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Principal Spectrum Preferred Securities Active ETF

33 hedge funds and large institutions have $69.9M invested in Principal Spectrum Preferred Securities Active ETF in 2019 Q4 according to their latest regulatory filings, with 10 funds opening new positions, 13 increasing their positions, 5 reducing their positions, and 0 closing their positions.

New
Increased
Maintained
Reduced
Closed

160% more repeat investments, than reductions

Existing positions increased: 13 | Existing positions reduced: 5

91.1% more ownership

Funds ownership: 607.74%698.84% (+91%)

38% more funds holding

Funds holding: 2433 (+9)

16% more capital invested

Capital invested by funds: $60M → $69.9M (+$9.85M)

Holders
33
Holders Change
+9
Holders Change %
+37.5%
% of All Funds
0.65%
Holding in Top 10
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
New
10
Increased
13
Reduced
5
Closed
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Principal Financial Group
1
Principal Financial Group
Iowa
$20M
Bank of America
2
Bank of America
North Carolina
$11.8M -$304K -15,130 -3%
RJA
3
Raymond James & Associates
Florida
$11.7M +$191K +9,540 +2%
Bank of New York Mellon
4
Bank of New York Mellon
New York
$6.56M +$688K +34,275 +12%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$3.78M +$483K +24,080 +15%
Jane Street
6
Jane Street
New York
$2.29M +$2.29M +113,905 New
UBS Group
7
UBS Group
Switzerland
$2.07M +$178K +8,860 +9%
DP
8
Dearborn Partners
Illinois
$1.39M +$366K +18,265 +36%
PAG
9
Private Advisor Group
New Jersey
$1.31M -$6.32K -315 -0.5%
PA
10
PSI Advisors
Florida
$1.1M +$1.09M +54,565 New
LPL Financial
11
LPL Financial
California
$1.07M +$656K +32,685 +159%
Janney Montgomery Scott
12
Janney Montgomery Scott
Pennsylvania
$840K +$40.4K +2,015 +5%
Baird Financial Group
13
Baird Financial Group
Wisconsin
$809K +$806K +40,165 New
Citadel Advisors
14
Citadel Advisors
Florida
$708K +$295K +14,695 +72%
NA
15
NewEdge Advisors
Louisiana
$696K +$46.9K +2,340 +7%
Cambridge Investment Research Advisors
16
Cambridge Investment Research Advisors
Iowa
$640K +$638K +31,810 New
Wells Fargo
17
Wells Fargo
California
$574K +$365K +18,195 +176%
DC
18
Davenport & Co
Virginia
$395K +$394K +19,640 New
TGAM
19
TBH Global Asset Management
Tennessee
$352K +$351K +17,500 New
Envestnet Asset Management
20
Envestnet Asset Management
Illinois
$309K +$308K +15,345 New
Commonwealth Equity Services
21
Commonwealth Equity Services
Massachusetts
$272K +$4.01K +200 +1%
Truist Financial
22
Truist Financial
North Carolina
$243K +$242K +12,075 New
RJFSA
23
Raymond James Financial Services Advisors
Florida
$222K +$221K +11,015 New
BEI
24
Benjamin Edwards Inc
Missouri
$159K +$4.71K +235 +3%
RIA
25
Realta Investment Advisors
Delaware
$142K -$14.5K -725 -9%

PREF Hedge Fund Activity: Q4 2019 in Review

33 of the 5,075 institutional investors tracked by Wall St. Rank reported a position in Principal Spectrum Preferred Securities Active ETF (PREF) for Q4 2019, worth a combined $69.9M — up 16% from $60M a quarter earlier.

Buyers outnumbered sellers: 10 funds opened new PREF positions and 0 closed out — a net gain of 10 holders — while 13 added to existing stakes and 5 trimmed.

The largest buyer was Jane Street, opening a new position worth an estimated $2.29M. The largest seller was Bank of America, cutting an estimated $304K.

  • 33 institutional investors held Principal Spectrum Preferred Securities Active ETF (PREF) as of Q4 2019, up from 24 in Q3 2019.
  • Funds reported $69.9M of Principal Spectrum Preferred Securities Active ETF stock for Q4 2019, up 16% quarter-over-quarter.
  • 10 funds opened new Principal Spectrum Preferred Securities Active ETF positions in Q4 2019 and 0 closed out, a net change of +10 holders.
  • The largest Principal Spectrum Preferred Securities Active ETF buyer in Q4 2019 was Jane Street, an estimated $2.29M added.
  • The largest Principal Spectrum Preferred Securities Active ETF seller in Q4 2019 was Bank of America, an estimated $304K sold.

Based on aggregated 13F filings for Q4 2019.