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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
LAB icon
201
Standard BioTools
LAB
$309M
$118K 0.05%
18,025
+2,000
+12% +$13.2K
CVIIU
202
DELISTED
Churchill Capital Corp VII Units
CVIIU
$118K 0.05%
12,000
+1,100
+10% +$10.9K
ENPC
203
DELISTED
Executive Network Partnering Corporation
ENPC
$118K 0.05%
12,100
– –
SBEV icon
204
Splash Beverage Group
SBEV
$2.44M
$117K 0.05%
368
-285
-44% -$129K
JRO
205
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
$117K 0.05%
11,817
-18,183
-61% -$178K
WDI
206
Western Asset Diversified Income Fund
WDI
$686M
$115K 0.05%
+6,000
New +$120K
REKR icon
207
Rekor Systems
REKR
$95.9M
$114K 0.05%
+10,000
New +$90.8K
ETWO
208
DELISTED
E2open Parent Holdings
ETWO
$113K 0.05%
+10,000
New +$112K
DLY
209
DoubleLine Yield Opportunities Fund
DLY
$689M
$112K 0.05%
5,871
+1,871
+47% +$36.9K
UBER icon
210
Uber
UBER
$154B
$112K 0.05%
2,500
+2,450
+4,900% +$107K
DLCAU
211
DELISTED
Deep Lake Capital Acquisition Corp. Unit
DLCAU
$111K 0.05%
11,100
– –
SONY icon
212
Sony
SONY
$137B
$110K 0.05%
5,000
-12,000
-71% -$251K
PKO
213
DELISTED
Pimco Income Opportunity Fund
PKO
$110K 0.05%
+4,500
New +$117K
HYT icon
214
BlackRock Corporate High Yield Fund
HYT
$1.37B
$109K 0.05%
+9,000
New +$112K
XXII
215
22nd Century Group
XXII
$1.56M
– –
0
– –
IVH
216
DELISTED
Delaware Ivy High Income Opportunities Fund
IVH
$109K 0.05%
8,000
+270
+3% +$3.77K
BGB
217
Blackstone Strategic Credit 2027 Term Fund
BGB
$505M
$108K 0.05%
7,800
-1,200
-13% -$16.7K
OXLC
218
Oxford Lane Capital
OXLC
$925M
$108K 0.05%
3,000
+1,000
+50% +$36.3K
DSL
219
DoubleLine Income Solutions Fund
DSL
$1.23B
$106K 0.05%
6,000
+3,000
+100% +$53.7K
CORZ
220
DELISTED
Core Scientific, Inc. Common Stock
CORZ
$105K 0.05%
+10,402
New +$105K
GB
221
DELISTED
Global Blue Group Holding
GB
$104K 0.05%
10,500
+10,100
+2,525% +$77.6K
HPS
222
John Hancock Preferred Income Fund III
HPS
$463M
$104K 0.05%
5,600
+3,100
+124% +$59.4K
ENSC icon
223
Ensysce Biosciences
ENSC
$6.02M
$103K 0.05%
+9
New +$176K
JRS icon
224
Nuveen Real Estate Income Fund
JRS
$244M
$103K 0.05%
9,770
+4,770
+95% +$53.9K
PDX
225
PIMCO Dynamic Income Strategy Fund
PDX
$973M
$103K 0.05%
8,500
-1,500
-15% -$17.5K
7 8
9
10 11

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CC
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BCH
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CCC
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NCM
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RFA
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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.