We are live on ! Find out more
PREF icon

Principal Spectrum Preferred Securities Active ETF

56 hedge funds and large institutions have $208M invested in Principal Spectrum Preferred Securities Active ETF in 2021 Q1 according to their latest regulatory filings, with 15 funds opening new positions, 27 increasing their positions, 11 reducing their positions, and 5 closing their positions.

New
Increased
Maintained
Reduced
Closed

200% more first-time investments, than exits

New positions opened: 15 | Existing positions closed: 5

145% more repeat investments, than reductions

Existing positions increased: 27 | Existing positions reduced: 11

32% more capital invested

Capital invested by funds: $157M → $208M (+$50.9M)

22% more funds holding

Funds holding: 4656 (+10)

3.06% more ownership

Funds ownership: 63.7%66.75% (+3.1%)

0% more funds holding in top 10

Funds holding in top 10: 22 (0)

Holders
56
Holders Change
+10
Holders Change %
+21.74%
% of All Funds
0.98%
Holding in Top 10
2
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
0.04%
New
15
Increased
27
Reduced
11
Closed
5
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
Bank of America
1
Bank of America
North Carolina
$36.8M +$3.2M +155,977 +9%
Morgan Stanley
2
Morgan Stanley
New York
$24.9M +$13.5M +654,894 +116%
CWG
3
Cornerstone Wealth Group
North Carolina
$22.7M -$999K -48,653 -4%
Wells Fargo
4
Wells Fargo
California
$13.6M +$5.45M +265,334 +66%
Royal Bank of Canada
5
Royal Bank of Canada
Ontario, Canada
$9.85M +$5.83M +284,051 +143%
UBS Group
6
UBS Group
Switzerland
$6.94M +$899K +43,763 +15%
RJFSA
7
Raymond James Financial Services Advisors
Florida
$6.77M +$1.39M +67,643 +26%
Osaic Holdings
8
Osaic Holdings
Arizona
$6.04M +$629K +30,628 +11%
LPL Financial
9
LPL Financial
California
$6.03M +$2.3M +111,770 +61%
Truist Financial
10
Truist Financial
North Carolina
$5.9M +$857K +41,717 +17%
NA
11
Nottingham Advisors
New York
$5.41M +$1.59M +77,484 +41%
CCM
12
Covington Capital Management
California
$4.92M +$4.95M +241,204 New
Bank of New York Mellon
13
Bank of New York Mellon
New York
$4.77M +$162K +7,895 +3%
ARG
14
Advisory Resource Group
Oklahoma
$4.57M +$237K +11,546 +5%
IWA
15
IBEX Wealth Advisors
New Jersey
$3.99M -$316K -15,398 -7%
CFA
16
Carroll Financial Associates
North Carolina
$3.91M +$973K +47,396 +33%
RJA
17
Raymond James & Associates
Florida
$3.84M +$431K +20,986 +13%
Baird Financial Group
18
Baird Financial Group
Wisconsin
$3.31M +$928K +45,184 +38%
BCI
19
Brinker Capital Investments
Pennsylvania
$2.61M +$2.63M +128,128 New
CB
20
Community Bank
New York
$2.46M
FIM
21
Freedom Investment Management
Connecticut
$2.33M +$2.35M +114,477 New
PA
22
PSI Advisors
Florida
$2.23M +$1.1M +53,369 +95%
Janney Montgomery Scott
23
Janney Montgomery Scott
Pennsylvania
$1.91M +$38.8K +1,890 +2%
NA
24
NewEdge Advisors
Louisiana
$1.84M +$390K +18,987 +27%
MIA
25
MainStreet Investment Advisors
Illinois
$1.7M +$1.72M +83,569 New

PREF Hedge Fund Activity: Q1 2021 in Review

56 of the 5,695 institutional investors tracked by Wall St. Rank reported a position in Principal Spectrum Preferred Securities Active ETF (PREF) for Q1 2021, worth a combined $208M — up 32% from $157M a quarter earlier.

Buyers outnumbered sellers: 15 funds opened new PREF positions and 5 closed out — a net gain of 10 holders — while 27 added to existing stakes and 11 trimmed.

The largest buyer was Morgan Stanley, adding an estimated $13.5M. The largest seller was Jane Street, cutting an estimated $1.03M.

  • 56 institutional investors held Principal Spectrum Preferred Securities Active ETF (PREF) as of Q1 2021, up from 46 in Q4 2020.
  • Funds reported $208M of Principal Spectrum Preferred Securities Active ETF stock for Q1 2021, up 32% quarter-over-quarter.
  • 15 funds opened new Principal Spectrum Preferred Securities Active ETF positions in Q1 2021 and 5 closed out, a net change of +10 holders.
  • The largest Principal Spectrum Preferred Securities Active ETF buyer in Q1 2021 was Morgan Stanley, an estimated $13.5M added.
  • The largest Principal Spectrum Preferred Securities Active ETF seller in Q1 2021 was Jane Street, an estimated $1.03M sold.

Based on aggregated 13F filings for Q1 2021.