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Principal Spectrum Preferred Securities Active ETF

66 hedge funds and large institutions have $360M invested in Principal Spectrum Preferred Securities Active ETF in 2023 Q1 according to their latest regulatory filings, with 6 funds opening new positions, 30 increasing their positions, 21 reducing their positions, and 10 closing their positions.

New
Increased
Maintained
Reduced
Closed

43% more repeat investments, than reductions

Existing positions increased: 30 | Existing positions reduced: 21

22% more capital invested

Capital invested by funds: $295M → $360M (+$65.1M)

7.04% more ownership

Funds ownership: 66.1%73.15% (+7%)

7% less funds holding

Funds holding: 7166 (-5)

40% less first-time investments, than exits

New positions opened: 6 | Existing positions closed: 10

Holders
66
Holders Change
-5
Holders Change %
-7.04%
% of All Funds
1.05%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
% of All Funds
0.02%
New
6
Increased
30
Reduced
21
Closed
10
Calls
Puts
Net Calls
Net Calls Change
Name Holding Trade Value Shares
Change
Change in
Stake
UBS Group
1
UBS Group
Switzerland
$89.2M +$75.4M +4,329,973 +472%
Bank of America
2
Bank of America
North Carolina
$74.1M -$21.4M -1,227,313 -22%
Morgan Stanley
3
Morgan Stanley
New York
$40.6M +$7.78M +446,582 +23%
Wells Fargo
4
Wells Fargo
California
$22.1M +$6.8M +390,047 +43%
Baird Financial Group
5
Baird Financial Group
Wisconsin
$12.7M +$7.31M +419,705 +128%
Royal Bank of Canada
6
Royal Bank of Canada
Ontario, Canada
$11.9M +$5.5M +315,664 +82%
LPL Financial
7
LPL Financial
California
$9.73M +$3.11M +178,528 +45%
Bank of New York Mellon
8
Bank of New York Mellon
New York
$9.32M -$99.5K -5,710 -1%
RJFSA
9
Raymond James Financial Services Advisors
Florida
$8.66M +$5.08M +291,630 +134%
Envestnet Asset Management
10
Envestnet Asset Management
Illinois
$8.54M +$777K +44,566 +10%
GA
11
Goldstein Advisors
Wisconsin
$7.2M +$98K +5,626 +1%
Cerity Partners
12
Cerity Partners
New York
$4.61M -$5.89M -337,748 -55%
Stifel Financial
13
Stifel Financial
Missouri
$3.67M +$795K +45,626 +27%
BCI
14
Brinker Capital Investments
Pennsylvania
$3.64M +$528K +30,280 +16%
OPS
15
Orion Portfolio Solutions
Nebraska
$3.64M +$3.18M +182,549 +575%
WJA
16
Willis Johnson & Associates
Texas
$3.28M +$25.2K +1,449 +0.8%
Mariner
17
Mariner
Kansas
$2.83M +$234K +13,453 +9%
Truist Financial
18
Truist Financial
North Carolina
$2.6M -$728K -41,788 -21%
PA
19
PSI Advisors
Florida
$2.3M +$129K +7,407 +6%
NA
20
Nottingham Advisors
New York
$2.26M -$65.6K -3,763 -3%
IP
21
Investment Partners
Ohio
$2.16M
Osaic Holdings
22
Osaic Holdings
Arizona
$2.12M -$270K -15,497 -11%
CB
23
Community Bank
New York
$2.03M
DP
24
Dearborn Partners
Illinois
$2.01M -$12.1K -697 -0.6%
RJA
25
Raymond James & Associates
Florida
$1.98M -$1.21M -69,241 -37%

PREF Hedge Fund Activity: Q1 2023 in Review

66 of the 6,275 institutional investors tracked by Wall St. Rank reported a position in Principal Spectrum Preferred Securities Active ETF (PREF) for Q1 2023, worth a combined $360M — up 22% from $295M a quarter earlier.

Sellers outnumbered buyers: 10 funds closed out of PREF and 6 opened new positions — a net loss of 4 holders — while 21 trimmed existing stakes and 30 added.

The largest buyer was UBS Group, adding an estimated $75.4M. The largest seller was Bank of America, cutting an estimated $21.4M.

  • 66 institutional investors held Principal Spectrum Preferred Securities Active ETF (PREF) as of Q1 2023, down from 71 in Q4 2022.
  • Funds reported $360M of Principal Spectrum Preferred Securities Active ETF stock for Q1 2023, up 22% quarter-over-quarter.
  • 6 funds opened new Principal Spectrum Preferred Securities Active ETF positions in Q1 2023 and 10 closed out, a net change of -4 holders.
  • The largest Principal Spectrum Preferred Securities Active ETF buyer in Q1 2023 was UBS Group, an estimated $75.4M added.
  • The largest Principal Spectrum Preferred Securities Active ETF seller in Q1 2023 was Bank of America, an estimated $21.4M sold.

Based on aggregated 13F filings for Q1 2023.