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First Trust Small Cap Core AlphaDEX Fund
FYX

Overview Fund Activity

52 hedge funds and large institutions have $306M invested in First Trust Small Cap Core AlphaDEX Fund in 2013 Q4 according to their latest regulatory filings, with 12 funds opening new positions, 24 increasing their positions, 10 reducing their positions, and 1 closing their positions.

Holders
52
Holders Change
+10
Holders Change %
+23.81%
% of All Funds
1.51%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
%
% of All Funds
0.03%
New
12
Increased
24
Reduced
10
Closed
1
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
DWA
1
Dorsey Wright & Associates
California
$27.2M
2
AIA
2
Arrow Investment Advisors
Maryland
$19.3M
3
Wells Fargo
3
Wells Fargo
California
$55.9M
4
U
4
UBS
Switzerland
$34.6M
5
Morgan Stanley
5
Morgan Stanley
New York
$39.3M

Top Sellers

1
Deutsche Bank
1
Deutsche Bank
Germany
$2.28M
2
BTS
2
BB&T Securities
Virginia
$6.38M
3
First Trust Advisors
3
First Trust Advisors
Illinois
$1.98M
4
Goldman Sachs
4
Goldman Sachs
New York
$0
5
VFS
5
VSR Financial Services
Kansas
$1.31M
Name Market Value Shares Shares
Change 		Shares
Change %
Wells Fargo
1
Wells Fargo
California
$55.9M 1,148,155 +329,206 +40%
Morgan Stanley
2
Morgan Stanley
New York
$39.3M 808,026 +220,852 +38%
U
3
UBS
Switzerland
$34.6M 710,851 +303,272 +74%
DWA
4
Dorsey Wright & Associates
California
$27.2M 572,012 +572,012 New
RJA
5
Raymond James & Associates
Florida
$19.6M 403,518 +40,817 +11%
AIA
6
Arrow Investment Advisors
Maryland
$19.3M 397,200 +397,200 New
Bank of America
7
Bank of America
North Carolina
$16.2M 333,583 +18,025 +6%
LPL Financial
8
LPL Financial
California
$16M 327,979 +31,650 +11%
CAN
9
Cetera Advisor Networks
California
$13.6M 279,266 +10,004 +4%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$13.5M 276,458 +106,654 +63%
B
11
Baird
Wisconsin
$7.95M 163,463 +32,833 +25%
BTS
12
BB&T Securities
Virginia
$6.38M 13,115 -1,132 -8%
HFS
13
HL Financial Services
Kentucky
$4.85M 99,756 +1,904 +2%
Janney Montgomery Scott
14
Janney Montgomery Scott
Pennsylvania
$3.66M 75,311 +5,671 +8%
JPMorgan Chase & Co
15
JPMorgan Chase & Co
New York
$2.96M 60,840 +16,775 +38%
LPT
16
Legacy Private Trust
Wisconsin
$2.65M 54,451 +54,451 New
Deutsche Bank
17
Deutsche Bank
Germany
$2.28M 46,874 -48,664 -51%
Ameriprise
18
Ameriprise
Minnesota
$2.15M 44,238 +1,615 +4%
First Trust Advisors
19
First Trust Advisors
Illinois
$1.98M 40,653 -6,145 -13%
DADC
20
D.A. Davidson & Co
Montana
$1.75M 35,894 -1,242 -3%
CA
21
Cetera Advisors
Colorado
$1.55M 31,950 +2,438 +8%
3AM
22
3D Asset Management
Connecticut
$1.46M 30,000 – –
OC
23
Oppenheimer & Co
New York
$1.4M 28,814 +15,870 +123%
VFS
24
VSR Financial Services
Kansas
$1.31M 27,006 -1,619 -6%
Cambridge Investment Research Advisors
25
Cambridge Investment Research Advisors
Iowa
$971K 19,948 +4,066 +26%
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