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Portfolio (Quarterly) Guide ↗

FNY Investment Advisers, LLC

· CIK 0001742998
13F Portfolio $229M AUM 840 positions Filed Apr 15, 2026 EDGAR ↗ ← All Funds
Q1 2026 Q4 2025 · All 326 New 153 Added 196 Reduced 479 Exited
Page 36 of 42  ·  838 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
701 GNRC GENERAC HOLDINGS ORD Industrials 10.0 $1K NEW $100.00 +147.8%
702 HWBK HAWTHORN BANCSHARES ORD Financial Services 30.0 $1K NEW $33.33 +5.3%
703 HTGC PUT HERCULES CAPITAL ORD (NYS) Financial Services 100.0 $1K NEW $10.00 +54.7%
704 HUN CALL HUNTSMAN ORD Basic Materials 150.0 $1K +123.0 +455.6% $6.67 +115.7%
705 IBB CALL ISHARES BIOTECHNOLOGY ETF (NMS) 10.0 $1K NEW $100.00 +69.1%
706 SLV CALL ISHARES SILVER TRUST ETF Financial Services 25.0 $1K $40.00 +73.6%
707 LE PUT LANDS END ORD Consumer Cyclical 125.0 $1K NEW $8.00 +44.6%
708 NFE NEW FORTRESS ENERGY CL A ORD Utilities 2,000.0 $1K $0.50 +19.9%
709 BLES INSPIRE GLOBAL HOPE ETF 30.0 $1K NEW $33.33 +42.5%
710 NMT NUVEEN MASACHUSET QLTY MNCPL INCM CF Financial Services 100.0 $1K NEW $10.00 +26.5%
711 NAZ NUVEEN ARIZONA QLTY MNCPL INCM CF Financial Services 100.0 $1K NEW $10.00 +27.6%
712 NUW NUVEEN AMT FREE MUNICIPAL CF Financial Services 100.0 $1K NEW $10.00 +38.7%
713 OPTT OCEAN POWER TECHNOLOGIES ORD Industrials 3,815.0 $1K NEW $0.26 +27.1%
714 OCUL OCULAR THERAPEUTIX ORD Healthcare 170.0 $1K NEW $5.88 +39.7%
715 OKTA CALL OKTA CL A ORD Technology 20.0 $1K -30.0 -60.0% $50.00 +78.9%
716 PCM PCM FUND CF Financial Services 300.0 $1K $3.33 +69.2%
717 PYPL CALL PAYPAL HOLDINGS ORD Financial Services 40.0 $1K NEW $25.00 +77.5%
718 PCQ PIMCO CALIFORNIA MUNICIPAL INCOME CF Financial Services 200.0 $1K $5.00 +72.0%
719 PNI PIMCO NEW YORK MUNICI INCOME II CF Financial Services 200.0 $1K $5.00 +39.2%
720 PROK PROKIDNEY CL A ORD Healthcare 1,000.0 $1K -58K -98.3% $1.00 +69.0%
Page 36 of 42  ·  838 positions

Period Price is the implied market price on the last day of the reporting period, calculated as reported value ÷ shares held. It is not the fund's purchase price or cost basis — the fund may have initiated or added to the position at any point during the quarter at a different price. Since Period shows the price change from that quarter-end snapshot to today's last price — it reflects stock movement after the report date, not the fund's actual return.

Sector Allocation
Technology 26.9%
Healthcare 15.9%
Financial Services 15.9%
Industrials 10.6%
Consumer Cyclical 9.2%
Basic Materials 6.1%
Consumer Defensive 5.9%
Communication Services 5.6%
Energy 3.0%
Real Estate 0.5%