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First Trust Small Cap Core AlphaDEX Fund

64 hedge funds and large institutions have $401M invested in First Trust Small Cap Core AlphaDEX Fund in 2015 Q1 according to their latest regulatory filings, with 13 funds opening new positions, 36 increasing their positions, 10 reducing their positions, and 6 closing their positions.

New
Increased
Maintained
Reduced
Closed

260% more repeat investments, than reductions

Existing positions increased: 36 | Existing positions reduced: 10

117% more first-time investments, than exits

New positions opened: 13 | Existing positions closed: 6

22% more capital invested

Capital invested by funds: $329M → $401M (+$72.4M)

8% more funds holding

Funds holding: 5964 (+5)

1.17% more ownership

Funds ownership: 55.12%56.29% (+1.2%)

Holders
64
Holders Change
+5
Holders Change %
+8.47%
% of All Funds
1.71%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
% of All Funds
0.03%
New
13
Increased
36
Reduced
10
Closed
6
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Morgan Stanley
1
Morgan Stanley
New York
$78.1M +$6.35M +129,332 +9%
Wells Fargo
2
Wells Fargo
California
$62.7M +$4.19M +85,401 +7%
UBS Group
3
UBS Group
Switzerland
$51.9M +$1.11M +22,607 +2%
RJA
4
Raymond James & Associates
Florida
$25M +$2.19M +44,544 +10%
AIM
5
Astor Investment Management
Illinois
$24.1M +$4.76M +96,996 +26%
LPL Financial
6
LPL Financial
California
$23.6M +$2.31M +47,041 +11%
BTS
7
BB&T Securities
Virginia
$18.8M +$1.45M +29,570 +387%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$18M +$5.21M +105,977 +42%
Janney Montgomery Scott
9
Janney Montgomery Scott
Pennsylvania
$12.4M +$575K +11,710 +5%
B
10
Baird
Wisconsin
$11.3M +$1.57M +31,933 +17%
Bank of America
11
Bank of America
North Carolina
$8.78M -$6.04M -123,031 -41%
Stifel Financial
12
Stifel Financial
Missouri
$5.64M +$1.68M +34,267 +44%
HFS
13
HL Financial Services
Kentucky
$5.6M +$428K +8,715 +9%
Envestnet Asset Management
14
Envestnet Asset Management
Illinois
$5.51M +$4.96M +100,957 +1,263%
AGA
15
Accuvest Global Advisors
Utah
$5.09M +$4.94M +100,610 New
ACM
16
Aviance Capital Management
Florida
$5.05M +$3.54M +72,065 +259%
Ameriprise
17
Ameriprise
Minnesota
$4.62M +$257K +5,239 +6%
LPT
18
Legacy Private Trust
Wisconsin
$3.93M +$2.77M +56,438 +266%
Goldman Sachs
19
Goldman Sachs
New York
$2.96M +$2.41M +49,067 +519%
VFS
20
VSR Financial Services
Kansas
$2.61M +$2.02M +41,156 +396%
CA
21
Cetera Advisors
Colorado
$2.4M -$40.3K -820 -2%
Cambridge Investment Research Advisors
22
Cambridge Investment Research Advisors
Iowa
$2.24M +$614K +12,499 +39%
JP Morgan Chase
23
JP Morgan Chase
New York
$2.24M +$1.23M +25,037 +130%
ICOA
24
Investment Centers of America
North Dakota
$1.78M +$129K +2,623 +8%
DADC
25
D.A. Davidson & Co
Montana
$1.76M +$1.58M +32,167 +1,180%

FYX Hedge Fund Activity: Q1 2015 in Review

64 of the 3,752 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Core AlphaDEX Fund (FYX) for Q1 2015, worth a combined $401M — up 22% from $329M a quarter earlier.

Buyers outnumbered sellers: 13 funds opened new FYX positions and 6 closed out — a net gain of 7 holders — while 36 added to existing stakes and 10 trimmed.

The largest buyer was Morgan Stanley, adding an estimated $6.35M. The largest seller was Bank of America, cutting an estimated $6.04M.

  • 64 institutional investors held First Trust Small Cap Core AlphaDEX Fund (FYX) as of Q1 2015, up from 59 in Q4 2014.
  • Funds reported $401M of First Trust Small Cap Core AlphaDEX Fund stock for Q1 2015, up 22% quarter-over-quarter.
  • 13 funds opened new First Trust Small Cap Core AlphaDEX Fund positions in Q1 2015 and 6 closed out, a net change of +7 holders.
  • The largest First Trust Small Cap Core AlphaDEX Fund buyer in Q1 2015 was Morgan Stanley, an estimated $6.35M added.
  • The largest First Trust Small Cap Core AlphaDEX Fund seller in Q1 2015 was Bank of America, an estimated $6.04M sold.

Based on aggregated 13F filings for Q1 2015.