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First Trust Global Wind Energy ETF
FAN

33 hedge funds and large institutions have $44.7M invested in First Trust Global Wind Energy ETF in 2014 Q3 according to their latest regulatory filings, with 4 funds opening new positions, 13 increasing their positions, 8 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed

63% more repeat investments, than reductions

Existing positions increased: 13 | Existing positions reduced: 8

1.8% less ownership

Funds ownership: 53.77% → 51.98% (-1.8%)

18% less funds holding

Funds holding: 40 → 33 (-7)

34% less capital invested

Capital invested by funds: $67.4M → $44.7M (-$22.7M)

56% less first-time investments, than exits

New positions opened: 4 | Existing positions closed: 9

Holders
33
Holders Change
-7
Holders Change %
-17.5%
% of All Funds
0.96%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
4
Increased
13
Reduced
8
Closed
9
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
U
UBS
Switzerland
+$1.5M
2
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
+$901K
3
JP Morgan Chase
JP Morgan Chase
New York
+$821K
4
Wells Fargo
Wells Fargo
California
+$765K
5
M&T Bank
M&T Bank
New York
+$240K

Top Sellers

Rank Fund Capital Flow
1
Bank of America
Bank of America
North Carolina
-$7.71M
2
Morgan Stanley
Morgan Stanley
New York
-$4.64M
3
RJA
Raymond James & Associates
Florida
-$1.39M
4
Envestnet Asset Management
Envestnet Asset Management
Illinois
-$1.12M
5
LPL Financial
LPL Financial
California
-$1.08M
Name Holding Trade Value Shares
Change 		Change in
Stake
LTFS
26
Ladenburg Thalmann Financial Services
Florida
$16K – – –
Citigroup
27
Citigroup
New York
$9K – – –
AWM
28
Avior Wealth Management
Nebraska
$8K – – –
AA
29
Apriem Advisors
California
$3K – – –
AIG
30
American International Group
New York
$2.09K – – –
OCM
31
One Capital Management
California
$2K +$2.49K +200 New
NES
32
New England Securities
New York
$1K -$996 -80 -40%
Envestnet Asset Management
33
Envestnet Asset Management
Illinois
– -$1.12M -84,072 Closed
NCM
34
Niemann Capital Management
Nevada
– -$943K -70,676 Closed
UCFA
35
United Capital Financial Advisors
Texas
– -$749K -56,143 Closed
CIBC World Market
36
CIBC World Market
Ontario, Canada
– -$219K -16,434 Closed
Verition Fund Management
37
Verition Fund Management
Connecticut
– -$199K -14,889 Closed
SC
38
Sumit Capital
New York
– -$148K -11,090 Closed
VKH
39
Virtu KCG Holdings
New York
– -$136K -10,177 Closed
BRWA
40
B. Riley Wealth Advisors
Florida
– -$26.8K -2,008 Closed
PAS
41
Partnervest Advisory Services
California
– -$3K -250 Closed
1
2

FAN Hedge Fund Activity: Q3 2014 in Review

33 of the 3,446 institutional investors tracked by Wall St. Rank reported a position in First Trust Global Wind Energy ETF (FAN) for Q3 2014, worth a combined $44.7M — down 34% from $67.4M a quarter earlier.

Sellers outnumbered buyers: 9 funds closed out of FAN and 4 opened new positions — a net loss of 5 holders — while 8 trimmed existing stakes and 13 added.

The largest buyer was UBS, adding an estimated $1.5M. The largest seller was Bank of America, cutting an estimated $7.71M.

  • 33 institutional investors held First Trust Global Wind Energy ETF (FAN) as of Q3 2014, down from 40 in Q2 2014.
  • Funds reported $44.7M of First Trust Global Wind Energy ETF stock for Q3 2014, down 34% quarter-over-quarter.
  • 4 funds opened new First Trust Global Wind Energy ETF positions in Q3 2014 and 9 closed out, a net change of -5 holders.
  • The largest First Trust Global Wind Energy ETF buyer in Q3 2014 was UBS, an estimated $1.5M added.
  • The largest First Trust Global Wind Energy ETF seller in Q3 2014 was Bank of America, an estimated $7.71M sold.

Based on aggregated 13F filings for Q3 2014.