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First Trust Small Cap Core AlphaDEX Fund
FYX

134 hedge funds and large institutions have $626M invested in First Trust Small Cap Core AlphaDEX Fund in 2021 Q4 according to their latest regulatory filings, with 28 funds opening new positions, 43 increasing their positions, 40 reducing their positions, and 10 closing their positions.

New
Increased
Maintained
Reduced
Closed

180% more first-time investments, than exits

New positions opened: 28 | Existing positions closed: 10

25% more funds holding in top 10

Funds holding in top 10: 4 → 5 (+1)

15% more funds holding

Funds holding: 117 → 134 (+17)

9% more capital invested

Capital invested by funds: $573M → $626M (+$52.5M)

2.11% more ownership

Funds ownership: 61.19% → 63.29% (+2.1%)

8% more repeat investments, than reductions

Existing positions increased: 43 | Existing positions reduced: 40

Holders
134
Holders Change
+17
Holders Change %
+14.53%
% of All Funds
2.06%
Holding in Top 10
5
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+25%
% of All Funds
0.08%
New
28
Increased
43
Reduced
40
Closed
10
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
LPL Financial
LPL Financial
California
+$5.1M
2
Bank of America
Bank of America
North Carolina
+$4.88M
3
BCM
Breiter Capital Management
Florida
+$3.61M
4
Citadel Advisors
Citadel Advisors
Florida
+$3.5M
5
KAS
Kestra Advisory Services
Texas
+$2.83M

Top Sellers

Rank Fund Capital Flow
1
First Trust Advisors
First Trust Advisors
Illinois
-$7.23M
2
SMF
Sterling Manor Financial
New York
-$6.71M
3
Morgan Stanley
Morgan Stanley
New York
-$5.51M
4
FTUS
Flow Traders U.S.
New York
-$4.16M
5
LA
LexAurum Advisors
Kansas
-$3.27M
Name Holding Trade Value Shares
Change 		Change in
Stake
PNC
26
Park National Corp
Ohio
$4.47M +$195K +2,025 +5%
IA
27
IFG Advisory
Georgia
$4.41M +$193K +2,004 +5%
DADC
28
D.A. Davidson & Co
Montana
$4.41M +$50.9K +530 +1%
Envestnet Asset Management
29
Envestnet Asset Management
Illinois
$4.06M +$352K +3,657 +10%
CPIG
30
Chicago Partners Investment Group
Illinois
$3.92M +$422K +4,390 +11%
Truist Financial
31
Truist Financial
North Carolina
$3.74M -$701K -7,296 -16%
BCM
32
Breiter Capital Management
Florida
$3.65M +$3.61M +37,596 New
Citadel Advisors
33
Citadel Advisors
Florida
$3.54M +$3.5M +36,440 New
Stifel Financial
34
Stifel Financial
Missouri
$3.36M -$51K -531 -2%
DWA
35
Dorsey Wright & Associates
California
$3.06M +$50.6K +526 +2%
USCWA
36
U.S. Capital Wealth Advisors
Texas
$2.91M +$158K +1,640 +6%
AWM
37
Avaii Wealth Management
Wisconsin
$2.8M +$2.77M +28,865 New
AF
38
Allworth Financial
California
$2.61M +$2.39M +24,891 +1,226%
FWM
39
Frontier Wealth Management
Missouri
$2.6M +$385 +4 +0%
CAN
40
Cetera Advisor Networks
California
$2.27M +$113K +1,177 +5%
MIM
41
MTM Investment Management
South Carolina
$2.17M +$604K +6,279 +39%
SPC
42
Sigma Planning Corp
Michigan
$2.16M -$43K -447 -2%
SMF
43
Sterling Manor Financial
New York
$2.07M -$6.71M -69,784 -77%
PIA
44
Perennial Investment Advisors
California
$2.06M +$381K +3,962 +23%
LI
45
LVZ Inc
Michigan
$2M +$191K +1,988 +11%
Susquehanna International Group
46
Susquehanna International Group
Pennsylvania
$1.8M -$170K -1,769 -9%
OIA
47
OneDigital Investment Advisors
Kansas
$1.79M +$171K +1,781 +11%
TCM
48
Triumph Capital Management
Colorado
$1.66M +$432K +4,499 +36%
GWM
49
Geneos Wealth Management
Colorado
$1.65M +$154K +1,607 +10%
AWA
50
Arkadios Wealth Advisors
Georgia
$1.44M +$959K +9,974 +206%
1
2
3 4 5

FYX Hedge Fund Activity: Q4 2021 in Review

134 of the 6,498 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Core AlphaDEX Fund (FYX) for Q4 2021, worth a combined $626M — up 9.2% from $573M a quarter earlier.

Buyers outnumbered sellers: 28 funds opened new FYX positions and 10 closed out — a net gain of 18 holders — while 43 added to existing stakes and 40 trimmed.

The largest buyer was LPL Financial, adding an estimated $5.1M. The largest seller was First Trust Advisors, cutting an estimated $7.23M.

  • 134 institutional investors held First Trust Small Cap Core AlphaDEX Fund (FYX) as of Q4 2021, up from 117 in Q3 2021.
  • Funds reported $626M of First Trust Small Cap Core AlphaDEX Fund stock for Q4 2021, up 9.2% quarter-over-quarter.
  • 28 funds opened new First Trust Small Cap Core AlphaDEX Fund positions in Q4 2021 and 10 closed out, a net change of +18 holders.
  • The largest First Trust Small Cap Core AlphaDEX Fund buyer in Q4 2021 was LPL Financial, an estimated $5.1M added.
  • The largest First Trust Small Cap Core AlphaDEX Fund seller in Q4 2021 was First Trust Advisors, an estimated $7.23M sold.

Based on aggregated 13F filings for Q4 2021.