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First Trust Small Cap Core AlphaDEX Fund
FYX

Overview Fund Activity

52 hedge funds and large institutions have $306M invested in First Trust Small Cap Core AlphaDEX Fund in 2013 Q4 according to their latest regulatory filings, with 12 funds opening new positions, 24 increasing their positions, 10 reducing their positions, and 1 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
52
Holders Change
+10
Holders Change %
+23.81%
% of All Funds
1.51%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
%
% of All Funds
0.03%
New
12
Increased
24
Reduced
10
Closed
1
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
DWA
1
Dorsey Wright & Associates
California
$27.2M
2
AIA
2
Arrow Investment Advisors
Maryland
$19.3M
3
Wells Fargo
3
Wells Fargo
California
$55.9M
4
U
4
UBS
Switzerland
$34.6M
5
Morgan Stanley
5
Morgan Stanley
New York
$39.3M

Top Sellers

1
Deutsche Bank
1
Deutsche Bank
Germany
$2.28M
2
BTS
2
BB&T Securities
Virginia
$6.38M
3
First Trust Advisors
3
First Trust Advisors
Illinois
$1.98M
4
Goldman Sachs
4
Goldman Sachs
New York
$0
5
VFS
5
VSR Financial Services
Kansas
$1.31M
Name Holding Trade Value Shares
Change 		Shares
Change %
PAG
26
Private Advisor Group
New Jersey
$741K +$741K +15,231 New
SG Americas Securities
27
SG Americas Securities
New York
$685K +$286K +5,877 +72%
Commonwealth Equity Services
28
Commonwealth Equity Services
Massachusetts
$627K -$16.3K -336 -3%
CS
29
Comerica Securities
Michigan
$565K -$19.7K -406 -3%
UR
30
USCA RIA
Texas
$474K +$2.43K +50 +0.5%
SI
31
SII Investments
Wisconsin
$451K -$12.7K -260 -3%
PI
32
Placemark Investments
Illinois
$439K +$62.4K +1,283 +17%
PGFC
33
Peapack-Gladstone Financial Corp
New Jersey
$438K – – –
Envestnet Asset Management
34
Envestnet Asset Management
Illinois
$395K +$179K +3,684 +83%
FAAS
35
First Allied Advisory Services
California
$391K +$99.8K +2,046 +34%
SCM
36
Sterneck Capital Management
Missouri
$362K – – –
LTFS
37
Ladenburg Thalmann Financial Services
Florida
$336K -$2.99K -62 -0.9%
AIG
38
American International Group
New York
$290K -$54.3K -1,116 -16%
CS
39
Credit Suisse
Switzerland
$272K +$272K +5,587 New
SF
40
Synovus Financial
Georgia
$243K – – –
BAAM
41
Baker Avenue Asset Management
California
$241K – – –
IH
42
IFC Holdings
Florida
$221K +$221K +4,541 New
NES
43
New England Securities
New York
$134K +$15.8K +325 +13%
BFEC
44
Benjamin F. Edwards & Company
Missouri
$133K – – –
WA
45
WFG Advisors
Texas
$86K +$18.3K +375 +27%
Citigroup
46
Citigroup
New York
$83K +$22.7K +469 +38%
CCM
47
Chilton Capital Management
Texas
$48.7K +$48.7K +1,000 New
MAS
48
Madden Advisory Services
Florida
$32K +$32K +653 New
SGC
49
South Georgia Capital
Illinois
$15K +$15K +310 New
PNC Financial Services Group
50
PNC Financial Services Group
Pennsylvania
$14K +$14K +280 New
1
2
3