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First Trust Small Cap Core AlphaDEX Fund
FYX

98 hedge funds and large institutions have $444M invested in First Trust Small Cap Core AlphaDEX Fund in 2018 Q3 according to their latest regulatory filings, with 12 funds opening new positions, 45 increasing their positions, 24 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed

88% more repeat investments, than reductions

Existing positions increased: 45 | Existing positions reduced: 24

33% more first-time investments, than exits

New positions opened: 12 | Existing positions closed: 9

24% more capital invested

Capital invested by funds: $356M → $444M (+$87.1M)

3.32% more ownership

Funds ownership: 55.61% → 58.93% (+3.3%)

3% more funds holding

Funds holding: 95 → 98 (+3)

0% more funds holding in top 10

Funds holding in top 10: 3 → 3 (0)

Holders
98
Holders Change
+3
Holders Change %
+3.16%
% of All Funds
2.24%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
12
Increased
45
Reduced
24
Closed
9
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
PFA
Pinnacle Family Advisors
Missouri
+$16.7M
2
Wells Fargo
Wells Fargo
California
+$14.6M
3
BTS
BB&T Securities
Virginia
+$11.8M
4
CWM
Cornerstone Wealth Management
Missouri
+$11.3M
5
PAG
Private Advisor Group
New Jersey
+$7.54M

Top Sellers

Rank Fund Capital Flow
1
HAFS
Hapanowicz & Associates Financial Services
Pennsylvania
-$5.24M
2
Envestnet Asset Management
Envestnet Asset Management
Illinois
-$3.93M
3
MML Investors Services
MML Investors Services
Massachusetts
-$1.64M
4
PGA
Premia Global Advisors
Florida
-$1.35M
5
Janney Montgomery Scott
Janney Montgomery Scott
Pennsylvania
-$1.29M
Name Holding Trade Value Shares
Change 		Change in
Stake
CPIG
51
Chicago Partners Investment Group
Illinois
$637K +$42.3K +618 +6%
First Trust Advisors
52
First Trust Advisors
Illinois
$565K – – –
BW
53
Bison Wealth
Georgia
$552K +$51.4K +750 +10%
CS
54
Credit Suisse
Switzerland
$513K +$139K +2,034 +38%
PNC Financial Services Group
55
PNC Financial Services Group
Pennsylvania
$497K +$14.3K +209 +3%
LWAC
56
Laurel Wealth Advisors (California)
California
$454K +$37.5K +548 +9%
SG
57
StoneX Group
New York
$447K -$25.3K -370 -5%
LI
58
LVZ Inc
Michigan
$443K +$19K +278 +4%
FHC
59
First Heartland Consultants
Missouri
$437K +$433K +6,330 New
SWP
60
Stratos Wealth Partners
Ohio
$415K +$44.5K +650 +12%
VFA
61
Voya Financial Advisors
Connecticut
$393K +$60K +876 +18%
CFGS
62
Concourse Financial Group Securities
Alabama
$384K +$382K +5,573 New
SS
63
Simplicity Solutions
Minnesota
$381K +$378K +5,527 New
SPIA
64
Steward Partners Investment Advisory
New York
$366K -$89.8K -1,311 -20%
GFPC
65
Global Financial Private Capital
Florida
$304K +$12.3K +180 +4%
NFC
66
Northeast Financial Consultants
Connecticut
$303K +$301K +4,400 New
PGFC
67
Peapack-Gladstone Financial Corp
New Jersey
$276K – – –
FAIM
68
Financial Advocates Investment Management
Washington
$267K +$265K +3,877 New
SPC
69
Sigma Planning Corp
Michigan
$244K +$3.22K +47 +1%
MHS
70
M Holdings Securities
Oregon
$231K +$229K +3,347 New
Citigroup
71
Citigroup
New York
$230K +$68 +1 +0%
SF
72
Synovus Financial
Georgia
$228K – – –
ASN
73
Advisory Services Network
Georgia
$204K – – –
TRCT
74
Tower Research Capital (TRC)
New York
$193K +$192K +2,804 New
CHC
75
City Holding Co
West Virginia
$141K – – –
1 2
3
4 5

FYX Hedge Fund Activity: Q3 2018 in Review

98 of the 4,374 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Core AlphaDEX Fund (FYX) for Q3 2018, worth a combined $444M — up 24% from $356M a quarter earlier.

Buyers outnumbered sellers: 12 funds opened new FYX positions and 9 closed out — a net gain of 3 holders — while 45 added to existing stakes and 24 trimmed.

The largest buyer was Pinnacle Family Advisors, adding an estimated $16.7M. The largest seller was Hapanowicz & Associates Financial Services, cutting an estimated $5.24M.

  • 98 institutional investors held First Trust Small Cap Core AlphaDEX Fund (FYX) as of Q3 2018, up from 95 in Q2 2018.
  • Funds reported $444M of First Trust Small Cap Core AlphaDEX Fund stock for Q3 2018, up 24% quarter-over-quarter.
  • 12 funds opened new First Trust Small Cap Core AlphaDEX Fund positions in Q3 2018 and 9 closed out, a net change of +3 holders.
  • The largest First Trust Small Cap Core AlphaDEX Fund buyer in Q3 2018 was Pinnacle Family Advisors, an estimated $16.7M added.
  • The largest First Trust Small Cap Core AlphaDEX Fund seller in Q3 2018 was Hapanowicz & Associates Financial Services, an estimated $5.24M sold.

Based on aggregated 13F filings for Q3 2018.