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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
FAIM
51
Financial Advocates Investment Management
Washington
$1.36M +$277K +2,881 +26%
NFG
52
Nations Financial Group
Iowa
$1.36M -$14.5K -151 -1%
HighTower Advisors
53
HighTower Advisors
Illinois
$1.35M +$66.7K +694 +5%
Northwestern Mutual Wealth Management
54
Northwestern Mutual Wealth Management
Wisconsin
$1.29M +$921K +9,580 +256%
MIAN
55
Mariner Independent Advisor Network
Kansas
$1.09M -$153K -1,592 -12%
VCM
56
Virtue Capital Management
Tennessee
$1.08M +$1.07M +11,178 New
EH
57
Equitable Holdings
New York
$1.02M -$6.34K -66 -0.6%
CS
58
Comerica Securities
Michigan
$984K -$8.75K -91 -0.9%
KWS
59
Keystone Wealth Services
California
$975K +$966K +10,045 New
OC
60
Oppenheimer & Co
New York
$883K – – –
AWM
61
Apollon Wealth Management
South Carolina
$837K +$829K +8,628 New
TRCT
62
Tower Research Capital (TRC)
New York
$737K +$730K +7,591 New
IFG
63
Independent Financial Group
California
$647K +$641K +6,663 New
IWN
64
Independent Wealth Network
Iowa
$562K +$18.7K +195 +3%
IWM
65
IHT Wealth Management
Illinois
$556K -$78.8K -820 -13%
ARC
66
Advisor Resource Council
Texas
$540K +$535K +5,568 New
SPIA
67
Steward Partners Investment Advisory
New York
$529K +$47.8K +497 +10%
CAAS
68
Capital Asset Advisory Services
Michigan
$518K – – –
CFGS
69
Concourse Financial Group Securities
Alabama
$501K -$139K -1,442 -22%
EW
70
Element Wealth
Mississippi
$491K -$2.02K -21 -0.4%
HWIS
71
Hancock Whitney Investment Services
Louisiana
$490K +$486K +5,056 New
SCA
72
Snowden Capital Advisors
New York
$484K -$71.7K -746 -13%
TA
73
TFG Advisers
Michigan
$470K -$55.5K -577 -11%
SMC
74
Smith, Moore & Co
Missouri
$453K +$1.92K +20 +0.4%
First Trust Advisors
75
First Trust Advisors
Illinois
$446K -$7.23M -75,240 -94%
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.