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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
KMF
401
DELISTED
Kayne Anderson NextGen Energy & Infrastructure, Inc.
KMF
$36K 0.02%
5,000
-5,000
-50% -$36.3K
GOAC
402
DELISTED
GO Acquisition Corp. Class A Common Stock
GOAC
$36K 0.02%
3,680
– –
PCI
403
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
$36K 0.02%
+1,750
New +$38.5K
GCV
404
Gabelli Convertible and Income Securities Fund
GCV
$95.3M
$35K 0.02%
+5,800
New +$37.3K
MOS icon
405
The Mosaic Company
MOS
$6.92B
$35K 0.02%
1,000
-6,800
-87% -$217K
VOSO
406
DELISTED
Virtuoso Acquisition Corp. Class A Common Stock
VOSO
$35K 0.02%
3,600
+2,800
+350% +$27.7K
GBTG icon
407
American Express Global Business Travel
GBTG
$4.94B
$34K 0.02%
3,500
+200
+6% +$1.95K
GM icon
408
CALL
General Motors
GM
$75.8B
$34K 0.02%
+650
New +$34.5K
MO icon
409
CALL
Altria Group
MO
$109B
$34K 0.02%
+750
New +$36.2K
ORGN
410
DELISTED
Origin Materials
ORGN
$34K 0.02%
170
-3,902
-96% -$804K
ECF
411
Ellsworth Growth & Income Fund
ECF
$178M
$33K 0.02%
+2,500
New +$36.3K
SOND
412
DELISTED
Sonder
SOND
$33K 0.02%
170
+105
+162% +$20.8K
JTA
413
DELISTED
Nuveen Tax-Advantaged Total Return Strategy Fund
JTA
$33K 0.02%
+3,002
New +$34.4K
GSBD icon
414
Goldman Sachs BDC
GSBD
$1.12B
$32K 0.01%
1,750
-250
-13% -$4.78K
PNNT
415
Pennant Park Investment Corp
PNNT
$249M
$32K 0.01%
+5,000
New +$32.8K
UTHR icon
416
CALL
United Therapeutics
UTHR
$21.5B
$32K 0.01%
+175
New +$34.5K
FLC
417
Flaherty & Crumrine Total Return Fund
FLC
$176M
$31K 0.01%
+1,300
New +$31.2K
HQL
418
abrdn Life Sciences Investors
HQL
$643M
$31K 0.01%
+1,500
New +$32.1K
PFLT icon
419
PennantPark Floating Rate Capital
PFLT
$752M
$31K 0.01%
+2,500
New +$32.4K
SPY icon
420
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$815B
$31K 0.01%
74
-1,066
-94% -$470K
TPVG icon
421
TriplePoint Venture Growth BDC
TPVG
$221M
$31K 0.01%
+2,000
New +$31.3K
SPGS.U
422
DELISTED
Simon Property Group Acquisition Holdings, Inc. Units, each consisting of one share of Class A common stock and one-fifth of one redeemable warrant
SPGS.U
$31K 0.01%
3,137
– –
SMM
423
DELISTED
Salient Midstream & MLP Fund
SMM
$31K 0.01%
5,000
-5,000
-50% -$29K
JTD
424
DELISTED
NUVEEN TAX-ADVANTAGE DIVIDEND GROWTH FUND
JTD
$31K 0.01%
+2,000
New +$32.5K
BIDU icon
425
CALL
Baidu
BIDU
$35.5B
$30K 0.01%
+200
New +$32.8K
15 16
17
18 19

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ACP
Arcus Capital Partners Atlanta, Georgia $278M AUM 14.53% 1-Year Est. Return
CC
Checkpoint Capital San Francisco, California $279M AUM 45.74% 1-Year Est. Return
SL
SOF Ltd George Town, Cayman Islands $279M AUM 6.12% 1-Year Est. Return
BCH
Berkshire Capital Holdings San Jose, California $277M AUM 190.28% 1-Year Est. Return
NCM
NCM Capital Management Ramsey, New Jersey $279M AUM 26.47% 1-Year Est. Return
RFA
Resurgent Financial Advisors Atlanta, Georgia $277M AUM 21.5% 1-Year Est. Return
HCM
Hall Capital Management Barrington, Rhode Island $280M AUM 14.82% 1-Year Est. Return
EFP
Envision Financial Planning Memphis, Tennessee $276M AUM 10.87% 1-Year Est. Return

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.