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 2024
Institutional positions in First Trust Specialty Finance & Financial Opportunities Fund as of Dec 31, 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
- 41
- +4 vs. Q3 2024
- Shares held
- 5.26M
- +578.2K (+12.3%) vs. Q3 2024
- Total value
- $22.2M
- +$3.09M (+16.2%) vs. Q3 2024
- New holders
- 11
- 12 more added
- Sold out
- 7
- 11 more reduced
1 institution that held it in Q3 2024 haven't filed for Q4 2024 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 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, Q4 2024
Shares, value and share of portfolio for each institution holding First Trust Specialty Finance & Financial Opportunities Fund; share changes are against Q3 2024.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| NBC Securities, Inc. | 6 | $26 | 0.00% | −6,317−99.9% | Reduced |
| Northwestern Mutual Wealth Management Co | 701 | $2.95K | 0.00% | +701 | New |
| UBS Group AG | 1,882 | $7.92K | 0.00% | +1,154+158.5% | Added |
| US Bancorp | 2,900 | $12.2K | 0.00% | 00.0% | Unchanged |
| Park Square Financial Group, LLC | 3,924 | $16.5K | 0.01% | +3,924 | New |
| IFP Advisors, Inc | 6,824 | $28.7K | 0.00% | 00.0% | Unchanged |
| Equitable Holdings, Inc. | 10,000 | $42.1K | 0.00% | 00.0% | Unchanged |
| Virtu Financial LLC | 10,220 | $43.0K | 0.00% | +10,220 | New |
| Belpointe Asset Management LLC | 11,655 | $45.8K | 0.00% | 00.0% | Unchanged |
| Wedbush Securities Inc | 11,522 | $49.0K | 0.00% | 00.0% | Unchanged |
| Cetera Investment Advisers | 12,390 | $52.2K | 0.00% | −900−6.8% | Reduced |
| KPP Advisory Services LLC | 13,500 | $56.8K | 0.01% | 00.0% | Unchanged |
| Two Sigma Securities, LLC | 19,854 | $83.6K | 0.02% | +19,854 | New |
| Mendel Capital Management LLC | 19,940 | $83.9K | 0.05% | 00.0% | Unchanged |
| Cambridge Investment Research Advisors, Inc. | 19,957 | $84.0K | 0.00% | +19,957 | New |
| Susquehanna International Group, LLP | 20,347 | $85.7K | 0.00% | −6,142−23.2% | Reduced |
| Quarry LP | 20,407 | $85.9K | 0.02% | +20,407 | New |
| Private Advisor Group, LLC | 20,958 | $88.2K | 0.00% | −106,000−83.5% | Reduced |
| CWM, LLC | 21,765 | $92.0K | 0.00% | +21,765 | New |
| Csenge Advisory Group | 22,643 | $95.3K | 0.01% | −1,998−8.1% | Reduced |
| Citadel Advisors LLC | 23,500 | $98.9K | 0.00% | +23,500 | New |
| NWF Advisory Services Inc. | 31,050 | $130.7K | 0.02% | −25,500−45.1% | Reduced |
| Shaker Financial Services, LLC | 31,134 | $131.1K | 0.05% | −10,404−25.0% | Reduced |
| Good Life Advisors, LLC | 42,631 | $179.5K | 0.01% | −64,395−60.2% | Reduced |
| Advisor Group Holdings, Inc. | 46,716 | $196.7K | 0.00% | +7,691+19.7% | Added |
| Absolute Investment Advisers LLC | 52,512 | $221.1K | 0.03% | +52,512 | New |
| CSS LLC | 58,141 | $244.8K | 0.01% | +45,444+357.9% | Added |
| Sym Financial Corp | 62,248 | $262.1K | 0.03% | +20,254+48.2% | Added |
| Uhlmann Price Securities, LLC | 63,459 | $267.2K | 0.20% | +1,443+2.3% | Added |
| Raymond James Financial Inc | 72,855 | $306.7K | 0.00% | +72,855 | New |
| Wells Fargo & Company | 81,175 | $341.7K | 0.00% | +31,959+64.9% | Added |
| Flagship Harbor Advisors, LLC | 104,374 | $439.4K | 0.02% | −6,500−5.9% | Reduced |
| Atomi Financial Group, Inc. | 114,888 | $483.7K | 0.02% | +6,890+6.4% | Added |
| Commonwealth Equity Services, LLC | 179,246 | $755.0K | 0.00% | +1,146+0.6% | Added |
| CF Capital LLC | 179,500 | $755.7K | 0.81% | +179,500 | New |
| Almitas Capital LLC | 213,162 | $897.4K | 0.20% | +33,676+18.8% | Added |
| Rivernorth Capital Management, LLC | 262,275 | $1.10M | 0.05% | −131,154−33.3% | Reduced |
| Morgan Stanley | 617,053 | $2.60M | 0.00% | +46,924+8.2% | Added |
| Saba Capital Management, L.P. | 699,009 | $2.94M | 0.07% | −48,931−6.5% | Reduced |
| Sit Investment Associates Inc | 1,010,916 | $4.26M | 0.10% | +726,220+255.1% | Added |
| LPL Financial LLC | 1,067,248 | $4.49M | 0.00% | +1910.0% | Added |
| Alpine Global Management, LLC | 0 | $0 | 0.00% | −159,500−100.0% | Sold out |
| Consolidated Portfolio Review Corp | 0 | $0 | 0.00% | −144,443−100.0% | Sold out |
| Advisory Services Network, LLC | 0 | $0 | 0.00% | −17,478−100.0% | Sold out |
| Blue Bell Private Wealth Management, LLC | 0 | $0 | 0.00% | −15,011−100.0% | Sold out |
| L.M. Kohn & Company | 0 | $0 | 0.00% | −11,800−100.0% | Sold out |
| Jane Street Group, LLC | 0 | $0 | 0.00% | −11,687−100.0% | Sold out |
| Bank of America Corp | 0 | $0 | 0.00% | −1,840−100.0% | Sold out |
| Raymond James Financial Services Advisors, Inc. | – | – | – | – | Not filed |