First Trust Specialty Finance & Financial Opportunities Fund
FGBDelisted Jun 30, 2025- SEC CIK
- 0001392994
First Trust Specialty Finance & Financial Opportunities Fund was delisted on Jun 30, 2025; its insiders filed their last Form 4 on Dec 29, 2021; 40 institutions reported holding it in 13F filings for Q1 2025, worth $22.9M in total; no superinvestor held it.
13F holders, Q4 2021
Institutional positions in First Trust Specialty Finance & Financial Opportunities Fund as of Dec 31, 2021. Investment managers with $100 million or more in US stocks report their long positions on Form 13F within 45 days after each quarter ends. How 13F works
- Institutional holders
- 29
- 0 vs. Q3 2021
- Shares held
- 2.13M
- +196.4K (+10.2%) vs. Q3 2021
- Total value
- $8.72M
- +$1.02M (+13.3%) vs. Q3 2021
- New holders
- 5
- 7 more added
- Sold out
- 5
- 10 more reduced
Compare with Q3 2021: new holders, sold out and not filed yet
Holders and value by quarter
Institutions reporting FGB on Form 13F each quarter since Q1 2021, and the total value they reported. Values are as of each quarter end, so they also move with the share price.
| Quarter | Holders | Value |
|---|---|---|
| Q2 2026 | 0 | $0 |
| Q1 2026 | 0 | $0 |
| Q4 2025 | 0 | $0 |
| Q3 2025 | 0 | $0 |
| Q2 2025 | 1 | $21.6K |
| Q1 2025 | 40 | $22.9M |
| Q4 2024 | 41 | $22.2M |
| Q3 2024 | 38 | $19.5M |
| Q2 2024 | 31 | $17.8M |
| Q1 2024 | 35 | $18.7M |
| Q4 2023 | 36 | $14.5M |
| Q3 2023 | 33 | $11.9M |
| Q2 2023 | 28 | $10.2M |
| Q1 2023 | 31 | $9.88M |
| Q4 2022 | 27 | $6.83M |
| Q3 2022 | 29 | $7.30M |
| Q2 2022 | 29 | $7.40M |
| Q1 2022 | 28 | $8.87M |
| Q4 2021 | 29 | $8.72M |
| Q3 2021 | 29 | $7.70M |
| Q2 2021 | 25 | $7.65M |
| Q1 2021 | 27 | $8.89M |
Institutions, Q4 2021
Shares, value and share of portfolio for each institution holding First Trust Specialty Finance & Financial Opportunities Fund; share changes are against Q3 2021.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Raymond James Financial Services Advisors, Inc. | 326,775 | $1.34M | 0.00% | −19,261−5.6% | Reduced |
| LPL Financial LLC | 275,310 | $1.13M | 0.00% | +26,759+10.8% | Added |
| Commonwealth Equity Services, LLC | 176,228 | $720.0K | 0.00% | −1,893−1.1% | Reduced |
| Morgan Stanley | 163,641 | $669.0K | 0.00% | +50,734+44.9% | Added |
| Flagship Harbor Advisors, LLC | 156,179 | $639.0K | 0.06% | +320+0.2% | Added |
| Nova R Wealth, Inc. | 155,926 | $638.0K | 0.52% | +155,926 | New |
| Royal Bank of Canada | 128,452 | $525.0K | 0.00% | +1,890+1.5% | Added |
| Advisor Group Holdings, Inc. | 126,437 | $518.0K | 0.00% | +964+0.8% | Added |
| Shaker Financial Services, LLC | 86,527 | $354.0K | 0.13% | −29,591−25.5% | Reduced |
| Wolverine Asset Management LLC | 79,968 | $327.0K | 0.00% | +25,725+47.4% | Added |
| Quad-Cities Investment Group, LLC | 61,095 | $250.0K | 0.16% | −8,935−12.8% | Reduced |
| Nomura Holdings Inc | 58,984 | $240.0K | 0.00% | +58,984 | New |
| Sym Financial Corp | 52,649 | $215.0K | 0.08% | 00.0% | Unchanged |
| Good Life Advisors, LLC | 49,821 | $204.0K | 0.02% | −4,893−8.9% | Reduced |
| Cetera Advisors LLC | 40,572 | $166.0K | 0.00% | −4,496−10.0% | Reduced |
| BDO Wealth Advisors, LLC | 32,254 | $132.0K | 0.01% | 00.0% | Unchanged |
| Wells Fargo & Company | 28,213 | $115.0K | 0.00% | +10,326+57.7% | Added |
| Logan Stone Capital, LLC | 25,604 | $105.0K | 0.10% | +25,604 | New |
| Landscape Capital Management, L.L.C. | 23,987 | $98.0K | 0.01% | +23,987 | New |
| Advisory Services Network, LLC | 20,792 | $85.0K | 0.00% | 00.0% | Unchanged |
| Stifel Financial Corp | 16,417 | $67.0K | 0.00% | −4,500−21.5% | Reduced |
| Steward Partners Investment Advisory, LLC | 14,815 | $61.0K | 0.00% | 00.0% | Unchanged |
| Susquehanna International Group, LLP | 11,991 | $49.0K | 0.00% | −3,582−23.0% | Reduced |
| Lindbrook Capital, LLC | 7,000 | $29.0K | 0.00% | 00.0% | Unchanged |
| UBS Group AG | 3,345 | $14.0K | 0.00% | −3,436−50.7% | Reduced |
| Harbour Investments, Inc. | 3,390 | $14.0K | 0.00% | 00.0% | Unchanged |
| Future Financial Wealth Managment LLC | 3,200 | $13.0K | 0.01% | +3,200 | New |
| Bank of America Corp | 628 | $3.00K | 0.00% | −85−11.9% | Reduced |
| American Portfolios Advisors | 604 | $2.47K | 0.00% | 00.0% | Unchanged |
| Strategic Wealth Advisors Group, LLC | 0 | $0 | 0.00% | −54,133−100.0% | Sold out |
| Csenge Advisory Group | 0 | $0 | 0.00% | −25,842−100.0% | Sold out |
| FNY Investment Advisers, LLC | 0 | $0 | 0.00% | −23,180−100.0% | Sold out |
| Asset Dedication, LLC | 0 | $0 | 0.00% | −4,182−100.0% | Sold out |
| Tower Research Capital LLC (TRC) | 0 | $0 | 0.00% | −39−100.0% | Sold out |