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First Trust Small Cap Core AlphaDEX Fund

77 hedge funds and large institutions have $240M invested in First Trust Small Cap Core AlphaDEX Fund in 2017 Q2 according to their latest regulatory filings, with 6 funds opening new positions, 35 increasing their positions, 25 reducing their positions, and 5 closing their positions.

New
Increased
Maintained
Reduced
Closed

40% more repeat investments, than reductions

Existing positions increased: 35 | Existing positions reduced: 25

20% more first-time investments, than exits

New positions opened: 6 | Existing positions closed: 5

0% more funds holding in top 10

Funds holding in top 10: 22 (0)

0.4% less ownership

Funds ownership: 49.68%49.27% (-0.4%)

1% less funds holding

Funds holding: 7877 (-1)

9% less capital invested

Capital invested by funds: $263M → $240M (-$23.5M)

Holders
77
Holders Change
-1
Holders Change %
-1.28%
% of All Funds
1.92%
Holding in Top 10
2
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
0.05%
New
6
Increased
35
Reduced
25
Closed
5
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Wells Fargo
1
Wells Fargo
California
$49.2M -$10.8M -197,922 -18%
Morgan Stanley
2
Morgan Stanley
New York
$44.2M +$900K +16,494 +2%
UBS Group
3
UBS Group
Switzerland
$16.5M -$2.58M -47,390 -14%
RJFSA
4
Raymond James Financial Services Advisors
Florida
$12.8M +$391K +7,165 +3%
LPL Financial
5
LPL Financial
California
$10M -$485K -8,886 -5%
Bank of America
6
Bank of America
North Carolina
$9.82M +$2M +36,644 +26%
HAFS
7
Hapanowicz & Associates Financial Services
Pennsylvania
$9.25M +$140K +2,569 +2%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$7.49M -$80K -1,467 -1%
Baird Financial Group
9
Baird Financial Group
Wisconsin
$5.89M +$270K +4,958 +5%
HFS
10
HL Financial Services
Kentucky
$4.9M +$499K +9,153 +12%
LPT
11
Legacy Private Trust
Wisconsin
$4.69M -$760K -13,933 -14%
Stifel Financial
12
Stifel Financial
Missouri
$4.36M +$177K +3,250 +4%
Ameriprise
13
Ameriprise
Minnesota
$4.06M -$1.51M -27,742 -28%
RJA
14
Raymond James & Associates
Florida
$3.96M -$6.6M -120,953 -63%
Envestnet Asset Management
15
Envestnet Asset Management
Illinois
$3.85M -$1.04K -19 -0%
Janney Montgomery Scott
16
Janney Montgomery Scott
Pennsylvania
$3.47M +$91.4K +1,676 +3%
Susquehanna International Group
17
Susquehanna International Group
Pennsylvania
$2.87M +$478K +8,771 +20%
IH
18
IFC Holdings
Florida
$2.47M +$1.51M +27,682 +166%
RIA
19
Regal Investment Advisors
Michigan
$2.45M +$142K +2,596 +6%
AG
20
Advisor Group
Arizona
$2.42M +$1.24M +22,787 +110%
FAAS
21
First Allied Advisory Services
California
$1.97M +$928K +17,007 +93%
HighTower Advisors
22
HighTower Advisors
Illinois
$1.93M +$983K +18,015 +108%
LTFS
23
Ladenburg Thalmann Financial Services
Florida
$1.91M +$395K +7,246 +26%
ICOA
24
Investment Centers of America
North Dakota
$1.85M +$36.1K +662 +2%
Commonwealth Equity Services
25
Commonwealth Equity Services
Massachusetts
$1.52M -$181K -3,322 -11%

FYX Hedge Fund Activity: Q2 2017 in Review

77 of the 4,011 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Core AlphaDEX Fund (FYX) for Q2 2017, worth a combined $240M — down 8.9% from $263M a quarter earlier.

Buyers outnumbered sellers: 6 funds opened new FYX positions and 5 closed out — a net gain of 1 holder — while 35 added to existing stakes and 25 trimmed.

The largest buyer was Bank of America, adding an estimated $2M. The largest seller was Wells Fargo, cutting an estimated $10.8M.

  • 77 institutional investors held First Trust Small Cap Core AlphaDEX Fund (FYX) as of Q2 2017, down from 78 in Q1 2017.
  • Funds reported $240M of First Trust Small Cap Core AlphaDEX Fund stock for Q2 2017, down 8.9% quarter-over-quarter.
  • 6 funds opened new First Trust Small Cap Core AlphaDEX Fund positions in Q2 2017 and 5 closed out, a net change of +1 holder.
  • The largest First Trust Small Cap Core AlphaDEX Fund buyer in Q2 2017 was Bank of America, an estimated $2M added.
  • The largest First Trust Small Cap Core AlphaDEX Fund seller in Q2 2017 was Wells Fargo, an estimated $10.8M sold.

Based on aggregated 13F filings for Q2 2017.