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 2024
Institutional positions in First Trust Specialty Finance & Financial Opportunities Fund as of Sep 30, 2024. 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
- 38
- +7 vs. Q2 2024
- Shares held
- 4.79M
- +214.8K (+4.7%) vs. Q2 2024
- Total value
- $19.5M
- +$1.69M (+9.5%) vs. Q2 2024
- New holders
- 8
- 11 more added
- Sold out
- 1
- 10 more reduced
Compare with Q2 2024: 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 2024
Shares, value and share of portfolio for each institution holding First Trust Specialty Finance & Financial Opportunities Fund; share changes are against Q2 2024.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| LPL Financial LLC | 1,067,057 | $4.34M | 0.00% | −45,393−4.1% | Reduced |
| Saba Capital Management, L.P. | 747,940 | $3.04M | 0.07% | −360,433−32.5% | Reduced |
| Morgan Stanley | 570,129 | $2.32M | 0.00% | +3,009+0.5% | Added |
| Rivernorth Capital Management, LLC | 393,429 | $1.60M | 0.08% | +182,207+86.3% | Added |
| Sit Investment Associates Inc | 284,696 | $1.16M | 0.03% | +284,696 | New |
| Almitas Capital LLC | 179,486 | $730.5K | 0.26% | +179,486 | New |
| Commonwealth Equity Services, LLC | 178,100 | $725.0K | 0.00% | +4,722+2.7% | Added |
| Alpine Global Management, LLC | 159,500 | $649.2K | 0.16% | −500−0.3% | Reduced |
| Consolidated Portfolio Review Corp | 144,443 | $587.9K | 0.13% | −73,675−33.8% | Reduced |
| Private Advisor Group, LLC | 126,958 | $516.7K | 0.00% | −44,000−25.7% | Reduced |
| Flagship Harbor Advisors, LLC | 110,874 | $451.3K | 0.02% | −8,980−7.5% | Reduced |
| Atomi Financial Group, Inc. | 107,998 | $439.6K | 0.03% | +12,408+13.0% | Added |
| Good Life Advisors, LLC | 107,026 | $435.6K | 0.03% | +54,240+102.8% | Added |
| Raymond James Financial Services Advisors, Inc. | 102,533 | $417.3K | 0.00% | −9,857−8.8% | Reduced |
| Uhlmann Price Securities, LLC | 62,016 | $252.4K | 0.20% | +62,016 | New |
| NWF Advisory Services Inc. | 56,550 | $230.2K | 0.03% | +11,500+25.5% | Added |
| Wells Fargo & Company | 49,216 | $200.3K | 0.00% | +10.0% | Added |
| Sym Financial Corp | 41,994 | $170.9K | 0.02% | 00.0% | Unchanged |
| Shaker Financial Services, LLC | 41,538 | $169.1K | 0.06% | +28,234+212.2% | Added |
| Advisor Group Holdings, Inc. | 39,025 | $158.8K | 0.00% | −13,652−25.9% | Reduced |
| Susquehanna International Group, LLP | 26,489 | $107.8K | 0.00% | −9,053−25.5% | Reduced |
| Csenge Advisory Group | 24,641 | $101.0K | 0.01% | −5,974−19.5% | Reduced |
| Mendel Capital Management LLC | 19,940 | $81.2K | 0.05% | 00.0% | Unchanged |
| Advisory Services Network, LLC | 17,478 | $68.0K | 0.00% | 00.0% | Unchanged |
| Blue Bell Private Wealth Management, LLC | 15,011 | $61.1K | 0.01% | +3,356+28.8% | Added |
| KPP Advisory Services LLC | 13,500 | $54.9K | 0.01% | 00.0% | Unchanged |
| Cetera Investment Advisers | 13,290 | $54.1K | 0.00% | 00.0% | Unchanged |
| CSS LLC | 12,697 | $51.7K | 0.00% | +12,697 | New |
| L.M. Kohn & Company | 11,800 | $48.0K | 0.01% | +11,800 | New |
| Jane Street Group, LLC | 11,687 | $47.6K | 0.00% | +11,687 | New |
| Belpointe Asset Management LLC | 11,655 | $47.4K | 0.00% | +102+0.9% | Added |
| Wedbush Securities Inc | 11,522 | $47.0K | 0.00% | 00.0% | Unchanged |
| Equitable Holdings, Inc. | 10,000 | $40.7K | 0.00% | 00.0% | Unchanged |
| IFP Advisors, Inc | 6,824 | $27.8K | 0.00% | +855+14.3% | Added |
| NBC Securities, Inc. | 6,323 | $25.0K | 0.00% | 00.0% | Unchanged |
| US Bancorp | 2,900 | $11.8K | 0.00% | 00.0% | Unchanged |
| Bank of America Corp | 1,840 | $7.49K | 0.00% | +1,840 | New |
| UBS Group AG | 728 | $2.96K | 0.00% | +728 | New |
| Atlas Wealth LLC | 0 | $0 | 0.00% | −79,231−100.0% | Sold out |