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 2022
Institutional positions in First Trust Specialty Finance & Financial Opportunities Fund as of Dec 31, 2022. 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
- 27
- −1 vs. Q3 2022
- Shares held
- 2.22M
- −314.2K (−12.4%) vs. Q3 2022
- Total value
- $6.83M
- −$464.6K (−6.4%) vs. Q3 2022
- New holders
- 4
- 7 more added
- Sold out
- 5
- 12 more reduced
1 institution that held it in Q3 2022 haven't filed for Q4 2022 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 2022: 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 2022
Shares, value and share of portfolio for each institution holding First Trust Specialty Finance & Financial Opportunities Fund; share changes are against Q3 2022.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| GWM Advisors LLC | 150 | $459 | 0.00% | +150 | New |
| Tower Research Capital LLC (TRC) | 300 | $1.00K | 0.00% | +300 | New |
| Harbour Investments, Inc. | 2,390 | $7.31K | 0.00% | −1,000−29.5% | Reduced |
| Lindbrook Capital, LLC | 5,000 | $15.3K | 0.00% | 00.0% | Unchanged |
| Money Concepts Capital Corp | 5,750 | $17.6K | 0.00% | +5,750 | New |
| Steward Partners Investment Advisory, LLC | 7,408 | $22.7K | 0.00% | −7,407−50.0% | Reduced |
| UBS Group AG | 12,570 | $38.5K | 0.00% | +9,629+327.4% | Added |
| Bank of America Corp | 13,575 | $41.5K | 0.00% | −16,947−55.5% | Reduced |
| Advisory Services Network, LLC | 20,151 | $61.7K | 0.00% | 00.0% | Unchanged |
| Silverhawk Asset Management, LLC | 23,300 | $71.3K | 0.06% | +23,300 | New |
| BDO Wealth Advisors, LLC | 28,661 | $87.7K | 0.01% | −743−2.5% | Reduced |
| Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors | 29,124 | $89.1K | 0.02% | +989+3.5% | Added |
| Quad-Cities Investment Group, LLC | 30,530 | $93.4K | 0.07% | −23,357−43.3% | Reduced |
| IFP Advisors, Inc | 16,448 | $101.0K | 0.00% | −994−5.7% | Reduced |
| Cetera Advisors LLC | 38,287 | $117.2K | 0.00% | 00.0% | Unchanged |
| Good Life Advisors, LLC | 50,742 | $155.3K | 0.02% | +559+1.1% | Added |
| Wells Fargo & Company | 60,216 | $184.3K | 0.00% | −7,684−11.3% | Reduced |
| Royal Bank of Canada | 69,282 | $212.0K | 0.00% | +5,291+8.3% | Added |
| Advisor Group Holdings, Inc. | 71,666 | $218.8K | 0.00% | +10,079+16.4% | Added |
| Csenge Advisory Group | 75,709 | $231.7K | 0.02% | +18,215+31.7% | Added |
| Sym Financial Corp | 84,537 | $258.7K | 0.06% | 00.0% | Unchanged |
| Shaker Financial Services, LLC | 103,546 | $316.9K | 0.15% | −97,505−48.5% | Reduced |
| Flagship Harbor Advisors, LLC | 142,104 | $434.8K | 0.04% | −900−0.6% | Reduced |
| Commonwealth Equity Services, LLC | 161,735 | $494.0K | 0.00% | −15,637−8.8% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 193,546 | $592.3K | 0.00% | −99,733−34.0% | Reduced |
| Morgan Stanley | 393,797 | $1.21M | 0.00% | −24,626−5.9% | Reduced |
| LPL Financial LLC | 576,460 | $1.76M | 0.00% | +31,518+5.8% | Added |
| Almitas Capital LLC | 0 | $0 | 0.00% | −47,000−100.0% | Sold out |
| Nova R Wealth, Inc. | 0 | $0 | 0.00% | −34,673−100.0% | Sold out |
| Landscape Capital Management, L.L.C. | 0 | $0 | 0.00% | −15,711−100.0% | Sold out |
| Castle Wealth Management LLC | 0 | $0 | 0.00% | −15,290−100.0% | Sold out |
| Logan Stone Capital, LLC | 0 | $0 | 0.00% | −10,744−100.0% | Sold out |
| American Portfolios Advisors | – | – | – | – | Not filed |