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First Trust Small Cap Core AlphaDEX Fund
FYX

Overview Fund Activity

68 hedge funds and large institutions have $341M invested in First Trust Small Cap Core AlphaDEX Fund in 2015 Q4 according to their latest regulatory filings, with 10 funds opening new positions, 29 increasing their positions, 23 reducing their positions, and 3 closing their positions.

Holders
68
Holders Change
+6
Holders Change %
+9.68%
% of All Funds
1.79%
Holding in Top 10
3
Holding in Top 10 Change
+2
Holding in Top 10 Change %
+200%
% of All Funds
0.08%
New
10
Increased
29
Reduced
23
Closed
3
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
LPL Financial
1
LPL Financial
California
$34.2M
2
RJFSA
2
Raymond James Financial Services Advisors
Florida
$17.7M
3
Citadel Advisors
3
Citadel Advisors
Florida
$3.52M
4
Ameriprise
4
Ameriprise
Minnesota
$3.43M
5
Goldman Sachs
5
Goldman Sachs
New York
$4M

Top Sellers

1
Morgan Stanley
1
Morgan Stanley
New York
$48.7M
2
Janney Montgomery Scott
2
Janney Montgomery Scott
Pennsylvania
$2.1M
3
AIM
3
Astor Investment Management
Illinois
$23.4M
4
Wells Fargo
4
Wells Fargo
California
$66.8M
5
UBS Group
5
UBS Group
Switzerland
$28.4M
Name Market Value Shares Shares
Change 		Shares
Change %
Wells Fargo
1
Wells Fargo
California
$66.8M 1,512,967 -55,786 -4%
Morgan Stanley
2
Morgan Stanley
New York
$48.7M 1,102,109 -304,206 -22%
LPL Financial
3
LPL Financial
California
$34.2M 793,525 +363,349 +84%
UBS Group
4
UBS Group
Switzerland
$28.4M 642,154 -50,085 -7%
AIM
5
Astor Investment Management
Illinois
$23.4M 529,754 -72,334 -12%
RJA
6
Raymond James & Associates
Florida
$20.7M 468,424 -47,669 -9%
RJFSA
7
Raymond James Financial Services Advisors
Florida
$17.7M 401,625 +74,972 +23%
ACM
8
Aviance Capital Management
Florida
$10.5M 238,502 +560 +0.2%
Baird Financial Group
9
Baird Financial Group
Wisconsin
$9.76M 220,955 -9,354 -4%
AGA
10
Accuvest Global Advisors
Utah
$8.4M 190,215 -11,805 -6%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$7.85M 177,742 -20,973 -11%
Bank of America
12
Bank of America
North Carolina
$6.77M 153,172 -2,225 -1%
Envestnet Asset Management
13
Envestnet Asset Management
Illinois
$6.36M 144,036 +7,862 +6%
HFS
14
HL Financial Services
Kentucky
$4.25M 96,093 -24,663 -20%
Goldman Sachs
15
Goldman Sachs
New York
$4M 90,535 +21,313 +31%
LPT
16
Legacy Private Trust
Wisconsin
$3.97M 89,913 +17,715 +25%
Stifel Financial
17
Stifel Financial
Missouri
$3.73M 84,427 +1,291 +2%
Citadel Advisors
18
Citadel Advisors
Florida
$3.52M 79,597 +35,944 +82%
Ameriprise
19
Ameriprise
Minnesota
$3.43M 77,267 +21,989 +40%
Susquehanna International Group
20
Susquehanna International Group
Pennsylvania
$2.8M 63,256 -20,675 -25%
Janney Montgomery Scott
21
Janney Montgomery Scott
Pennsylvania
$2.1M 47,483 -117,132 -71%
VKH
22
Virtu KCG Holdings
New York
$1.99M 45,144 +19,846 +78%
ICOA
23
Investment Centers of America
North Dakota
$1.48M 33,475 +1,271 +4%
Cambridge Investment Research Advisors
24
Cambridge Investment Research Advisors
Iowa
$1.16M 26,318 -8,189 -24%
PNC
25
Park National Corp
Ohio
$1.08M 24,516 -14 -0.1%
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