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First Trust Small Cap Core AlphaDEX Fund
FYX

Overview Fund Activity

57 hedge funds and large institutions have $351M invested in First Trust Small Cap Core AlphaDEX Fund in 2014 Q1 according to their latest regulatory filings, with 10 funds opening new positions, 27 increasing their positions, 12 reducing their positions, and 5 closing their positions.

Holders
57
Holders Change
+5
Holders Change %
+9.62%
% of All Funds
1.65%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
10
Increased
27
Reduced
12
Closed
5
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
U
1
UBS
Switzerland
$47.4M
2
Morgan Stanley
2
Morgan Stanley
New York
$51.1M
3
Janney Montgomery Scott
3
Janney Montgomery Scott
Pennsylvania
$10.2M
4
Wells Fargo
4
Wells Fargo
California
$61.6M
5
Stifel Financial
5
Stifel Financial
Missouri
$3.18M

Top Sellers

1
Bank of America
1
Bank of America
North Carolina
$13.6M
2
LPT
2
Legacy Private Trust
Wisconsin
$1.05M
3
Royal Bank of Canada
3
Royal Bank of Canada
Ontario, Canada
$11.9M
4
JPMorgan Chase & Co
4
JPMorgan Chase & Co
New York
$1.97M
5
B
5
Baird
Wisconsin
$7.19M
Name Market Value Shares Shares
Change 		Shares
Change %
Wells Fargo
1
Wells Fargo
California
$61.6M 1,264,372 +116,217 +10%
Morgan Stanley
2
Morgan Stanley
New York
$51.1M 1,049,498 +241,472 +30%
U
3
UBS
Switzerland
$47.4M 973,065 +262,214 +37%
DWA
4
Dorsey Wright & Associates
California
$28.6M 593,819 +21,807 +4%
AIA
5
Arrow Investment Advisors
Maryland
$20.4M 419,000 +21,800 +5%
RJA
6
Raymond James & Associates
Florida
$20M 409,872 +6,354 +2%
LPL Financial
7
LPL Financial
California
$16M 329,042 +1,063 +0.3%
CAN
8
Cetera Advisor Networks
California
$15.9M 325,580 +46,314 +17%
Bank of America
9
Bank of America
North Carolina
$13.6M 279,959 -53,624 -16%
Royal Bank of Canada
10
Royal Bank of Canada
Ontario, Canada
$11.9M 243,979 -32,479 -12%
Janney Montgomery Scott
11
Janney Montgomery Scott
Pennsylvania
$10.2M 209,770 +134,459 +179%
B
12
Baird
Wisconsin
$7.19M 147,498 -15,965 -10%
BTS
13
BB&T Securities
Virginia
$6.52M 13,384 +269 +2%
HFS
14
HL Financial Services
Kentucky
$4.77M 97,928 -1,828 -2%
Stifel Financial
15
Stifel Financial
Missouri
$3.18M 65,241 +65,241 New
Jane Street
16
Jane Street
New York
$2.82M 57,887 +57,887 New
Ameriprise
17
Ameriprise
Minnesota
$2.47M 50,764 +6,526 +15%
Deutsche Bank
18
Deutsche Bank
Germany
$2.45M 50,226 +3,352 +7%
JPMorgan Chase & Co
19
JPMorgan Chase & Co
New York
$1.97M 40,377 -20,463 -34%
DADC
20
D.A. Davidson & Co
Montana
$1.78M 36,607 +713 +2%
CA
21
Cetera Advisors
Colorado
$1.72M 35,395 +3,445 +11%
Cambridge Investment Research Advisors
22
Cambridge Investment Research Advisors
Iowa
$1.64M 33,677 +13,729 +69%
First Trust Advisors
23
First Trust Advisors
Illinois
$1.48M 30,451 -10,202 -25%
OC
24
Oppenheimer & Co
New York
$1.48M 30,370 +1,556 +5%
3AM
25
3D Asset Management
Connecticut
$1.46M 30,040 +40 +0.1%
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