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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
+1.12%
1 Year Est. Return
+98.99%
3 Year Est. Return
+307.32%
5 Year Est. Return
+396.61%
10 Year Est. Return
–
AUM
$327M
AUM Growth
-$12.2M
Cap. Flow
-$9.88M
Cap. Flow %
-3.02%
Top 10 Hldgs %
48.42%
Holding
1,378
New
400
Increased
269
Reduced
149
Closed
483

Top Buys

Rank Stock Value
1
AGN
Allergan plc
AGN
+$19M
2
CELG
Celgene Corp
CELG
+$18.7M
3
SPCE icon
Virgin Galactic
SPCE
+$10.7M
4
WBC
WABCO HOLDINGS INC.
WBC
+$9.32M
5
GWR
Genesee & Wyoming Inc.
GWR
+$7.4M

Top Sells

Rank Stock Value
1
APC
Anadarko Petroleum
APC
+$49M
2
RHT
Red Hat Inc
RHT
+$47.6M
3
FDC
First Data Corporation
FDC
+$7.23M
4
MLNX
Mellanox Technologies, Ltd.
MLNX
+$4.11M
5
ARRY
Array Biopharma Inc
ARRY
+$3.62M

Sector Composition

Rank Sector Weight
1 Healthcare 30.14%
2 Financials 12.64%
3 Industrials 9.02%
4 Consumer Discretionary 7.86%
5 Technology 6.7%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NAK
551
Northern Dynasty Minerals
NAK
$953M
$11K ﹤0.01%
20,000
– –
NJR icon
552
New Jersey Resources
NJR
$5.55B
$11K ﹤0.01%
258
+15
+6% +$703
PHK
553
PIMCO High Income Fund
PHK
$875M
$11K ﹤0.01%
1,548
+90
+6% +$711
SPY icon
554
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$807B
$11K ﹤0.01%
+38
New +$11.2K
WATT icon
555
Energous
WATT
$103M
$11K ﹤0.01%
6
– –
NUAN
556
DELISTED
Nuance Communications, Inc.
NUAN
$11K ﹤0.01%
+924
New +$13.3K
JTD
557
DELISTED
NUVEEN TAX-ADVANTAGE DIVIDEND GROWTH FUND
JTD
$11K ﹤0.01%
688
+40
+6% +$663
GMHIU
558
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
$11K ﹤0.01%
1,100
– –
SPAQ.U
559
DELISTED
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
$11K ﹤0.01%
1,100
-200
-15% -$2.05K
BIDU icon
560
CALL
Baidu
BIDU
$35.9B
$10K ﹤0.01%
100
– –
SSO icon
561
ProShares Ultra S&P500
SSO
$8.35B
$10K ﹤0.01%
680
-6,712
-91% -$107K
TTE icon
562
TotalEnergies
TTE
$195B
$10K ﹤0.01%
200
– –
TXG icon
563
10x Genomics
TXG
$7.62B
$10K ﹤0.01%
+200
New +$11.1K
UNH icon
564
UnitedHealth
UNH
$361B
$10K ﹤0.01%
50
-1,050
-95% -$253K
UPLD icon
565
Upland Software
UPLD
$14.2M
$10K ﹤0.01%
30
– –
CVX icon
566
Chevron
CVX
$386B
$9K ﹤0.01%
+82
New +$9.96K
DDD icon
567
CALL
3D Systems Corp
DDD
$633M
$9K ﹤0.01%
+1,179
New +$9.51K
PMF
568
DELISTED
PIMCO Municipal Income Fund
PMF
$9K ﹤0.01%
602
+35
+6% +$514
PZC
569
DELISTED
PIMCO California Municipal Income Fund III
PZC
$9K ﹤0.01%
844
+520
+160% +$5.86K
SUNE
570
SUNation Energy
SUNE
$10.6M
– –
0
– –
SAFM
571
CALL
DELISTED
Sanderson Farms Inc
SAFM
$9K ﹤0.01%
60
-78
-57% -$11.1K
AFI
572
DELISTED
Armstrong Flooring, Inc.
AFI
$9K ﹤0.01%
1,526
-5,016
-77% -$39.2K
SSI
573
DELISTED
Stage Stores Inc
SSI
$9K ﹤0.01%
+5,000
New +$4.31K
NYNY
574
DELISTED
Empire Resorts, Inc.
NYNY
$9K ﹤0.01%
1,000
+354
+55% +$3.41K
FLC
575
Flaherty & Crumrine Total Return Fund
FLC
$176M
$8K ﹤0.01%
+371
New +$7.91K
21 22
23
24 25

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BCH
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RFA
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FNY Investment Advisers's Q3 2019 Portfolio in Review

As of Q3 2019, FNY Investment Advisers held 1,378 positions worth $327M, down 3.6% from $339M the previous quarter. Its ten largest holdings account for 48% of the portfolio.

FNY Investment Advisers withdrew a net $9.88M in Q3 2019, closing 483 positions and reducing 149 holdings. Its most notable exit was Anadarko Petroleum, an estimated $49M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 30% of assets, up from 17% a quarter earlier, followed by Financials and Industrials.

Against the trend, FNY Investment Advisers opened a new position in Genesee & Wyoming Inc. worth $7.43M.

  • FNY Investment Advisers's largest Q3 2019 buy was Genesee & Wyoming Inc.: 67,241 shares worth $7.43M.
  • FNY Investment Advisers added most to Allergan plc in Q3 2019, an estimated $19M increase.
  • FNY Investment Advisers's biggest Q3 2019 reduction was Mellanox Technologies, Ltd., cutting an estimated $4.11M.
  • FNY Investment Advisers fully exited Anadarko Petroleum in Q3 2019, selling an estimated $49M.
  • FNY Investment Advisers's ten largest holdings make up 48% of its $327M portfolio in Q3 2019.
  • FNY Investment Advisers opened 400 new positions and closed 483 in Q3 2019.
  • FNY Investment Advisers's portfolio value fell 3.6% quarter-over-quarter to $327M.

Based on FNY Investment Advisers's 13F filing for Q3 2019, filed 25 Oct 2019.