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 2023
Institutional positions in First Trust Specialty Finance & Financial Opportunities Fund as of Dec 31, 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
- 36
- +3 vs. Q3 2023
- Shares held
- 4.04M
- +519.1K (+14.7%) vs. Q3 2023
- Total value
- $14.5M
- +$2.60M (+21.9%) vs. Q3 2023
- New holders
- 7
- 10 more added
- Sold out
- 4
- 13 more reduced
Compare with Q3 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, Q4 2023
Shares, value and share of portfolio for each institution holding First Trust Specialty Finance & Financial Opportunities Fund; share changes are against Q3 2023.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| LPL Financial LLC | 945,701 | $3.39M | 0.00% | +484,187+104.9% | Added |
| Consolidated Portfolio Review Corp | 575,664 | $2.06M | 0.47% | −39,128−6.4% | Reduced |
| Morgan Stanley | 538,655 | $1.93M | 0.00% | +11,374+2.2% | Added |
| Private Advisor Group, LLC | 267,525 | $957.7K | 0.01% | +78,350+41.4% | Added |
| Matisse Capital | 248,189 | $888.5K | 0.47% | +5,477+2.3% | Added |
| Saba Capital Management, L.P. | 194,818 | $697.4K | 0.02% | +194,818 | New |
| Commonwealth Equity Services, LLC | 148,154 | $530.0K | 0.00% | −14,037−8.7% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 142,249 | $509.3K | 0.00% | −32,605−18.6% | Reduced |
| Shaker Financial Services, LLC | 121,027 | $433.3K | 0.18% | −155,798−56.3% | Reduced |
| Flagship Harbor Advisors, LLC | 112,179 | $401.6K | 0.03% | −1,900−1.7% | Reduced |
| Alpine Global Management, LLC | 89,346 | $319.9K | 0.09% | 00.0% | Unchanged |
| Advisor Group Holdings, Inc. | 79,031 | $282.9K | 0.00% | −49,965−38.7% | Reduced |
| Good Life Advisors, LLC | 51,449 | $184.2K | 0.02% | +639+1.3% | Added |
| Sym Financial Corp | 48,062 | $172.1K | 0.03% | −36,475−43.1% | Reduced |
| Wells Fargo & Company | 47,984 | $171.8K | 0.00% | −14,231−22.9% | Reduced |
| Almitas Capital LLC | 45,984 | $164.6K | 0.06% | +33,850+279.0% | Added |
| Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors | 44,650 | $159.8K | 0.03% | −4,762−9.6% | Reduced |
| Landscape Capital Management, L.L.C. | 44,210 | $158.3K | 0.01% | +25,812+140.3% | Added |
| NWF Advisory Services Inc. | 39,950 | $143.0K | 0.03% | +6,200+18.4% | Added |
| Cetera Advisors LLC | 38,184 | $136.7K | 0.00% | 00.0% | Unchanged |
| Rivernorth Capital Management, LLC | 38,168 | $136.6K | 0.01% | +38,168 | New |
| Csenge Advisory Group | 36,604 | $131.0K | 0.01% | −8,267−18.4% | Reduced |
| Logan Stone Capital, LLC | 24,987 | $89.5K | 0.02% | −2,240−8.2% | Reduced |
| Advisory Services Network, LLC | 19,151 | $68.6K | 0.00% | −1,000−5.0% | Reduced |
| Clough Capital Partners L P | 12,542 | $44.9K | 0.00% | +12,542 | New |
| Quad-Cities Investment Group, LLC | 11,971 | $43.2K | 0.03% | −7,252−37.7% | Reduced |
| L.M. Kohn & Company | 11,800 | $42.2K | 0.01% | +11,800 | New |
| Wedbush Securities Inc | 10,522 | $38.0K | 0.00% | +10,522 | New |
| CSS LLC | 10,027 | $35.9K | 0.00% | +10,027 | New |
| Equitable Holdings, Inc. | 10,000 | $35.8K | 0.00% | 00.0% | Unchanged |
| IFP Advisors, Inc | 8,518 | $30.5K | 0.00% | 00.0% | Unchanged |
| Steward Partners Investment Advisory, LLC | 7,408 | $26.5K | 0.00% | 00.0% | Unchanged |
| NBC Securities, Inc. | 6,323 | $22.0K | 0.00% | 00.0% | Unchanged |
| Blue Bell Private Wealth Management, LLC | 3,666 | $13.1K | 0.00% | +1,300+54.9% | Added |
| JPMorgan Chase & Co | 3,210 | $11.5K | 0.00% | +2,201+218.1% | Added |
| US Bancorp | 2,900 | $10.4K | 0.00% | +2,900 | New |
| KPP Advisory Services LLC | 0 | $0 | 0.00% | −17,340−100.0% | Sold out |
| Atria Wealth Solutions, Inc. | 0 | $0 | 0.00% | −15,900−100.0% | Sold out |
| UBS Group AG | 0 | $0 | 0.00% | −5,147−100.0% | Sold out |
| Lindbrook Capital, LLC | 0 | $0 | 0.00% | −5,000−100.0% | Sold out |