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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
AWM
76
AE Wealth Management
Kansas
$434K +$429K +4,467 New
HSA
77
HBK Sorce Advisory
Pennsylvania
$433K -$9.23K -96 -2%
Goldman Sachs
78
Goldman Sachs
New York
$429K – – –
NFC
79
Northeast Financial Consultants
Connecticut
$427K – – –
BFEC
80
Benjamin F. Edwards & Company
Missouri
$420K -$990K -10,301 -70%
BMWM
81
Brown Miller Wealth Management
Virginia
$417K -$54K -562 -12%
HPC
82
HM Payson & Co
Maine
$416K – – –
KFGK
83
Keystone Financial Group (Kentucky)
Kentucky
$416K +$412K +4,285 New
TIM
84
Total Investment Management
Arizona
$389K – – –
MML Investors Services
85
MML Investors Services
Massachusetts
$387K +$383K +3,982 New
CA
86
Cetera Advisors
Colorado
$383K -$32.1K -334 -8%
HI
87
Harbour Investments
Wisconsin
$367K -$1.74M -18,114 -83%
FTUS
88
Flow Traders U.S.
New York
$353K -$4.16M -43,256 -92%
DFA
89
DHJJ Financial Advisors
Illinois
$353K -$673 -7 -0.2%
KPWS
90
Kestra Private Wealth Services
Texas
$347K +$6.92K +72 +2%
NA
91
NewEdge Advisors
Louisiana
$347K +$343K +3,572 New
CP
92
Camelot Portfolios
Ohio
$298K -$447K -4,648 -60%
WE
93
Wealth Effects
Massachusetts
$296K +$294K +3,055 New
PFA
94
Professional Financial Advisors
Nebraska
$290K -$2.21K -23 -0.8%
Creative Planning
95
Creative Planning
Kansas
$284K +$281K +2,925 New
Carson Wealth (CWM LLC)
96
Carson Wealth (CWM LLC)
Nebraska
$282K +$280K +2,910 New
AAS
97
Ameritas Advisory Services
Nebraska
$278K +$276K +2,869 New
GIA
98
Gladstone Institutional Advisory
Florida
$269K -$64.3K -669 -19%
WS
99
Wedbush Securities
California
$266K +$27.2K +283 +12%
GVAG
100
Great Valley Advisor Group
Delaware
$260K – – –
2 3
4
5 6

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.