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First Trust Enhanced Short Maturity ETF
FTSM

50 hedge funds and large institutions have $366M invested in First Trust Enhanced Short Maturity ETF in 2016 Q4 according to their latest regulatory filings, with 13 funds opening new positions, 19 increasing their positions, 10 reducing their positions, and 5 closing their positions.

New
Increased
Maintained
Reduced
Closed

160% more first-time investments, than exits

New positions opened: 13 | Existing positions closed: 5

90% more repeat investments, than reductions

Existing positions increased: 19 | Existing positions reduced: 10

67.78% more ownership

Funds ownership: 0% → 67.78% (+68%)

52% more capital invested

Capital invested by funds: $240M → $366M (+$126M)

19% more funds holding

Funds holding: 42 → 50 (+8)

50% less funds holding in top 10

Funds holding in top 10: 2 → 1 (-1)

Holders
50
Holders Change
+8
Holders Change %
+19.05%
% of All Funds
1.25%
Holding in Top 10
1
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-50%
% of All Funds
0.03%
New
13
Increased
19
Reduced
10
Closed
5
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Morgan Stanley
Morgan Stanley
New York
+$31M
2
UBS Group
UBS Group
Switzerland
+$22.4M
3
WI
WBI Investments
New Jersey
+$21.8M
4
Wells Fargo
Wells Fargo
California
+$18.6M
5
RJFSA
Raymond James Financial Services Advisors
Florida
+$12.1M

Top Sellers

1
MIAN
Mariner Independent Advisor Network
Kansas
-$4.8M
2
Citadel Advisors
Citadel Advisors
Florida
-$1.83M
3
Baird Financial Group
Baird Financial Group
Wisconsin
-$1.61M
4
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$635K
5
MFS
MSI Financial Services
Massachusetts
-$436K
Name Holding Trade Value Shares
Change 		Change in
Stake
NA
26
NewEdge Advisors
Louisiana
$638K +$635K +10,602 New
AG
27
Advisor Group
Arizona
$637K -$248K -4,144 -28%
PMG
28
ProVise Management Group
Florida
$588K -$196K -3,274 -25%
CAN
29
Cetera Advisor Networks
California
$584K +$86.9K +1,450 +18%
BWM
30
BerganKDV Wealth Management
Minnesota
$530K +$175K +2,927 +49%
Envestnet Asset Management
31
Envestnet Asset Management
Illinois
$515K +$120K +1,998 +30%
FHA
32
First Horizon Advisors
Tennessee
$510K – – –
MHS
33
M Holdings Securities
Oregon
$493K +$493K +8,225 New
SIM
34
SSI Investment Management
California
$480K – – –
JP Morgan Chase
35
JP Morgan Chase
New York
$422K +$422K +7,047 New
FAAS
36
First Allied Advisory Services
California
$379K -$31K -517 -8%
LI
37
LVZ Inc
Michigan
$368K +$31.7K +529 +9%
BTS
38
BB&T Securities
Virginia
$345K – – –
PFS
39
Prospera Financial Services
Texas
$323K -$144K -2,398 -31%
Commonwealth Equity Services
40
Commonwealth Equity Services
Massachusetts
$320K +$659 +11 +0.2%
BAS
41
Brown Advisory Securities
Maryland
$240K +$240K +4,000 New
PAG
42
Private Advisor Group
New Jersey
$231K +$231K +3,850 New
AWM
43
Avior Wealth Management
Nebraska
$60K +$60.1K +1,003 New
GWM
44
Geneos Wealth Management
Colorado
$34K +$34.8K +580 New
WA
45
WFG Advisors
Texas
$30K – – –
IA
46
IFP Advisors
Florida
$22K – – –
TRCT
47
Tower Research Capital (TRC)
New York
$5K +$4.14K +69 +431%
SFS
48
Sowell Financial Services
Arkansas
$3K +$2.88K +48 New
IWM
49
IHT Wealth Management
Illinois
$1K +$899 +15 New
MIAN
50
Mariner Independent Advisor Network
Kansas
– -$4.8M -80,154 Closed
1
2
3

FTSM Hedge Fund Activity: Q4 2016 in Review

50 of the 4,000 institutional investors tracked by Wall St. Rank reported a position in First Trust Enhanced Short Maturity ETF (FTSM) for Q4 2016, worth a combined $366M — up 52% from $240M a quarter earlier.

Buyers outnumbered sellers: 13 funds opened new FTSM positions and 5 closed out — a net gain of 8 holders — while 19 added to existing stakes and 10 trimmed.

The largest buyer was Morgan Stanley, adding an estimated $31M. The largest seller was Mariner Independent Advisor Network, exiting entirely with an estimated $4.8M sold.

  • 50 institutional investors held First Trust Enhanced Short Maturity ETF (FTSM) as of Q4 2016, up from 42 in Q3 2016.
  • Funds reported $366M of First Trust Enhanced Short Maturity ETF stock for Q4 2016, up 52% quarter-over-quarter.
  • 13 funds opened new First Trust Enhanced Short Maturity ETF positions in Q4 2016 and 5 closed out, a net change of +8 holders.
  • The largest First Trust Enhanced Short Maturity ETF buyer in Q4 2016 was Morgan Stanley, an estimated $31M added.
  • The largest First Trust Enhanced Short Maturity ETF seller in Q4 2016 was Mariner Independent Advisor Network, an estimated $4.8M sold.

Based on aggregated 13F filings for Q4 2016.