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 |
|---|---|---|---|---|---|
| US Bancorp | 2,900 | $10.4K | 0.00% | +2,900 | New |
| JPMorgan Chase & Co | 3,210 | $11.5K | 0.00% | +2,201+218.1% | Added |
| Blue Bell Private Wealth Management, LLC | 3,666 | $13.1K | 0.00% | +1,300+54.9% | Added |
| NBC Securities, Inc. | 6,323 | $22.0K | 0.00% | 00.0% | Unchanged |
| Steward Partners Investment Advisory, LLC | 7,408 | $26.5K | 0.00% | 00.0% | Unchanged |
| IFP Advisors, Inc | 8,518 | $30.5K | 0.00% | 00.0% | Unchanged |
| Equitable Holdings, Inc. | 10,000 | $35.8K | 0.00% | 00.0% | Unchanged |
| CSS LLC | 10,027 | $35.9K | 0.00% | +10,027 | New |
| Wedbush Securities Inc | 10,522 | $38.0K | 0.00% | +10,522 | New |
| L.M. Kohn & Company | 11,800 | $42.2K | 0.01% | +11,800 | New |
| Quad-Cities Investment Group, LLC | 11,971 | $43.2K | 0.03% | −7,252−37.7% | Reduced |
| Clough Capital Partners L P | 12,542 | $44.9K | 0.00% | +12,542 | New |
| Advisory Services Network, LLC | 19,151 | $68.6K | 0.00% | −1,000−5.0% | Reduced |
| Logan Stone Capital, LLC | 24,987 | $89.5K | 0.02% | −2,240−8.2% | Reduced |
| Csenge Advisory Group | 36,604 | $131.0K | 0.01% | −8,267−18.4% | Reduced |
| Rivernorth Capital Management, LLC | 38,168 | $136.6K | 0.01% | +38,168 | New |
| Cetera Advisors LLC | 38,184 | $136.7K | 0.00% | 00.0% | Unchanged |
| NWF Advisory Services Inc. | 39,950 | $143.0K | 0.03% | +6,200+18.4% | Added |
| Landscape Capital Management, L.L.C. | 44,210 | $158.3K | 0.01% | +25,812+140.3% | Added |
| Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors | 44,650 | $159.8K | 0.03% | −4,762−9.6% | Reduced |
| Almitas Capital LLC | 45,984 | $164.6K | 0.06% | +33,850+279.0% | Added |
| Wells Fargo & Company | 47,984 | $171.8K | 0.00% | −14,231−22.9% | Reduced |
| Sym Financial Corp | 48,062 | $172.1K | 0.03% | −36,475−43.1% | Reduced |
| Good Life Advisors, LLC | 51,449 | $184.2K | 0.02% | +639+1.3% | Added |
| Advisor Group Holdings, Inc. | 79,031 | $282.9K | 0.00% | −49,965−38.7% | Reduced |
| Alpine Global Management, LLC | 89,346 | $319.9K | 0.09% | 00.0% | Unchanged |
| Flagship Harbor Advisors, LLC | 112,179 | $401.6K | 0.03% | −1,900−1.7% | Reduced |
| Shaker Financial Services, LLC | 121,027 | $433.3K | 0.18% | −155,798−56.3% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 142,249 | $509.3K | 0.00% | −32,605−18.6% | Reduced |
| Commonwealth Equity Services, LLC | 148,154 | $530.0K | 0.00% | −14,037−8.7% | Reduced |
| Saba Capital Management, L.P. | 194,818 | $697.4K | 0.02% | +194,818 | New |
| Matisse Capital | 248,189 | $888.5K | 0.47% | +5,477+2.3% | Added |
| Private Advisor Group, LLC | 267,525 | $957.7K | 0.01% | +78,350+41.4% | Added |
| Morgan Stanley | 538,655 | $1.93M | 0.00% | +11,374+2.2% | Added |
| Consolidated Portfolio Review Corp | 575,664 | $2.06M | 0.47% | −39,128−6.4% | Reduced |
| LPL Financial LLC | 945,701 | $3.39M | 0.00% | +484,187+104.9% | Added |
| 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 |