Vault-13

FIRST TR SPECIALTY FIN & FIN

COM BEN INTR · CUSIP 33733G109

36 institutional holders -1 vs Q4 2023
6,171,1726.2m shares reported held*
$23.3mreported value*
8 new 13 added 9 reduced 9 sold out net bought ≈ $5.7m (+1.5m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $3.77.

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

02040Q3 22: 30Q4 22: 28Q1 23: 32Q2 23: 29Q3 23: 34Q4 23: 37Q1 24: 3636Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 202230
Q4 202228
Q1 202332
Q2 202329
Q3 202334
Q4 202337
Q1 202436

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
40040Q4 22: 11 bought or addedQ4 22: 17 cut or sold outQ4 22Q1 23: 16 bought or addedQ1 23: 12 cut or sold outQ1 23Q2 23: 12 bought or addedQ2 23: 16 cut or sold outQ2 23Q3 23: 17 bought or addedQ3 23: 11 cut or sold outQ3 23Q4 23: 17 bought or addedQ4 23: 17 cut or sold outQ4 23Q1 24: 21 bought or addedQ1 24: 18 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 20221117
Q1 20231612
Q2 20231216
Q3 20231711
Q4 20231717
Q1 20242118

Biggest buyers

MORGAN STANLEY Added +595,910+595.9k
PFG Investments, LLC New +554,102+554.1k
Saba Capital Management, L.P. Added +442,927+442.9k
LPL Financial LLC Added +93,647+93.6k
Private Advisor Group, LLC Added +69,550+69.5k
SUSQUEHANNA INTERNATIONAL GROUP, LLP New +26,274+26.3k
Alpine Global Management, LLC Added +21,308+21.3k
Mendel Capital Management LLC New +19,940+19.9k
Virtu Financial LLC New +13,892+13.9k
KPP Advisory Services LLC New +13,500+13.5k

Biggest sellers

Shaker Financial Services, LLC Sold out -121,027-121.0k
Almitas Capital LLC Sold out -45,984-46.0k
Matisse Capital Reduced -42,972-43.0k
Cetera Advisors LLC Sold out -38,184-38.2k
Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors Reduced -32,369-32.4k
Raymond James Financial Services Advisors, Inc. Reduced -26,547-26.5k
Logan Stone Capital, LLC Sold out -24,987-25.0k
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. Reduced -12,819-12.8k
CLOUGH CAPITAL PARTNERS L P Sold out -12,542-12.5k
Quad-Cities Investment Group, LLC Sold out -11,971-12.0k

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
SIT INVESTMENT ASSOCIATES INC 13G · institution new · filed 2025-01-03 7.0% new 1.0m 2025-01-03

Holders, Q1 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,673,2201.7m $6.3m $6.3m 0.00% Added +595.9k +595,910
2 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 1,039,3481.0m $3.9m $3.9m 0.00% Added +93.6k +93,647
3 Saba Capital Management, L.P. 0.05% of their portfolio NEW YORK, NY 637,745637.7k $2.4m $2.4m 0.05% Added +442.9k +442,927
4 Consolidated Portfolio Review Corp 0.56% of their portfolio WOODBURY, NY 566,162566.2k $2.1m $2.1m 0.56% Reduced -9.5k -9,502
5 PFG Investments, LLC 0.13% of their portfolio WOODBURY, NY 554,102554.1k $2.1m $2.1m 0.13% New
6 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 337,075337.1k $1.3m $1.3m 0.01% Added +69.5k +69,550
7 Matisse Capital 0.37% of their portfolio PORTLAND, OR 205,217205.2k $773.7k $773.7k 0.37% Reduced -43.0k -42,972
8 Alpine Global Management, LLC 0.08% of their portfolio NEW YORK, NY 200,000200.0k $754.0k $754.0k 0.08% Added +21.3k +21,308
9 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 158,660158.7k $598.0k $598.0k 0.00% Added +10.5k +10,506
10 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 115,702115.7k $436.2k $436.2k 0.00% Reduced -26.5k -26,547
11 FLAGSHIP HARBOR ADVISORS, LLC 0.03% of their portfolio BOSTON, MA 115,579115.6k $435.7k $435.7k 0.03% Added +3.4k +3,400
12 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 81,32081.3k $306.6k $306.6k 0.00% Added +2.3k +2,289
13 Good Life Advisors, LLC 0.02% of their portfolio READING, PA 52,06152.1k $196.3k $196.3k 0.02% Added +612 +612
14 RIVERNORTH CAPITAL MANAGEMENT, LLC 0.01% of their portfolio WEST PALM BEACH, FL 49,55549.6k $186.8k $186.8k 0.01% Added +11.4k +11,387
15 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 49,21649.2k $185.5k $185.5k 0.00% Added +1.2k +1,232
16 NWF Advisory Services Inc. 0.03% of their portfolio Los Angeles, CA 45,05045.0k $169.8k $169.8k 0.03% Added +5.1k +5,100
17 SYM FINANCIAL Corp 0.03% of their portfolio WINONA LAKE, IN 41,99442.0k $158.3k $158.3k 0.03% Reduced -6.1k -6,068
18 Csenge Advisory Group 0.01% of their portfolio CLEARWATER, FL 31,77031.8k $119.8k $119.8k 0.01% Reduced -4.8k -4,834
19 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.01% of their portfolio Englewood, NJ 31,39131.4k $118.3k $118.3k 0.01% Reduced -12.8k -12,819
20 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 26,27426.3k $99.1k $99.1k 0.00% New
21 Mendel Capital Management LLC 0.05% of their portfolio LITTLE ROCK, AR 19,94019.9k $75.2k $75.2k 0.05% New
22 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 17,47817.5k $65.9k $65.9k 0.00% Reduced -1.7k -1,673
23 Virtu Financial LLC 0.00% of their portfolio New York, NY 13,89213.9k $52.0k $52.0k 0.00% New
24 KPP Advisory Services LLC 0.01% of their portfolio Louisville, KY 13,50013.5k $50.9k $50.9k 0.01% New
25 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 13,29013.3k $50.1k $50.1k 0.00% New
26 HARTLINE INVESTMENT CORP/ 0.01% of their portfolio WINNETKA, IL 12,28112.3k $46.3k $46.3k 0.01% New
27 Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors 0.01% of their portfolio CONCORD, MA 12,28112.3k $46.3k $46.3k 0.01% Reduced -32.4k -32,369
28 L.M. KOHN & COMPANY 0.01% of their portfolio CINCINNATI, OH 11,80011.8k $44.5k $44.5k 0.01% Unchanged
29 WEDBUSH SECURITIES INC 0.00% of their portfolio PASADENA, CA 10,52210.5k $40.0k $40.0k 0.00% Unchanged
30 Equitable Holdings, Inc. 0.00% of their portfolio NEW YORK, NY 10,00010.0k $37.7k $37.7k 0.00% Unchanged
31 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 0.01% of their portfolio BLUE BELL, PA 9,0879.1k $34.3k $34.3k 0.01% Added +5.4k +5,421
32 IFP Advisors, Inc 0.00% of their portfolio TAMPA, FL 6,4366.4k $24.3k $24.3k 0.00% Reduced -2.1k -2,082
33 LANARK FINANCIAL, INC. 0.00% of their portfolio BIRMINGHAM, AL 6,3236.3k $23.0k $23.0k 0.00% Unchanged
34 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 2,9002.9k $10.9k $10.9k 0.00% Unchanged
35 FMR LLC 0.00% of their portfolio BOSTON, MA 11 $4 $4 0.00% New
36 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged