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First Trust Small Cap Value AlphaDEX Fund

32 hedge funds and large institutions have $29.4M invested in First Trust Small Cap Value AlphaDEX Fund in 2017 Q3 according to their latest regulatory filings, with 2 funds opening new positions, 9 increasing their positions, 12 reducing their positions, and 6 closing their positions.

New
Increased
Maintained
Reduced
Closed

3.63% less ownership

Funds ownership: 49.46%45.83% (-3.6%)

8% less capital invested

Capital invested by funds: $32M → $29.4M (-$2.56M)

16% less funds holding

Funds holding: 3832 (-6)

25% less repeat investments, than reductions

Existing positions increased: 9 | Existing positions reduced: 12

67% less first-time investments, than exits

New positions opened: 2 | Existing positions closed: 6

Holders
32
Holders Change
-6
Holders Change %
-15.79%
% of All Funds
0.8%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
2
Increased
9
Reduced
12
Closed
6
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$5.88M -$1.39M -41,263 -20%
Bank of America
2
Bank of America
North Carolina
$3.62M +$387K +11,474 +13%
LPL Financial
3
LPL Financial
California
$3.19M -$226K -6,703 -7%
RJA
4
Raymond James & Associates
Florida
$2.43M +$2.03M +60,170 +763%
CS
5
Credit Suisse
Switzerland
$2.21M
Wells Fargo
6
Wells Fargo
California
$1.87M -$217K -6,417 -11%
SAM
7
Sequent Asset Management
Texas
$1.85M -$16.4K -485 -0.9%
BFEC
8
Benjamin F. Edwards & Company
Missouri
$1.78M +$1.24M +36,631 +275%
Susquehanna International Group
9
Susquehanna International Group
Pennsylvania
$911K -$1.7M -50,511 -66%
MML Investors Services
10
MML Investors Services
Massachusetts
$708K +$52.9K +1,568 +9%
Stifel Financial
11
Stifel Financial
Missouri
$667K +$218K +6,466 +53%
US Bancorp
12
US Bancorp
Minnesota
$550K +$44.3K +1,314 +9%
IWA
13
Intercontinental Wealth Advisors
Texas
$470K
DADC
14
D.A. Davidson & Co
Montana
$435K -$7.42K -220 -2%
AG
15
Advisor Group
Arizona
$292K -$884K -26,193 -76%
Cambridge Investment Research Advisors
16
Cambridge Investment Research Advisors
Iowa
$290K +$21.7K +643 +9%
Goldman Sachs
17
Goldman Sachs
New York
$283K -$15.8K -469 -6%
MRCM
18
M&R Capital Management
New Jersey
$236K
Citigroup
19
Citigroup
New York
$221K
UBS Group
20
UBS Group
Switzerland
$216K -$150K -4,441 -42%
LTFS
21
Ladenburg Thalmann Financial Services
Florida
$214K +$1.25K +37 +0.6%
Commonwealth Equity Services
22
Commonwealth Equity Services
Massachusetts
$213K -$45.9K -1,361 -19%
CCA
23
Clearwater Capital Advisors
Illinois
$204K +$193K +5,724 New
Royal Bank of Canada
24
Royal Bank of Canada
Ontario, Canada
$203K -$89.2K -2,645 -32%
SG Americas Securities
25
SG Americas Securities
New York
$184K -$513K -15,201 -75%

FYT Hedge Fund Activity: Q3 2017 in Review

32 of the 4,011 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Value AlphaDEX Fund (FYT) for Q3 2017, worth a combined $29.4M — down 8% from $32M a quarter earlier.

Sellers outnumbered buyers: 6 funds closed out of FYT and 2 opened new positions — a net loss of 4 holders — while 12 trimmed existing stakes and 9 added.

The largest buyer was Raymond James & Associates, adding an estimated $2.03M. The largest seller was Susquehanna International Group, cutting an estimated $1.7M.

  • 32 institutional investors held First Trust Small Cap Value AlphaDEX Fund (FYT) as of Q3 2017, down from 38 in Q2 2017.
  • Funds reported $29.4M of First Trust Small Cap Value AlphaDEX Fund stock for Q3 2017, down 8% quarter-over-quarter.
  • 2 funds opened new First Trust Small Cap Value AlphaDEX Fund positions in Q3 2017 and 6 closed out, a net change of -4 holders.
  • The largest First Trust Small Cap Value AlphaDEX Fund buyer in Q3 2017 was Raymond James & Associates, an estimated $2.03M added.
  • The largest First Trust Small Cap Value AlphaDEX Fund seller in Q3 2017 was Susquehanna International Group, an estimated $1.7M sold.

Based on aggregated 13F filings for Q3 2017.