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First Trust Small Cap Core AlphaDEX Fund

86 hedge funds and large institutions have $267M invested in First Trust Small Cap Core AlphaDEX Fund in 2018 Q1 according to their latest regulatory filings, with 11 funds opening new positions, 37 increasing their positions, 26 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed

42% more repeat investments, than reductions

Existing positions increased: 37 | Existing positions reduced: 26

22% more first-time investments, than exits

New positions opened: 11 | Existing positions closed: 9

1% more funds holding

Funds holding: 8586 (+1)

0% more funds holding in top 10

Funds holding in top 10: 11 (0)

2.04% less ownership

Funds ownership: 52.13%50.09% (-2%)

8% less capital invested

Capital invested by funds: $289M → $267M (-$22.1M)

Holders
86
Holders Change
+1
Holders Change %
+1.18%
% of All Funds
1.97%
Holding in Top 10
1
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
0.02%
New
11
Increased
37
Reduced
26
Closed
9
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Wells Fargo
1
Wells Fargo
California
$58.5M -$6.19M -100,968 -9%
Morgan Stanley
2
Morgan Stanley
New York
$44.8M -$6.83M -111,375 -13%
UBS Group
3
UBS Group
Switzerland
$19.4M +$3.37M +54,984 +21%
RJFSA
4
Raymond James Financial Services Advisors
Florida
$16.9M +$814K +13,283 +5%
LPL Financial
5
LPL Financial
California
$12M -$261K -4,266 -2%
HAFS
6
Hapanowicz & Associates Financial Services
Pennsylvania
$11.3M +$443K +7,231 +4%
Bank of America
7
Bank of America
North Carolina
$10.3M +$1.31M +21,346 +14%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$8.5M +$661K +10,786 +8%
Baird Financial Group
9
Baird Financial Group
Wisconsin
$7.27M +$481K +7,846 +7%
Janney Montgomery Scott
10
Janney Montgomery Scott
Pennsylvania
$5.82M -$175K -2,858 -3%
RJA
11
Raymond James & Associates
Florida
$5.77M +$348K +5,678 +6%
HFS
12
HL Financial Services
Kentucky
$4.62M -$120K -1,956 -2%
Envestnet Asset Management
13
Envestnet Asset Management
Illinois
$4.54M -$9.81K -160 -0.2%
LPT
14
Legacy Private Trust
Wisconsin
$4.24M -$105K -1,713 -2%
FAAS
15
First Allied Advisory Services
California
$3.57M -$2.91M -47,542 -44%
Cambridge Investment Research Advisors
16
Cambridge Investment Research Advisors
Iowa
$3.43M +$24.5K +399 +0.7%
DADC
17
D.A. Davidson & Co
Montana
$3.24M +$955K +15,587 +41%
AG
18
Advisor Group
Arizona
$3.14M +$20.1K +328 +0.6%
RIA
19
Regal Investment Advisors
Michigan
$2.69M +$41.2K +673 +2%
Commonwealth Equity Services
20
Commonwealth Equity Services
Massachusetts
$2.28M +$269K +4,390 +13%
LTFS
21
Ladenburg Thalmann Financial Services
Florida
$2.26M -$50.1K -817 -2%
HighTower Advisors
22
HighTower Advisors
Illinois
$2.11M +$104K +1,694 +5%
CAN
23
Cetera Advisor Networks
California
$2.02M +$111K +1,807 +6%
CCA
24
Clearwater Capital Advisors
Illinois
$2.01M +$70.8K +1,156 +4%
US Bancorp
25
US Bancorp
Minnesota
$1.9M +$257K +4,190 +15%

FYX Hedge Fund Activity: Q1 2018 in Review

86 of the 4,364 institutional investors tracked by Wall St. Rank reported a position in First Trust Small Cap Core AlphaDEX Fund (FYX) for Q1 2018, worth a combined $267M — down 7.7% from $289M a quarter earlier.

Buyers outnumbered sellers: 11 funds opened new FYX positions and 9 closed out — a net gain of 2 holders — while 37 added to existing stakes and 26 trimmed.

The largest buyer was UBS Group, adding an estimated $3.37M. The largest seller was Morgan Stanley, cutting an estimated $6.83M.

  • 86 institutional investors held First Trust Small Cap Core AlphaDEX Fund (FYX) as of Q1 2018, up from 85 in Q4 2017.
  • Funds reported $267M of First Trust Small Cap Core AlphaDEX Fund stock for Q1 2018, down 7.7% quarter-over-quarter.
  • 11 funds opened new First Trust Small Cap Core AlphaDEX Fund positions in Q1 2018 and 9 closed out, a net change of +2 holders.
  • The largest First Trust Small Cap Core AlphaDEX Fund buyer in Q1 2018 was UBS Group, an estimated $3.37M added.
  • The largest First Trust Small Cap Core AlphaDEX Fund seller in Q1 2018 was Morgan Stanley, an estimated $6.83M sold.

Based on aggregated 13F filings for Q1 2018.