 opened new positions — a net loss of 5 holders — while 17 trimmed existing stakes and 10 added.

The largest buyer was Credit Suisse, adding an estimated $1.71M. The largest seller was Hays Advisory, exiting entirely with an estimated $13.4M sold.

  • 38 institutional investors held First Trust Small Cap Value AlphaDEX Fund (FYT) as of Q2 2017, down from 43 in Q1 2017.
  • Funds reported $32M of First Trust Small Cap Value AlphaDEX Fund stock for Q2 2017, down 52% quarter-over-quarter.
  • 4 funds opened new First Trust Small Cap Value AlphaDEX Fund positions in Q2 2017 and 9 closed out, a net change of -5 holders.
  • The largest First Trust Small Cap Value AlphaDEX Fund buyer in Q2 2017 was Credit Suisse, an estimated $1.71M added.
  • The largest First Trust Small Cap Value AlphaDEX Fund seller in Q2 2017 was Hays Advisory, an estimated $13.4M sold.

Based on aggregated 13F filings for Q2 2017.