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First Trust Enhanced Short Maturity ETF
FTSM

253 hedge funds and large institutions have $3.25B invested in First Trust Enhanced Short Maturity ETF in 2019 Q4 according to their latest regulatory filings, with 56 funds opening new positions, 94 increasing their positions, 83 reducing their positions, and 19 closing their positions.

New
Increased
Maintained
Reduced
Closed

195% more first-time investments, than exits

New positions opened: 56 | Existing positions closed: 19

16% more funds holding

Funds holding: 218 → 253 (+35)

13% more repeat investments, than reductions

Existing positions increased: 94 | Existing positions reduced: 83

4% more funds holding in top 10

Funds holding in top 10: 25 → 26 (+1)

2% more capital invested

Capital invested by funds: $3.19B → $3.25B (+$52.9M)

0.38% more ownership

Funds ownership: 65.55% → 65.93% (+0.38%)

Holders
253
Holders Change
+35
Holders Change %
+16.06%
% of All Funds
4.99%
Holding in Top 10
26
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+4%
% of All Funds
0.51%
New
56
Increased
94
Reduced
83
Closed
19
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Royal Bank of Canada
Royal Bank of Canada
Ontario, Canada
+$29.8M
2
Truist Financial
Truist Financial
North Carolina
+$21.2M
3
VCM
Vivaldi Capital Management
Illinois
+$19.3M
4
First Trust Advisors
First Trust Advisors
Illinois
+$12.9M
5
IF
IRON Financial
Illinois
+$11.7M

Top Sellers

1
PA
Planning Alternatives
Michigan
-$20.9M
2
FEG
Financial Enhancement Group
Indiana
-$20.5M
3
HIS
Harvest Investment Services
Illinois
-$18.7M
4
Wells Fargo
Wells Fargo
California
-$14.6M
5
RJFSA
Raymond James Financial Services Advisors
Florida
-$14.6M
Name Holding Trade Value Shares
Change 		Change in
Stake
MMHP
176
Murphy Middleton Hinkle & Parker
Georgia
$570K – – –
SIG
177
Sargent Investment Group
Maryland
$550K – – –
LA
178
LexAurum Advisors
Kansas
$550K +$325K +5,408 +144%
LCM
179
Logan Capital Management
Pennsylvania
$547K – – –
CRWM
180
Castle Rock Wealth Management
California
$541K +$45.1K +750 +9%
FWM
181
Fairhaven Wealth Management
Illinois
$531K +$130K +2,164 +32%
RAM
182
Redmond Asset Management
Virginia
$530K – – –
FFG
183
Ford Financial Group
California
$475K -$108K -1,799 -19%
Goldman Sachs
184
Goldman Sachs
New York
$442K +$442K +7,357 New
UCMOK
185
United Capital Management of KS
Kansas
$439K -$175K -2,912 -29%
AW
186
ACG Wealth
Georgia
$437K +$57.8K +961 +15%
WP
187
WealthShield Partners
North Carolina
$426K -$111K -1,846 -21%
AP
188
Americana Partners
Texas
$424K +$425K +7,061 New
SSWM
189
Sheets Smith Wealth Management
North Carolina
$403K -$150K -2,500 -27%
AA
190
AlphaMark Advisors
Kentucky
$396K +$5.41K +90 +1%
AWA
191
Acorn Wealth Advisors
Michigan
$384K +$120 +2 +0%
BWA
192
Beam Wealth Advisors
Louisiana
$383K +$383K +6,370 New
TC
193
TownSquare Capital
Utah
$370K +$25.1K +418 +7%
NFG
194
Next Financial Group
Texas
$366K +$125K +2,073 +52%
UR
195
USCA RIA
Texas
$365K -$1.47M -24,397 -80%
SWA
196
Stratos Wealth Advisors
Ohio
$354K +$354K +5,884 New
PFA
197
Pinnacle Family Advisors
Missouri
$350K -$263K -4,376 -43%
TCM
198
TD Capital Management
Tennessee
$338K -$408K -6,786 -55%
AWM
199
Aries Wealth Management
Maine
$337K +$48.1K +800 +17%
BAS
200
Brown Advisory Securities
Maryland
$325K +$326K +5,416 New
6 7
8
9 10

FTSM Hedge Fund Activity: Q4 2019 in Review

253 of the 5,075 institutional investors tracked by Wall St. Rank reported a position in First Trust Enhanced Short Maturity ETF (FTSM) for Q4 2019, worth a combined $3.25B — up 1.7% from $3.19B a quarter earlier.

Buyers outnumbered sellers: 56 funds opened new FTSM positions and 19 closed out — a net gain of 37 holders — while 94 added to existing stakes and 83 trimmed.

The largest buyer was Royal Bank of Canada, adding an estimated $29.8M. The largest seller was Planning Alternatives, cutting an estimated $20.9M.

  • 253 institutional investors held First Trust Enhanced Short Maturity ETF (FTSM) as of Q4 2019, up from 218 in Q3 2019.
  • Funds reported $3.25B of First Trust Enhanced Short Maturity ETF stock for Q4 2019, up 1.7% quarter-over-quarter.
  • 56 funds opened new First Trust Enhanced Short Maturity ETF positions in Q4 2019 and 19 closed out, a net change of +37 holders.
  • The largest First Trust Enhanced Short Maturity ETF buyer in Q4 2019 was Royal Bank of Canada, an estimated $29.8M added.
  • The largest First Trust Enhanced Short Maturity ETF seller in Q4 2019 was Planning Alternatives, an estimated $20.9M sold.

Based on aggregated 13F filings for Q4 2019.