First Trust Small Cap Core AlphaDEX Fund
57 hedge funds and large institutions have $283M invested in First Trust Small Cap Core AlphaDEX Fund in 2014 Q3 according to their latest regulatory filings, with 3 funds opening new positions, 31 increasing their positions, 17 reducing their positions, and 6 closing their positions.
82% more repeat investments, than reductions
Existing positions increased: 31 | Existing positions reduced: 17
0.48% more ownership
Funds ownership: 54.1% → 54.58% (+0.48%)
5% less funds holding
Funds holding: 60 → 57 (-3)
8% less capital invested
Capital invested by funds: $306M → $283M (-$23M)
50% less first-time investments, than exits
New positions opened: 3 | Existing positions closed: 6
Top Buyers
| Rank | Fund | Capital Flow |
|---|---|---|
| 1 |
Morgan Stanley
New York
|
+$10.7M |
| 2 |
AIM
Astor Investment Management
Chicago,
Illinois
|
+$4.11M |
| 3 |
Royal Bank of Canada
Toronto,
Ontario, Canada
|
+$2.3M |
| 4 |
Susquehanna International Group
Bala Cynwyd,
Pennsylvania
|
+$1.62M |
| 5 |
LPT
Legacy Private Trust
Neenah,
Wisconsin
|
+$676K |
Top Sellers
| Rank | Fund | Capital Flow |
|---|---|---|
| 1 |
U
UBS
Zurich,
Switzerland
|
-$4.55M |
| 2 |
SG Americas Securities
New York
|
-$4.49M |
| 3 |
Bank of America
Charlotte,
North Carolina
|
-$2.4M |
| 4 |
CAN
Cetera Advisor Networks
El Segundo,
California
|
-$2.07M |
| 5 |
CS
Credit Suisse
Zurich,
Switzerland
|
-$1.57M |
| Name | Holding | Trade Value |
Shares Change |
Change in Stake |
|
|---|---|---|---|---|---|
|
NFG
51
Next Financial Group
Houston,
Texas
| $32K | -$7.24K | -153 | -18% |
|
52
PNC Financial Services Group
Pittsburgh,
Pennsylvania
| $19K | +$6.29K | +133 | +48% |
|
|
SGC
53
South Georgia Capital
Naperville,
Illinois
| $14K | – | – | – |
|
|
MAS
54
Madden Advisory Services
Jacksonville,
Florida
| $7K | -$23.6K | -500 | -77% |
|
55
US Bancorp
Minneapolis,
Minnesota
| $7K | – | – | – |
|
56
AllianceBernstein
Nashville,
Tennessee
| $3K | +$2.79K | +59 | New |
|
|
JFA
57
JNBA Financial Advisors
Bloomington,
Minnesota
| $2K | – | – | – |
|
|
58
SG Americas Securities
New York
| – | -$4.49M | -91,396 | Closed |
|
|
3AM
59
3D Asset Management
Hartford,
Connecticut
| – | -$1.48M | -30,079 | Closed |
|
|
CS
60
Comerica Securities
Detroit,
Michigan
| – | -$586K | -11,923 | Closed |
|
|
SI
61
SII Investments
Appleton,
Wisconsin
| – | -$368K | -7,463 | Closed |
|
|
BRWA
62
B. Riley Wealth Advisors
Boca Raton,
Florida
| – | -$28K | -570 | Closed |
|
|
PAS
63
Partnervest Advisory Services
Santa Barbara,
California
| – | -$5K | -102 | Closed |
|
FYX Hedge Fund Activity: Q3 2014 in Review
57 of the 3,448 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Core AlphaDEX Fund (FYX) for Q3 2014, worth a combined $283M — down 7.5% from $306M a quarter earlier.
Sellers outnumbered buyers: 6 funds closed out of FYX and 3 opened new positions — a net loss of 3 holders — while 17 trimmed existing stakes and 31 added.
The largest buyer was Morgan Stanley, adding an estimated $10.7M. The largest seller was UBS, cutting an estimated $4.55M.
- 57 institutional investors held First Trust Small Cap Core AlphaDEX Fund (FYX) as of Q3 2014, down from 60 in Q2 2014.
- Funds reported $283M of First Trust Small Cap Core AlphaDEX Fund stock for Q3 2014, down 7.5% quarter-over-quarter.
- 3 funds opened new First Trust Small Cap Core AlphaDEX Fund positions in Q3 2014 and 6 closed out, a net change of -3 holders.
- The largest First Trust Small Cap Core AlphaDEX Fund buyer in Q3 2014 was Morgan Stanley, an estimated $10.7M added.
- The largest First Trust Small Cap Core AlphaDEX Fund seller in Q3 2014 was UBS, an estimated $4.55M sold.
Based on aggregated 13F filings for Q3 2014.