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First Trust Ultra Short Duration Municipal ETF
FUMB

46 hedge funds and large institutions have $95.2M invested in First Trust Ultra Short Duration Municipal ETF in 2021 Q3 according to their latest regulatory filings, with 11 funds opening new positions, 19 increasing their positions, 10 reducing their positions, and 5 closing their positions.

New
Increased
Maintained
Reduced
Closed

120% more first-time investments, than exits

New positions opened: 11 | Existing positions closed: 5

90% more repeat investments, than reductions

Existing positions increased: 19 | Existing positions reduced: 10

15% more funds holding

Funds holding: 40 → 46 (+6)

11% more capital invested

Capital invested by funds: $85.8M → $95.2M (+$9.42M)

0% more funds holding in top 10

Funds holding in top 10: 1 → 1 (0)

1.62% less ownership

Funds ownership: 55.55% → 53.93% (-1.6%)

Holders
46
Holders Change
+6
Holders Change %
+15%
% of All Funds
0.81%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.02%
New
11
Increased
19
Reduced
10
Closed
5
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
TJHA
Thomas J. Herzfeld Advisors
Florida
+$1.59M
2
Citadel Advisors
Citadel Advisors
Florida
+$1.59M
3
LPL Financial
LPL Financial
California
+$1.55M
4
Morgan Stanley
Morgan Stanley
New York
+$1.25M
5
SMG
Spectrum Management Group
Indiana
+$1.25M

Top Sellers

Rank Fund Capital Flow
1
HighTower Advisors
HighTower Advisors
Illinois
-$2.24M
2
LA
LexAurum Advisors
Kansas
-$714K
3
WCFA
Walkner Condon Financial Advisors
Wisconsin
-$634K
4
Envestnet Asset Management
Envestnet Asset Management
Illinois
-$554K
5
AFP
Ausdal Financial Partners
Iowa
-$238K
Name Holding Trade Value Shares
Change 		Change in
Stake
FAIM
26
Financial Advocates Investment Management
Washington
$584K +$125K +6,189 +27%
MSFS
27
Main Street Financial Solutions
Pennsylvania
$581K – – –
KWM
28
Kingsview Wealth Management
Oregon
$519K +$520K +25,750 New
BFG
29
Barber Financial Group
Kansas
$434K -$22.1K -1,095 -5%
JCM
30
Jacobi Capital Management
Pennsylvania
$427K +$15.4K +761 +4%
SWA
31
Stratos Wealth Advisors
Ohio
$348K -$104K -5,169 -23%
PIA
32
Perennial Investment Advisors
California
$334K +$335K +16,608 New
KIG
33
Kowal Investment Group
Wisconsin
$331K -$19.8K -982 -6%
BCA
34
Bay Colony Advisors
Massachusetts
$317K +$317K +15,711 New
MFS
35
McNamara Financial Services
Massachusetts
$279K – – –
LNC
36
Lincoln National Corp
Pennsylvania
$241K +$241K +11,927 New
QWM
37
Quaker Wealth Management
New Jersey
$217K +$217K +10,750 New
AFP
38
Ausdal Financial Partners
Iowa
$211K -$238K -11,780 -53%
MAG
39
MRA Advisory Group
New Jersey
$208K +$208K +10,314 New
BFEC
40
Benjamin F. Edwards & Company
Missouri
$131K -$50.2K -2,488 -28%
HI
41
Harbour Investments
Wisconsin
$81K +$15K +744 +23%
VRM
42
Vectors Research Management
New York
$74K +$787 +39 +1%
IA
43
IFP Advisors
Florida
$30K – – –
PFGIA
44
Patriot Financial Group Insurance Agency
Massachusetts
$17K -$11.8K -587 -40%
UBS Group
45
UBS Group
Switzerland
$16K +$15.6K +772 New
LA
46
LexAurum Advisors
Kansas
– -$714K -35,393 Closed
WCFA
47
Walkner Condon Financial Advisors
Wisconsin
– -$634K -31,453 Closed
T
48
TRUADVICE
Florida
– -$218K -10,815 Closed
SB
49
Strategic Blueprint
Georgia
– -$50K -2,499 Closed
1
2

FUMB Hedge Fund Activity: Q3 2021 in Review

46 of the 5,712 institutional investors tracked by Wall St. Rank reported a position in First Trust Ultra Short Duration Municipal ETF (FUMB) for Q3 2021, worth a combined $95.2M — up 11% from $85.8M a quarter earlier.

Buyers outnumbered sellers: 11 funds opened new FUMB positions and 5 closed out — a net gain of 6 holders — while 19 added to existing stakes and 10 trimmed.

The largest buyer was Thomas J. Herzfeld Advisors, opening a new position worth an estimated $1.59M. The largest seller was HighTower Advisors, cutting an estimated $2.24M.

  • 46 institutional investors held First Trust Ultra Short Duration Municipal ETF (FUMB) as of Q3 2021, up from 40 in Q2 2021.
  • Funds reported $95.2M of First Trust Ultra Short Duration Municipal ETF stock for Q3 2021, up 11% quarter-over-quarter.
  • 11 funds opened new First Trust Ultra Short Duration Municipal ETF positions in Q3 2021 and 5 closed out, a net change of +6 holders.
  • The largest First Trust Ultra Short Duration Municipal ETF buyer in Q3 2021 was Thomas J. Herzfeld Advisors, an estimated $1.59M added.
  • The largest First Trust Ultra Short Duration Municipal ETF seller in Q3 2021 was HighTower Advisors, an estimated $2.24M sold.

Based on aggregated 13F filings for Q3 2021.