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First Trust Small Cap Core AlphaDEX Fund
FYX

117 hedge funds and large institutions have $573M invested in First Trust Small Cap Core AlphaDEX Fund in 2021 Q3 according to their latest regulatory filings, with 11 funds opening new positions, 49 increasing their positions, 35 reducing their positions, and 16 closing their positions.

New
Increased
Maintained
Reduced
Closed

40% more repeat investments, than reductions

Existing positions increased: 49 | Existing positions reduced: 35

33% more funds holding in top 10

Funds holding in top 10: 3 → 4 (+1)

0.17% more ownership

Funds ownership: 61.01% → 61.19% (+0.17%)

6% less capital invested

Capital invested by funds: $612M → $573M (-$39M)

6% less funds holding

Funds holding: 125 → 117 (-8)

31% less first-time investments, than exits

New positions opened: 11 | Existing positions closed: 16

Holders
117
Holders Change
-8
Holders Change %
-6.4%
% of All Funds
2.05%
Holding in Top 10
4
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+33.33%
% of All Funds
0.07%
New
11
Increased
49
Reduced
35
Closed
16
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
SMF
Sterling Manor Financial
New York
+$5.13M
2
FTUS
Flow Traders U.S.
New York
+$4.28M
3
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
+$4.24M
4
FHC
First Heartland Consultants
Missouri
+$3.71M
5
Bank of America
Bank of America
North Carolina
+$2.28M

Top Sellers

Rank Fund Capital Flow
1
LPL Financial
LPL Financial
California
-$9.62M
2
Morgan Stanley
Morgan Stanley
New York
-$6.36M
3
RJFSA
Raymond James Financial Services Advisors
Florida
-$4.74M
4
SFS
Sowell Financial Services
Arkansas
-$4.44M
5
Wells Fargo
Wells Fargo
California
-$3.69M
Name Holding Trade Value Shares
Change 		Change in
Stake
TIM
76
Total Investment Management
Arizona
$366K -$97.3K -1,065 -21%
Northwestern Mutual Wealth Management
77
Northwestern Mutual Wealth Management
Wisconsin
$342K +$131K +1,431 +62%
DFA
78
DHJJ Financial Advisors
Illinois
$333K +$1.37K +15 +0.4%
KPWS
79
Kestra Private Wealth Services
Texas
$320K -$42.2K -462 -12%
GIA
80
Gladstone Institutional Advisory
Florida
$315K -$2.02M -22,138 -87%
ASN
81
Advisory Services Network
Georgia
$306K +$91 +1 +0%
Ameriprise
82
Ameriprise
Minnesota
$294K +$293K +3,212 New
PFA
83
Professional Financial Advisors
Nebraska
$276K -$3.65K -40 -1%
GVAG
84
Great Valley Advisor Group
Delaware
$260K +$183 +2 +0.1%
IA
85
Insight Advisors
Pennsylvania
$246K -$54.5K -597 -19%
WS
86
Wedbush Securities
California
$225K – – –
VVP
87
Venture Visionary Partners
Ohio
$214K – – –
WAS
88
Wealth Advisory Solutions
Indiana
$212K – – –
APA
89
American Portfolios Advisors
New York
$187K – – –
AF
90
Allworth Financial
California
$186K – – –
Koshinski Asset Management
91
Koshinski Asset Management
Illinois
$158K +$158K +1,725 New
PNC Financial Services Group
92
PNC Financial Services Group
Pennsylvania
$139K +$183 +2 +0.1%
US Bancorp
93
US Bancorp
Minnesota
$121K -$13.4K -147 -10%
CHC
94
City Holding Co
West Virginia
$105K – – –
KIG
95
Kowal Investment Group
Wisconsin
$105K +$105K +1,145 New
JCM
96
Jacobi Capital Management
Pennsylvania
$82K – – –
SAM
97
Strategic Asset Management
Minnesota
$81K +$78.8K +862 New
Rockefeller Capital Management
98
Rockefeller Capital Management
New York
$76K +$91 +1 +0.1%
CWC
99
Carolinas Wealth Consulting
North Carolina
$62K +$91 +1 +0.1%
GWSG
100
GPS Wealth Strategies Group
Colorado
$48K -$4.02K -44 -8%
2 3
4
5 6

FYX Hedge Fund Activity: Q3 2021 in Review

117 of the 5,712 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Core AlphaDEX Fund (FYX) for Q3 2021, worth a combined $573M — down 6.4% from $612M a quarter earlier.

Sellers outnumbered buyers: 16 funds closed out of FYX and 11 opened new positions — a net loss of 5 holders — while 35 trimmed existing stakes and 49 added.

The largest buyer was Sterling Manor Financial, adding an estimated $5.13M. The largest seller was LPL Financial, cutting an estimated $9.62M.

  • 117 institutional investors held First Trust Small Cap Core AlphaDEX Fund (FYX) as of Q3 2021, down from 125 in Q2 2021.
  • Funds reported $573M of First Trust Small Cap Core AlphaDEX Fund stock for Q3 2021, down 6.4% quarter-over-quarter.
  • 11 funds opened new First Trust Small Cap Core AlphaDEX Fund positions in Q3 2021 and 16 closed out, a net change of -5 holders.
  • The largest First Trust Small Cap Core AlphaDEX Fund buyer in Q3 2021 was Sterling Manor Financial, an estimated $5.13M added.
  • The largest First Trust Small Cap Core AlphaDEX Fund seller in Q3 2021 was LPL Financial, an estimated $9.62M sold.

Based on aggregated 13F filings for Q3 2021.