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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
HEXO
976
DELISTED
HEXO Corp. Common Shares
HEXO
– –
-300
Closed -$13.9K
CYXT
977
DELISTED
Cyxtera Technologies, Inc. Class A Common Stock
CYXT
– –
-300
Closed -$3K
OSH
978
DELISTED
Oak Street Health, Inc.
OSH
– –
-842
Closed -$49K
ML
979
CALL
DELISTED
MoneyLion Inc.
ML
– –
-8
Closed -$2K
ARVL
980
DELISTED
Arrival Ordinary Shares
ARVL
– –
-1,635
Closed -$1.28M
VLTA
981
DELISTED
Volta Inc.
VLTA
– –
-306,000
Closed -$3.07M
ASPU
982
DELISTED
ASPEN GROUP, INC.
ASPU
– –
-30,737
Closed -$200K
INKAU
983
DELISTED
KludeIn I Acquisition Corp. Unit
INKAU
– –
-1,950
Closed -$19K
KRBP
984
DELISTED
Kiromic BioPharma, Inc. Common Stock
KRBP
– –
-2,000
Closed -$288K
MGU
985
DELISTED
Macquarie Global Infrastructure Total Return Fund, Inc.
MGU
– –
-4,000
Closed -$92K
CAJ
986
DELISTED
Canon, Inc.
CAJ
– –
-55,196
Closed -$1.25M
VLDR
987
DELISTED
Velodyne Lidar, Inc. Common Stock
VLDR
– –
-5,000
Closed -$37.6K
DNZ
988
DELISTED
D and Z Media Acquisition Corp.
DNZ
$0 ﹤0.01%
100
– –
TZPSU
989
DELISTED
TZP Strategies Acquisition Corp. Unit
TZPSU
$0 ﹤0.01%
100
– –
BTRS
990
DELISTED
BTRS Holdings Inc. Class 1 Common Stock
BTRS
– –
-10,000
Closed -$126K
LOTZ
991
DELISTED
CarLotz, Inc. Class A Common Stock
LOTZ
– –
-170,000
Closed -$928K
FTCV
992
CALL
DELISTED
FinTech Acquisition Corp. V Class A Common Stock
FTCV
– –
-120
Closed -$1K
TPGY
993
DELISTED
TPG Pace Beneficial Finance Corp.
TPGY
– –
-1,000
Closed -$12K
XELA
994
DELISTED
Exela Technologies, Inc. Common Stock
XELA
– –
-3
Closed -$30K
SAFM
995
CALL
DELISTED
Sanderson Farms Inc
SAFM
– –
-155
Closed -$29K
GPL
996
DELISTED
Great Panther Mining Limited
GPL
– –
-2,000
Closed -$12K
DIDI
997
DELISTED
DiDi Global Inc. American depositary shares, each four representing one Class A ordinary share
DIDI
– –
-14,046
Closed -$198K
ZME
998
DELISTED
Zhangmen Education Inc. American Depositary Shares, each representing seventy-two (72) Class A Ordin
ZME
– –
-47
Closed -$4K
SUNS
999
DELISTED
SLR Senior Investment Corp. Common Stock
SUNS
– –
-3,000
Closed -$45K
SBEAU
1000
DELISTED
SilverBox Engaged Merger Corp I Units
SBEAU
$0 ﹤0.01%
100
– –
38 39
40
41 42

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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.