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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
RMGB
1026
CALL
DELISTED
RMG Acquisition Corp. II Class A Ordinary Shares
RMGB
– –
-750
Closed -$7K
RMGB
1027
DELISTED
RMG Acquisition Corp. II Class A Ordinary Shares
RMGB
– –
-306,851
Closed -$3.05M
SAII
1028
DELISTED
Software Acquisition Group Inc. II Class A Common Stock
SAII
– –
-2,000
Closed -$19K
PDAC
1029
DELISTED
Peridot Acquisition Corp.
PDAC
– –
-17,200
Closed -$209K
RTP.U
1030
DELISTED
Reinvent Technology Partners Units, each consisting of one Class A ordinary share and one-fourth of
RTP.U
– –
-125
Closed -$1K
GRSV
1031
DELISTED
Gores Holdings V, Inc.
GRSV
– –
-2,800
Closed -$28K
GRSVU
1032
DELISTED
Gores Holdings V, Inc. Unit
GRSVU
– –
-700
Closed -$7K
RTPZ.U
1033
DELISTED
Reinvent Technology Partners Z Units, each consisting of one Class A ordinary share and one-fifth o
RTPZ.U
– –
-100
Closed -$1K
MIE
1034
DELISTED
COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC.
MIE
– –
-2,500
Closed -$10K
NEBC
1035
DELISTED
Nebula Caravel Acquisition Corp. Class A Common Stock
NEBC
– –
-25,000
Closed -$249K
TLND
1036
DELISTED
Talend S.A. American Depositary Shares
TLND
– –
-10,000
Closed -$656K
CAP.U
1037
DELISTED
Capitol Investment Corp. V Units, each consisting of one share of Class A common stock, and one-thir
CAP.U
– –
-100
Closed -$1K
HOME
1038
DELISTED
At Home Group Inc.
HOME
– –
-20,000
Closed -$736K
RAACU
1039
DELISTED
Revolution Acceleration Acquisition Corp Unit
RAACU
– –
-100
Closed -$1K
ALXN
1040
DELISTED
Alexion Pharmaceuticals
ALXN
– –
-48,439
Closed -$8.9M
WORK
1041
DELISTED
Slack Technologies, Inc.
WORK
– –
-114,384
Closed -$5.07M
WPF
1042
CALL
DELISTED
Foley Trasimene Acquisition Corp.
WPF
– –
-248
Closed -$2K
WPF
1043
PUT
DELISTED
Foley Trasimene Acquisition Corp.
WPF
– –
-248
Closed -$2K
GLO.RT
1044
DELISTED
Clough Global Opportunities Fund Rights (expiring June 22, 2021)
GLO.RT
– –
-2,500
Closed –
GLQ.RT
1045
DELISTED
Clough Global Equity Fund Rights (expiring June 22, 2021)
GLQ.RT
– –
-2,500
Closed –
GLV.RT
1046
DELISTED
Clough Global Dividend and Income Fund Rights (expiring June 22, 2021)
GLV.RT
– –
-2,500
Closed –
GRUB
1047
DELISTED
Just Eat Takeaway.com N.V. American Depositary Shares
GRUB
$0 ﹤0.01%
1
-55,005
-100% -$962K
LACQ
1048
DELISTED
Leisure Acquisition Corp.
LACQ
– –
-57,928
Closed -$839K
LTM
1049
DELISTED
LATAM Airlines Group S.A American Depositary Shares (Each representing 1 Common Share)
LTM
– –
-5,000
Closed -$12K
TTP
1050
DELISTED
TORTOISE PIPELINE & ENERGY FUND, INC.
TTP
$0 ﹤0.01%
1
– –
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.