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First Trust Smith Opportunistic Fixed Income ETF
FIXD

132 hedge funds and large institutions have $843M invested in First Trust Smith Opportunistic Fixed Income ETF in 2019 Q4 according to their latest regulatory filings, with 35 funds opening new positions, 73 increasing their positions, 14 reducing their positions, and 6 closing their positions.

New
Increased
Maintained
Reduced
Closed

483% more first-time investments, than exits

New positions opened: 35 | Existing positions closed: 6

421% more repeat investments, than reductions

Existing positions increased: 73 | Existing positions reduced: 14

41% more capital invested

Capital invested by funds: $599M → $843M (+$245M)

33% more funds holding in top 10

Funds holding in top 10: 6 → 8 (+2)

25% more funds holding

Funds holding: 106 → 132 (+26)

2.33% more ownership

Funds ownership: 66.08% → 68.41% (+2.3%)

Holders
132
Holders Change
+26
Holders Change %
+24.53%
% of All Funds
2.6%
Holding in Top 10
8
Holding in Top 10 Change
+2
Holding in Top 10 Change %
+33.33%
% of All Funds
0.16%
New
35
Increased
73
Reduced
14
Closed
6
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Morgan Stanley
Morgan Stanley
New York
+$27.9M
2
Wells Fargo
Wells Fargo
California
+$21.4M
3
BWL
Bogart Wealth LLC
Virginia
+$20.7M
4
Envestnet Asset Management
Envestnet Asset Management
Illinois
+$14.6M
5
UBS Group
UBS Group
Switzerland
+$12.2M

Top Sellers

Rank Fund Capital Flow
1
Bank of America
Bank of America
North Carolina
-$5.21M
2
Jane Street
Jane Street
New York
-$1.9M
3
HI
Horizon Investments
North Carolina
-$964K
4
KA
Kovack Advisors
Florida
-$290K
5
RCG
Ruggie Capital Group
Florida
-$237K
Name Holding Trade Value Shares
Change 		Change in
Stake
AWM
26
AE Wealth Management
Kansas
$8.89M +$6.17M +117,886 +220%
SS
27
Simplicity Solutions
Minnesota
$8.72M +$6.52M +124,566 +285%
BCP
28
Blackhawk Capital Partners
Wisconsin
$8.08M – – –
QA
29
Quantitative Advantage
Minnesota
$7.4M +$604K +11,529 +9%
Commonwealth Equity Services
30
Commonwealth Equity Services
Massachusetts
$7.11M +$2.06M +39,349 +40%
PAG
31
Private Advisor Group
New Jersey
$7.07M +$4.93M +94,046 +222%
CAS
32
Cascadia Advisory Services
Oregon
$6.49M +$6.56M +125,230 New
Truist Financial
33
Truist Financial
North Carolina
$6.21M +$6.28M +119,804 New
IAA
34
Independent Advisor Alliance
North Carolina
$5.62M +$5.68M +108,361 New
FAIM
35
Financial Advocates Investment Management
Washington
$4.58M +$186K +3,550 +4%
Qube Research & Technologies (QRT)
36
Qube Research & Technologies (QRT)
United Kingdom
$4.51M +$4.56M +86,988 New
BFG
37
Barber Financial Group
Kansas
$4.4M -$169K -3,229 -4%
MML Investors Services
38
MML Investors Services
Massachusetts
$4.05M +$24.4K +466 +0.6%
WCFA
39
Walkner Condon Financial Advisors
Wisconsin
$3.63M +$3.67M +70,049 New
AAS
40
Avantax Advisory Services
Texas
$3.6M +$3.4M +64,940 +1,410%
CAAS
41
Capital Asset Advisory Services
Michigan
$3.59M +$3.57M +68,228 New
Stifel Financial
42
Stifel Financial
Missouri
$3.5M -$60.2K -1,150 -2%
FAAS
43
First Allied Advisory Services
California
$3.31M +$607K +11,582 +22%
IA
44
IFP Advisors
Florida
$3.03M +$1.4M +26,741 +84%
CAN
45
Cetera Advisor Networks
California
$3.01M +$2.05M +39,126 +206%
LA
46
LexAurum Advisors
Kansas
$2.92M +$590K +11,255 +25%
Cambridge Investment Research Advisors
47
Cambridge Investment Research Advisors
Iowa
$2.73M +$574K +10,952 +26%
CS
48
Credit Suisse
Switzerland
$2.66M +$2.69M +51,386 New
BAM
49
Belpointe Asset Management
Nevada
$2.48M +$890K +17,000 +55%
AIC
50
Ameritas Investment Company
Nebraska
$2.46M +$2.49M +47,442 New
1
2
3 4 5

FIXD Hedge Fund Activity: Q4 2019 in Review

132 of the 5,075 institutional investors tracked by Wall St. Rank reported a position in First Trust Smith Opportunistic Fixed Income ETF (FIXD) for Q4 2019, worth a combined $843M — up 41% from $599M a quarter earlier.

Buyers outnumbered sellers: 35 funds opened new FIXD positions and 6 closed out — a net gain of 29 holders — while 73 added to existing stakes and 14 trimmed.

The largest buyer was Morgan Stanley, adding an estimated $27.9M. The largest seller was Bank of America, cutting an estimated $5.21M.

  • 132 institutional investors held First Trust Smith Opportunistic Fixed Income ETF (FIXD) as of Q4 2019, up from 106 in Q3 2019.
  • Funds reported $843M of First Trust Smith Opportunistic Fixed Income ETF stock for Q4 2019, up 41% quarter-over-quarter.
  • 35 funds opened new First Trust Smith Opportunistic Fixed Income ETF positions in Q4 2019 and 6 closed out, a net change of +29 holders.
  • The largest First Trust Smith Opportunistic Fixed Income ETF buyer in Q4 2019 was Morgan Stanley, an estimated $27.9M added.
  • The largest First Trust Smith Opportunistic Fixed Income ETF seller in Q4 2019 was Bank of America, an estimated $5.21M sold.

Based on aggregated 13F filings for Q4 2019.