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Principal Spectrum Preferred Securities Active ETF

24 hedge funds and large institutions have $60M invested in Principal Spectrum Preferred Securities Active ETF in 2019 Q3 according to their latest regulatory filings, with 2 funds opening new positions, 11 increasing their positions, 5 reducing their positions, and 1 closing their positions.

New
Increased
Maintained
Reduced
Closed

120% more repeat investments, than reductions

Existing positions increased: 11 | Existing positions reduced: 5

102.42% more ownership

Funds ownership: 505.32%607.74% (+102%)

100% more first-time investments, than exits

New positions opened: 2 | Existing positions closed: 1

23% more capital invested

Capital invested by funds: $48.8M → $60M (+$11.3M)

4% more funds holding

Funds holding: 2324 (+1)

Holders
24
Holders Change
+1
Holders Change %
+4.35%
% of All Funds
0.53%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
2
Increased
11
Reduced
5
Closed
1
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Principal Financial Group
1
Principal Financial Group
Iowa
$19.8M
Bank of America
2
Bank of America
North Carolina
$12M +$7.07M +359,735 +148%
RJA
3
Raymond James & Associates
Florida
$11.4M +$1.52M +77,360 +16%
Bank of New York Mellon
4
Bank of New York Mellon
New York
$5.8M +$1.4M +71,085 +32%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$3.26M -$241K -12,275 -7%
UBS Group
6
UBS Group
Switzerland
$1.87M +$204K +10,385 +12%
PAG
7
Private Advisor Group
New Jersey
$1.3M -$12.9K -655 -1%
DP
8
Dearborn Partners
Illinois
$1.01M +$454K +23,135 +85%
Janney Montgomery Scott
9
Janney Montgomery Scott
Pennsylvania
$791K +$57.3K +2,915 +8%
NA
10
NewEdge Advisors
Louisiana
$642K +$32.3K +1,645 +5%
LPL Financial
11
LPL Financial
California
$408K +$66.1K +3,365 +20%
Citadel Advisors
12
Citadel Advisors
Florida
$407K +$402K +20,465 New
Commonwealth Equity Services
13
Commonwealth Equity Services
Massachusetts
$265K -$281K -14,305 -52%
BTS
14
BB&T Securities
Virginia
$234K -$7.17K -365 -3%
Wells Fargo
15
Wells Fargo
California
$205K +$185K +9,440 +1,079%
RIA
16
Realta Investment Advisors
Delaware
$155K -$52.3K -2,665 -25%
BEI
17
Benjamin Edwards Inc
Missouri
$153K +$16.4K +835 +12%
Carson Wealth (CWM LLC)
18
Carson Wealth (CWM LLC)
Nebraska
$121K
CFA
19
Carroll Financial Associates
North Carolina
$108K
GRP
20
Global Retirement Partners
California
$60K +$58.9K +3,000 New
AG
21
Advisor Group
Arizona
$38K +$28.8K +1,465 +337%
PFGIA
22
Patriot Financial Group Insurance Agency
Massachusetts
$13K
Morgan Stanley
23
Morgan Stanley
New York
$10K
BFEC
24
Benjamin F. Edwards & Company
Missouri
$6K
Jane Street
25
Jane Street
New York
-$827K -42,465 Closed

PREF Hedge Fund Activity: Q3 2019 in Review

24 of the 4,560 institutional investors tracked by Wall St. Rank reported a position in Principal Spectrum Preferred Securities Active ETF (PREF) for Q3 2019, worth a combined $60M — up 23% from $48.8M a quarter earlier.

Buyers outnumbered sellers: 2 funds opened new PREF positions and 1 closed out — a net gain of 1 holder — while 11 added to existing stakes and 5 trimmed.

The largest buyer was Bank of America, adding an estimated $7.07M. The largest seller was Jane Street, exiting entirely with an estimated $827K sold.

  • 24 institutional investors held Principal Spectrum Preferred Securities Active ETF (PREF) as of Q3 2019, up from 23 in Q2 2019.
  • Funds reported $60M of Principal Spectrum Preferred Securities Active ETF stock for Q3 2019, up 23% quarter-over-quarter.
  • 2 funds opened new Principal Spectrum Preferred Securities Active ETF positions in Q3 2019 and 1 closed out, a net change of +1 holder.
  • The largest Principal Spectrum Preferred Securities Active ETF buyer in Q3 2019 was Bank of America, an estimated $7.07M added.
  • The largest Principal Spectrum Preferred Securities Active ETF seller in Q3 2019 was Jane Street, an estimated $827K sold.

Based on aggregated 13F filings for Q3 2019.