LPL Financial
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LPL Financial’s PhenixFIN PFX Stock Holding History

LPL Financial’s Portfolio PFX Stock Details PFX Fund Activity
Bought
Maintained
Sold
Quarter Market Value Status Shares Change in
Stake 		Trade Value Portfolio Weight Portfolio Position
2020
Q3 		– Sell
-2,313
Closed -$35K – 3606
2020
Q2 		$35K Sell
2,313
-28
-1% -$362 ﹤0.01% 3378
2020
Q1 		$27K Sell
2,341
-450
-16% -$15.2K ﹤0.01% 3129
2019
Q4 		$122K Sell
2,791
-3,770
-57% -$166K ﹤0.01% 3201
2019
Q3 		$340K Sell
6,561
-612
-9% -$31.7K ﹤0.01% 2573
2019
Q2 		$336K Sell
7,173
-175
-2% -$10.2K ﹤0.01% 2608
2019
Q1 		$457K Sell
7,348
-1,579
-18% -$98.8K ﹤0.01% 2296
2018
Q4 		$475K Sell
8,927
-89
-1% -$6.27K ﹤0.01% 2079
2018
Q3 		$689K Buy
9,016
+5,194
+136% +$383K ﹤0.01% 1969
2018
Q2 		$265K Sell
3,822
-184
-5% -$14K ﹤0.01% 2764
2018
Q1 		$319K Buy
4,006
+965
+32% +$88.4K ﹤0.01% 2555
2017
Q4 		$317K Sell
3,041
-172
-5% -$19.6K ﹤0.01% 2445
2017
Q3 		$384K Sell
3,213
-511
-14% -$63.4K ﹤0.01% 2152
2017
Q2 		$476K Sell
3,724
-115
-3% -$15.6K ﹤0.01% 1922
2017
Q1 		$588K Sell
3,839
-69
-2% -$10.5K ﹤0.01% 1659
2016
Q4 		$601K Buy
3,908
+199
+5% +$30.4K ﹤0.01% 1579
2016
Q3 		$565K Buy
3,709
+334
+10% +$49.5K 0.01% 1599
2016
Q2 		$481K Sell
3,375
-3,500
-51% -$464K ﹤0.01% 1712
2016
Q1 		$902K Sell
6,875
-975
-12% -$125K ﹤0.01% 1751
2015
Q4 		$1.19M Buy
7,850
+2,094
+36% +$319K ﹤0.01% 1545
2015
Q3 		$894K Sell
5,756
-2,727
-32% -$464K ﹤0.01% 1318
2015
Q2 		$1.53M Buy
8,483
+1,266
+18% +$233K 0.01% 1077
2015
Q1 		$1.29M Buy
7,217
+57
+0.8% +$10.6K 0.01% 1185
2014
Q4 		$1.32M Buy
7,160
+2,696
+60% +$585K 0.01% 1117
2014
Q3 		$1.04M Buy
4,464
+250
+6% +$64K 0.01% 1245
2014
Q2 		$1.1M Buy
4,214
+2,113
+101% +$542K 0.01% 1253
2014
Q1 		$572K Buy
2,101
+930
+79% +$260K ﹤0.01% 1641
2013
Q4 		$324K Buy
1,171
+296
+34% +$82.7K ﹤0.01% 2059
2013
Q3 		$238K Buy
875
+81
+10% +$22.5K ﹤0.01% 2192
2013
Q2 		$216K Buy
+794
New +$232K ﹤0.01% 2149

Other funds holding PFX

FIG
Fortress Investment Group New York $394M AUM 22.99% 1-Year Est. Return
AFG
American Financial Group Cincinnati, Ohio $270M AUM 3.25% 1-Year Est. Return
FM
Fondren Management Houston, Texas $16.9M AUM 5.82% 1-Year Est. Return
Morgan Stanley
Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return
CIM
Confluence Investment Management St. Louis, Missouri $6.4B AUM 9.79% 1-Year Est. Return
Legal & General Group
Legal & General Group London, United Kingdom $432B AUM 29.4% 1-Year Est. Return
GIM
Greenwich Investment Management Norwalk, Connecticut $109M AUM 9.72% 1-Year Est. Return
Osaic Holdings
Osaic Holdings Scottsdale, Arizona $68.3B AUM 20.5% 1-Year Est. Return
RG
Retirement Group San Diego, California $279M AUM 22.21% 1-Year Est. Return
BCV
Banque Cantonale Vaudoise Lausanne, Switzerland $2.66B AUM 26.89% 1-Year Est. Return

LPL Financial's PFX Position: Q3 2020 in Review

LPL Financial sold out of PhenixFIN (PFX) in Q3 2020, closing a stake of 2,313 shares — an estimated $35K sold.

LPL Financial first reported a position in PFX in Q2 2013 and held it in 29 quarters. The position peaked at $1.53M in Q2 2015. 21 funds tracked by Wall St. Rank hold PFX as of Q3 2020.

  • LPL Financial reported no remaining PhenixFIN position as of Q3 2020 after selling out during the quarter.
  • LPL Financial sold 2,313 PhenixFIN shares in Q3 2020, an estimated $35K.
  • LPL Financial first reported a position in PhenixFIN in Q2 2013 and held it in 29 quarters.
  • LPL Financial's PhenixFIN position peaked at $1.53M in Q2 2015.
  • 21 funds tracked by Wall St. Rank held PhenixFIN as of Q3 2020.

Based on LPL Financial's 13F filing for Q3 2020, filed 9 Nov 2020.