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, Q3 2023
Institutional positions in First Trust Specialty Finance & Financial Opportunities Fund as of Sep 30, 2023. 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
- 33
- +7 vs. Q2 2023
- Shares held
- 3.52M
- +432.1K (+14.0%) vs. Q2 2023
- Total value
- $11.9M
- +$1.74M (+17.2%) vs. Q2 2023
- New holders
- 8
- 11 more added
- Sold out
- 1
- 10 more reduced
2 institutions that held it in Q2 2023 haven't filed for Q3 2023 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q2 2023: 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, Q3 2023
Shares, value and share of portfolio for each institution holding First Trust Specialty Finance & Financial Opportunities Fund; share changes are against Q2 2023.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| JPMorgan Chase & Co | 1,009 | $3.40K | 0.00% | +108+12.0% | Added |
| Blue Bell Private Wealth Management, LLC | 2,366 | $7.97K | 0.00% | +2,366 | New |
| Lindbrook Capital, LLC | 5,000 | $16.9K | 0.00% | 00.0% | Unchanged |
| UBS Group AG | 5,147 | $17.3K | 0.00% | +2,512+95.3% | Added |
| NBC Securities, Inc. | 6,323 | $21.0K | 0.00% | +6,323 | New |
| Steward Partners Investment Advisory, LLC | 7,408 | $25.0K | 0.00% | 00.0% | Unchanged |
| IFP Advisors, Inc | 8,518 | $28.7K | 0.00% | −6,698−44.0% | Reduced |
| Equitable Holdings, Inc. | 10,000 | $33.7K | 0.00% | −6,000−37.5% | Reduced |
| Almitas Capital LLC | 12,134 | $40.9K | 0.02% | +12,134 | New |
| Atria Wealth Solutions, Inc. | 15,900 | $53.6K | 0.00% | +15,900 | New |
| KPP Advisory Services LLC | 17,340 | $58.4K | 0.02% | +17,340 | New |
| Landscape Capital Management, L.L.C. | 18,398 | $62.0K | 0.01% | +18,398 | New |
| Quad-Cities Investment Group, LLC | 19,223 | $64.8K | 0.04% | −8,909−31.7% | Reduced |
| Advisory Services Network, LLC | 20,151 | $67.9K | 0.00% | 00.0% | Unchanged |
| Logan Stone Capital, LLC | 27,227 | $91.8K | 0.03% | +27,227 | New |
| NWF Advisory Services Inc. | 33,750 | $113.7K | 0.03% | +3,000+9.8% | Added |
| Cetera Advisors LLC | 38,184 | $128.7K | 0.00% | −1,103−2.8% | Reduced |
| Csenge Advisory Group | 44,871 | $151.2K | 0.01% | −21,819−32.7% | Reduced |
| Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors | 49,412 | $166.5K | 0.04% | +15,395+45.3% | Added |
| Good Life Advisors, LLC | 50,810 | $171.2K | 0.02% | +623+1.2% | Added |
| Wells Fargo & Company | 62,215 | $209.7K | 0.00% | −701−1.1% | Reduced |
| Sym Financial Corp | 84,537 | $284.9K | 0.05% | 00.0% | Unchanged |
| Alpine Global Management, LLC | 89,346 | $301.1K | 0.07% | +14,311+19.1% | Added |
| Flagship Harbor Advisors, LLC | 114,079 | $384.4K | 0.03% | −10,500−8.4% | Reduced |
| Advisor Group Holdings, Inc. | 128,996 | $434.7K | 0.00% | +43,465+50.8% | Added |
| Commonwealth Equity Services, LLC | 162,191 | $547.0K | 0.00% | −3,156−1.9% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 174,854 | $589.3K | 0.00% | −12,494−6.7% | Reduced |
| Private Advisor Group, LLC | 189,175 | $637.5K | 0.01% | +80,700+74.4% | Added |
| Matisse Capital | 242,712 | $817.9K | 0.58% | +242,712 | New |
| Shaker Financial Services, LLC | 276,825 | $932.9K | 0.43% | +150,165+118.6% | Added |
| LPL Financial LLC | 461,514 | $1.56M | 0.00% | −167,466−26.6% | Reduced |
| Morgan Stanley | 527,281 | $1.78M | 0.00% | +51,052+10.7% | Added |
| Consolidated Portfolio Review Corp | 614,792 | $2.07M | 0.50% | +3,502+0.6% | Added |
| Royal Bank of Canada | 0 | $0 | 0.00% | −36,282−100.0% | Sold out |
| Silverhawk Asset Management, LLC | – | – | – | – | Not filed |
| BDO Wealth Advisors, LLC | – | – | – | – | Not filed |