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First Trust Small Cap Value AlphaDEX Fund

55 hedge funds and large institutions have $158M invested in First Trust Small Cap Value AlphaDEX Fund in 2021 Q3 according to their latest regulatory filings, with 4 funds opening new positions, 15 increasing their positions, 29 reducing their positions, and 17 closing their positions.

New
Increased
Maintained
Reduced
Closed

0% more funds holding in top 10

Funds holding in top 10: 11 (0)

5.61% less ownership

Funds ownership: 74.29%68.68% (-5.6%)

19% less funds holding

Funds holding: 6855 (-13)

34% less capital invested

Capital invested by funds: $240M → $158M (-$82.5M)

48% less repeat investments, than reductions

Existing positions increased: 15 | Existing positions reduced: 29

76% less first-time investments, than exits

New positions opened: 4 | Existing positions closed: 17

Holders
55
Holders Change
-13
Holders Change %
-19.12%
% of All Funds
0.96%
Holding in Top 10
1
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
0.02%
New
4
Increased
15
Reduced
29
Closed
17
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Wells Fargo
1
Wells Fargo
California
$23.4M -$17.1M -342,169 -42%
Morgan Stanley
2
Morgan Stanley
New York
$18.3M -$9.16M -182,860 -33%
LPL Financial
3
LPL Financial
California
$17.2M -$7.85M -156,700 -31%
RJFSA
4
Raymond James Financial Services Advisors
Florida
$13.8M -$708K -14,133 -5%
GVAG
5
Great Valley Advisor Group
Delaware
$10.8M +$817K +16,324 +8%
Stifel Financial
6
Stifel Financial
Missouri
$7.89M -$624K -12,457 -7%
Truist Financial
7
Truist Financial
North Carolina
$6.84M -$13.1M -261,355 -66%
OPOWM
8
One Plus One Wealth Management
Florida
$6.73M -$9.16K -183 -0.1%
Royal Bank of Canada
9
Royal Bank of Canada
Ontario, Canada
$5.65M -$56.9K -1,137 -1%
RJA
10
Raymond James & Associates
Florida
$4.82M -$449K -8,959 -8%
PAG
11
Private Advisor Group
New Jersey
$4.59M -$1.39M -27,768 -23%
BFEC
12
Benjamin F. Edwards & Company
Missouri
$4.14M -$159K -3,179 -4%
Commonwealth Equity Services
13
Commonwealth Equity Services
Massachusetts
$3.63M -$1.16M -23,246 -24%
SPC
14
Sigma Planning Corp
Michigan
$2.97M -$1.25M -24,943 -30%
UBS Group
15
UBS Group
Switzerland
$2.39M -$788K -15,747 -25%
KWM
16
Kingsview Wealth Management
Oregon
$2.02M +$67.7K +1,353 +3%
Envestnet Asset Management
17
Envestnet Asset Management
Illinois
$1.95M +$342K +6,828 +21%
HIS
18
Harvest Investment Services
Illinois
$1.62M -$612K -12,218 -27%
Osaic Holdings
19
Osaic Holdings
Arizona
$1.58M -$1.48M -29,561 -48%
Koshinski Asset Management
20
Koshinski Asset Management
Illinois
$1.55M +$815K +16,267 +109%
Susquehanna International Group
21
Susquehanna International Group
Pennsylvania
$1.5M +$763K +15,238 +103%
HI
22
Harbour Investments
Wisconsin
$1.48M +$91.4K +1,826 +7%
TRCT
23
Tower Research Capital (TRC)
New York
$1.28M +$596K +11,898 +87%
SWP
24
Stratos Wealth Partners
Ohio
$1.22M -$1.06M -21,232 -46%
US Bancorp
25
US Bancorp
Minnesota
$1.08M -$169K -3,370 -14%

FYT Hedge Fund Activity: Q3 2021 in Review

55 of the 5,712 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Value AlphaDEX Fund (FYT) for Q3 2021, worth a combined $158M — down 34% from $240M a quarter earlier.

Sellers outnumbered buyers: 17 funds closed out of FYT and 4 opened new positions — a net loss of 13 holders — while 29 trimmed existing stakes and 15 added.

The largest buyer was Great Valley Advisor Group, adding an estimated $817K. The largest seller was Wells Fargo, cutting an estimated $17.1M.

  • 55 institutional investors held First Trust Small Cap Value AlphaDEX Fund (FYT) as of Q3 2021, down from 68 in Q2 2021.
  • Funds reported $158M of First Trust Small Cap Value AlphaDEX Fund stock for Q3 2021, down 34% quarter-over-quarter.
  • 4 funds opened new First Trust Small Cap Value AlphaDEX Fund positions in Q3 2021 and 17 closed out, a net change of -13 holders.
  • The largest First Trust Small Cap Value AlphaDEX Fund buyer in Q3 2021 was Great Valley Advisor Group, an estimated $817K added.
  • The largest First Trust Small Cap Value AlphaDEX Fund seller in Q3 2021 was Wells Fargo, an estimated $17.1M sold.

Based on aggregated 13F filings for Q3 2021.