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FIA

FNY Investment Advisers Portfolio holdings

AUM $278M
1-Year Est. Return 98.99%
This Fund
S&P 500
This Quarter Est. Return
-1.01%
1 Year Est. Return
+98.99%
3 Year Est. Return
+307.32%
5 Year Est. Return
+396.61%
10 Year Est. Return
–
AUM
$215M
AUM Growth
-$35.1M
Cap. Flow
-$22.9M
Cap. Flow %
-10.64%
Top 10 Hldgs %
26.55%
Holding
1,107
New
296
Increased
128
Reduced
157
Closed
386

Top Buys

Rank Stock Value
1
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$11.3M
2
ARD
Ardagh Group S.A. Class A Common Shares
ARD
+$7.02M
3
ZWS icon
Zurn Elkay Water Solutions
ZWS
+$5.12M
4
XLNX
Xilinx Inc
XLNX
+$5.11M
5
BP icon
BP
BP
+$5.06M

Top Sells

Rank Stock Value
1
SRNG
Soaring Eagle Acquisition Corp. Class A Ordinary Share
SRNG
+$11.1M
2
ALXN
Alexion Pharmaceuticals
ALXN
+$8.9M
3
DTE icon
DTE Energy
DTE
+$5.88M
4
MXIM
Maxim Integrated Products
MXIM
+$5.58M
5
MVST icon
Microvast
MVST
+$5.54M

Sector Composition

Rank Sector Weight
1 Technology 22.31%
2 Financials 13.71%
3 Healthcare 11.56%
4 Communication Services 10.69%
5 Industrials 7.79%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BENER
376
DELISTED
Benessere Capital Acquisition Corp. Right
BENER
$41K 0.02%
127,959
+25,442
+25% +$9.19K
XLRN
377
DELISTED
Acceleron Pharma
XLRN
$41K 0.02%
+240
New +$31.4K
CDOR
378
DELISTED
Condor Hospitality Trust, Inc. Common Stock
CDOR
$41K 0.02%
6,000
+671
+13% +$3.98K
AMBA icon
379
Ambarella
AMBA
$3.6B
$40K 0.02%
258
-4,242
-94% -$488K
ARCC icon
380
Ares Capital
ARCC
$14.5B
$40K 0.02%
2,000
-1,000
-33% -$20K
EMD
381
Western Asset Emerging Markets Debt Fund
EMD
$612M
$40K 0.02%
3,000
-3,000
-50% -$41.7K
FFC
382
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$781M
$40K 0.02%
+1,800
New +$41.2K
KYN icon
383
Kayne Anderson Energy Infrastructure Fund
KYN
$2.49B
$40K 0.02%
5,000
-5,000
-50% -$39.9K
PAVM icon
384
PAVmed
PAVM
$33.9M
$40K 0.02%
+11
New +$34.7K
SAR icon
385
Saratoga Investment
SAR
$314M
$40K 0.02%
+1,399
New +$38.6K
DYFN
386
DELISTED
Angel Oak Dynamic Financial Strategies Income Term Trust
DYFN
$40K 0.02%
+2,000
New +$40.9K
CCD
387
Calamos Dynamic Convertible & Income Fund
CCD
$755M
$39K 0.02%
+1,302
New +$40.4K
NAC icon
388
Nuveen California Quality Municipal Income Fund
NAC
$1.87B
$39K 0.02%
2,500
-2,500
-50% -$39.8K
NDMO icon
389
Nuveen Dynamic Municipal Opportunities Fund
NDMO
$608M
$39K 0.02%
+2,446
New +$41.5K
TBCPU
390
DELISTED
Thunder Bridge Capital Partners III Inc. Units
TBCPU
$39K 0.02%
4,000
– –
CHPM
391
DELISTED
CHP Merger Corp. Class A Common Stock
CHPM
$39K 0.02%
3,906
-504
-11% -$5.03K
CCAP icon
392
Crescent Capital BDC
CCAP
$417M
$38K 0.02%
+2,000
New +$37.6K
SLRC icon
393
SLR Investment Corp
SLRC
$711M
$38K 0.02%
+2,000
New +$38.1K
TEI
394
Templeton Emerging Markets Income Fund
TEI
$321M
$38K 0.02%
5,000
-9,000
-64% -$71K
BCTX
395
Briacell Therapeutics
BCTX
$29.9M
$37K 0.02%
+31
New +$28.5K
HFRO
396
Highland Opportunities and Income Fund
HFRO
$398M
$37K 0.02%
3,500
-1,500
-30% -$16.1K
BTU icon
397
Peabody Energy
BTU
$2.94B
$36K 0.02%
+2,500
New +$32.7K
NML
398
Neuberger Energy Infrastructure and Income Fund Inc
NML
$607M
$36K 0.02%
7,500
-12,500
-63% -$60.1K
NXDT.PRA
399
NexPoint Diversified Real Estate Trust 5.50% Series A Preferred Shares
NXDT.PRA
$44M
$36K 0.02%
1,655
– –
XFLT
400
XAI Floating Rate & Alternative Income Trust
XFLT
$294M
$36K 0.02%
+862
New +$38.4K
14 15
16
17 18

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ACP
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CC
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SL
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BCH
Berkshire Capital Holdings San Jose, California $277M AUM 190.28% 1-Year Est. Return
NCM
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RFA
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HCM
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EFP
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FNY Investment Advisers's Q3 2021 Portfolio in Review

As of Q3 2021, FNY Investment Advisers held 1,107 positions worth $215M, down 14% from $251M the previous quarter. Its ten largest holdings account for 27% of the portfolio.

FNY Investment Advisers withdrew a net $22.9M in Q3 2021, closing 386 positions and reducing 157 holdings. Its most notable exit was Soaring Eagle Acquisition Corp. Class A Ordinary Share, an estimated $11.1M position sold in full.

By sector, the portfolio is most concentrated in Technology at 22% of assets, up from 19% a quarter earlier, followed by Financials and Healthcare.

Against the trend, FNY Investment Advisers opened a new position in Ardagh Group S.A. Class A Common Shares worth $7.12M.

  • FNY Investment Advisers's largest Q3 2021 buy was Ardagh Group S.A. Class A Common Shares: 279,519 shares worth $7.12M.
  • FNY Investment Advisers added most to Alphabet (Google) Class A in Q3 2021, an estimated $11.3M increase.
  • FNY Investment Advisers's biggest Q3 2021 reduction was Forge Global Holdings, cutting an estimated $4.79M.
  • FNY Investment Advisers fully exited Soaring Eagle Acquisition Corp. Class A Ordinary Share in Q3 2021, selling an estimated $11.1M.
  • FNY Investment Advisers's ten largest holdings make up 27% of its $215M portfolio in Q3 2021.
  • FNY Investment Advisers opened 296 new positions and closed 386 in Q3 2021.
  • FNY Investment Advisers's portfolio value fell 14% quarter-over-quarter to $215M.

Based on FNY Investment Advisers's 13F filing for Q3 2021, filed 13 Oct 2021.