FGB

First Trust Specialty Finance and Financial Opportunities Fund
FGB

Overview Fund Activity
Delisted

FGB was delisted on the 27th of June, 2025.

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19 hedge funds and large institutions have $11.7M invested in First Trust Specialty Finance and Financial Opportunities Fund in 2014 Q3 according to their latest regulatory filings, with 4 funds opening new positions, 6 increasing their positions, 5 reducing their positions, and 6 closing their positions.

Holders
19
Holders Change
-2
Holders Change %
-9.52%
% of All Funds
0.55%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
4
Increased
6
Reduced
5
Closed
6
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Wells Fargo
1
Wells Fargo
California
$4.2M
2
B
2
Baird
Wisconsin
$933K
3
LPL Financial
3
LPL Financial
California
$520K
4
Bank of America
4
Bank of America
North Carolina
$275K
5
Commonwealth Equity Services
5
Commonwealth Equity Services
Massachusetts
$575K

Top Sellers

1
AAM
1
Advisors Asset Management
Colorado
$2.08M
2
Morgan Stanley
2
Morgan Stanley
New York
$1.25M
3
WAM
3
Wolverine Asset Management
Illinois
$0
4
EML
4
Eos Management LP
New York
$0
5
SFS
5
Shaker Financial Services
Virginia
$0
Name Market Value Shares Shares
Change 		Shares
Change %
Wells Fargo
1
Wells Fargo
California
$4.2M 502,191 +131,195 +35%
AAM
2
Advisors Asset Management
Colorado
$2.08M 248,938 -211,220 -46%
Morgan Stanley
3
Morgan Stanley
New York
$1.25M 150,014 -54,961 -27%
AA
4
Apriem Advisors
California
$951K 113,756 -2,097 -2%
B
5
Baird
Wisconsin
$933K 111,606 +111,606 New
Commonwealth Equity Services
6
Commonwealth Equity Services
Massachusetts
$575K 68,764 +28,969 +73%
LPL Financial
7
LPL Financial
California
$520K 63,688 +48,152 +310%
Bank of America
8
Bank of America
North Carolina
$275K 32,922 +32,922 New
DA
9
Doliver Advisors
Texas
$176K 21,097 +21,097 New
Stifel Financial
10
Stifel Financial
Missouri
$129K 15,400 -776 -5%
AIG
11
American International Group
New York
$127K 15,150 +6,000 +66%
Royal Bank of Canada
12
Royal Bank of Canada
Ontario, Canada
$120K 14,300 – –
U
13
UBS
Switzerland
$104K 12,440 +5,605 +82%
VKH
14
Virtu KCG Holdings
New York
$86K 10,329 +10,329 New
BFEC
15
Benjamin F. Edwards & Company
Missouri
$64K 7,700 +2,000 +35%
WRM
16
Westport Resources Management
Connecticut
$50K 6,000 – –
Ameriprise
17
Ameriprise
Minnesota
$24K 2,883 – –
LTFS
18
Ladenburg Thalmann Financial Services
Florida
$5K 625 – –
WAM
19
Wolverine Asset Management
Illinois
– – -38,727 Closed
EML
20
Eos Management LP
New York
– – -33,737 Closed
SFS
21
Shaker Financial Services
Virginia
– – -22,997 Closed
CA
22
Cornerstone Advisors
North Carolina
– – -16,439 Closed
TJHA
23
Thomas J. Herzfeld Advisors
Florida
– – -1,797 Closed
TRCT
24
Tower Research Capital (TRC)
New York
$0 26 -214 -89%
Citigroup
25
Citigroup
New York
– – -11 Closed