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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
ENVIU
1001
DELISTED
Environmental Impact Acquisition Corp. Unit
ENVIU
– –
-5,000
Closed -$51K
RDS.B
1002
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
– –
-300
Closed -$11K
GMIIU
1003
DELISTED
Gores Metropoulos II, Inc. Unit
GMIIU
$0 ﹤0.01%
80
– –
NGCA
1004
DELISTED
NextGen Acquisition Corp. II Class A Ordinary Shares
NGCA
– –
-12,500
Closed -$128K
SWBK
1005
DELISTED
Switchback II Corporation
SWBK
$0 ﹤0.01%
100
– –
GSAH.U
1006
DELISTED
GS Acquisition Holdings Corp II Units, each consisting of one share of Class A Common Stock and one-
GSAH.U
– –
-100
Closed -$1K
KCAC.U
1007
DELISTED
Kensington Capital Acquisition Corp. II Units, each consisting of one share of Class A common stock,
KCAC.U
– –
-50
Closed –
CTAC
1008
DELISTED
Cerberus Telecom Acquisition Corp.
CTAC
– –
-6,587
Closed -$65K
CAHC
1009
DELISTED
CA Healthcare Acquisition Corp. Class A Common Stock
CAHC
– –
-400
Closed -$3K
TLC
1010
DELISTED
Taiwan Liposome Company, Ltd. American Depository Shares
TLC
– –
-6,233
Closed -$36K
SRNG
1011
DELISTED
Soaring Eagle Acquisition Corp. Class A Ordinary Share
SRNG
– –
-1,109,700
Closed -$11.1M
SRNGU
1012
DELISTED
Soaring Eagle Acquisition Corp. Unit
SRNGU
– –
-300
Closed -$3K
ACIC
1013
DELISTED
Atlas Crest Investment Corp.
ACIC
– –
-11,790
Closed -$117K
SOAC.U
1014
DELISTED
Sustainable Opportunities Acquisition Corp. Units, each consisting of one Class A ordinary share and
SOAC.U
– –
-145
Closed -$1K
PFPT
1015
DELISTED
Proofpoint, Inc.
PFPT
– –
-4,695
Closed -$815K
QTS
1016
DELISTED
QTS REALTY TRUST, INC.
QTS
– –
-10,000
Closed -$773K
TWCT
1017
DELISTED
TWC Tech Holdings II Corp. Class A Common Stock
TWCT
– –
-1,400
Closed -$13K
TWCTU
1018
DELISTED
TWC Tech Holdings II Corp. Unit
TWCTU
– –
-100
Closed -$1K
KIN
1019
DELISTED
Kindred Biosciences, Inc.
KIN
– –
-100
Closed –
EXFO
1020
DELISTED
EXFO INC.
EXFO
– –
-5,000
Closed -$29K
KSMT
1021
DELISTED
Kismet Acquisition One Corp Ordinary Shares
KSMT
– –
-40,000
Closed -$396K
SNPR.U
1022
DELISTED
Tortoise Acquisition Corp. II Units, each consisting of one Class A ordinary share and one-fourth of
SNPR.U
– –
-300
Closed -$3K
DFNS.U
1023
DELISTED
LGL Systems Acquisition Corp. Units
DFNS.U
– –
-49
Closed –
MXIM
1024
DELISTED
Maxim Integrated Products
MXIM
– –
-53,000
Closed -$5.58M
USCR
1025
DELISTED
U S Concrete, Inc.
USCR
– –
-4,000
Closed -$295K
39 40
41
42 43

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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.