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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
Morgan Stanley
1
Morgan Stanley
New York
$767M -$3.61M -60,014 -0.5%
Wells Fargo
2
Wells Fargo
California
$362M -$14.6M -243,203 -4%
Bank of America
3
Bank of America
North Carolina
$246M +$11.5M +191,178 +5%
UBS Group
4
UBS Group
Switzerland
$191M -$10.8M -180,215 -5%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$141M +$29.8M +496,381 +27%
LPL Financial
6
LPL Financial
California
$117M +$5.82M +96,732 +5%
RJFSA
7
Raymond James Financial Services Advisors
Florida
$81.8M -$14.6M -243,105 -15%
RJA
8
Raymond James & Associates
Florida
$75.1M +$2.49M +41,471 +3%
First Trust Advisors
9
First Trust Advisors
Illinois
$57.4M +$12.9M +214,596 +29%
UCFA
10
United Capital Financial Advisors
Texas
$56.7M +$2.78M +46,306 +5%
HighTower Advisors
11
HighTower Advisors
Illinois
$52.1M -$1.5M -24,868 -3%
PA
12
Planning Alternatives
Michigan
$49.6M -$20.9M -346,902 -30%
Cambridge Investment Research Advisors
13
Cambridge Investment Research Advisors
Iowa
$43.4M -$9.49M -157,817 -18%
SF
14
Synovus Financial
Georgia
$38.5M +$3.13M +52,132 +9%
LC
15
Lubar & Co
Wisconsin
$36.7M -$10M -167,092 -21%
Stifel Financial
16
Stifel Financial
Missouri
$32.4M +$1.63M +27,098 +5%
GIA
17
Gladstone Institutional Advisory
Florida
$30.3M +$2.79M +46,399 +10%
Baird Financial Group
18
Baird Financial Group
Wisconsin
$26M -$2.53M -42,163 -9%
Commonwealth Equity Services
19
Commonwealth Equity Services
Massachusetts
$25.1M +$1.22M +20,223 +5%
MAP
20
Milestone Advisory Partners
North Carolina
$24.6M +$2.52M +41,993 +11%
Envestnet Asset Management
21
Envestnet Asset Management
Illinois
$24.4M -$3.67M -61,049 -13%
HIS
22
Harvest Investment Services
Illinois
$24.4M -$18.7M -311,382 -43%
SFWA
23
Summit Financial Wealth Advisors
Louisiana
$24.4M -$3.46M -57,512 -12%
BCI
24
Brinker Capital Investments
Pennsylvania
$23.5M -$128K -2,130 -0.5%
FAAS
25
First Allied Advisory Services
California
$23.3M +$3.31M +55,090 +17%
1
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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.