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First Trust Small Cap Core AlphaDEX Fund
FYX

Overview Fund Activity

60 hedge funds and large institutions have $306M invested in First Trust Small Cap Core AlphaDEX Fund in 2014 Q2 according to their latest regulatory filings, with 10 funds opening new positions, 27 increasing their positions, 15 reducing their positions, and 7 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
60
Holders Change
+3
Holders Change %
+5.26%
% of All Funds
1.73%
Holding in Top 10
–
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-100%
% of All Funds
–
New
10
Increased
27
Reduced
15
Closed
7
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
AIM
Astor Investment Management
Illinois
$10.5M
2
Bank of America
Bank of America
North Carolina
$21.4M
3
Morgan Stanley
Morgan Stanley
New York
$58.1M
4
SG Americas Securities
SG Americas Securities
New York
$4.49M
5
CS
Credit Suisse
Switzerland
$3.22M

Top Sellers

1
DWA
Dorsey Wright & Associates
California
$0
2
AIA
Arrow Investment Advisors
Maryland
$0
3
CAN
Cetera Advisor Networks
California
$3.27M
4
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
$4.04M
5
Wells Fargo
Wells Fargo
California
$56.1M
Name Holding Trade Value Shares
Change 		Shares
Change %
Morgan Stanley
1
Morgan Stanley
New York
$58.1M +$6.49M +132,186 +13%
Wells Fargo
2
Wells Fargo
California
$56.1M -$6.03M -122,825 -10%
U
3
UBS
Switzerland
$45.2M -$2.58M -52,480 -5%
Bank of America
4
Bank of America
North Carolina
$21.4M +$7.6M +154,622 +55%
RJA
5
Raymond James & Associates
Florida
$20.6M +$508K +10,337 +3%
LPL Financial
6
LPL Financial
California
$16M -$144K -2,929 -0.9%
Janney Montgomery Scott
7
Janney Montgomery Scott
Pennsylvania
$10.8M +$482K +9,804 +5%
AIM
8
Astor Investment Management
Illinois
$10.5M +$9.43M +192,036 +865%
B
9
Baird
Wisconsin
$9.16M +$1.91M +38,965 +26%
BTS
10
BB&T Securities
Virginia
$6.32M -$254K -516 -4%
HFS
11
HL Financial Services
Kentucky
$4.96M +$152K +3,089 +3%
SG Americas Securities
12
SG Americas Securities
New York
$4.49M +$4.49M +91,396 New
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$4.04M -$7.95M -161,804 -66%
Stifel Financial
14
Stifel Financial
Missouri
$3.38M +$172K +3,505 +5%
CAN
15
Cetera Advisor Networks
California
$3.27M -$12.7M -259,077 -80%
CS
16
Credit Suisse
Switzerland
$3.22M +$2.88M +58,580 +840%
Ameriprise
17
Ameriprise
Minnesota
$3.07M +$578K +11,768 +23%
Deutsche Bank
18
Deutsche Bank
Germany
$2.29M -$182K -3,708 -7%
CA
19
Cetera Advisors
Colorado
$1.95M +$223K +4,557 +13%
DADC
20
D.A. Davidson & Co
Montana
$1.8M -$147 -3 -0%
First Trust Advisors
21
First Trust Advisors
Illinois
$1.66M +$168K +3,416 +11%
ICOA
22
Investment Centers of America
North Dakota
$1.49M +$1.49M +30,177 New
3AM
23
3D Asset Management
Connecticut
$1.48M +$1.92K +39 +0.1%
Cambridge Investment Research Advisors
24
Cambridge Investment Research Advisors
Iowa
$1.47M -$185K -3,773 -11%
JPMorgan Chase & Co
25
JPMorgan Chase & Co
New York
$1.4M -$584K -11,892 -29%
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