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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 39 of 42  ·  838 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
761 FUSB FIRST US BANCSHARES ORD Financial Services 30.0
762 FIVN CALL FIVE9 ORD Technology 10.0 NEW
763 DNA CALL GINKGO BIOWORKS HOLD CL A ORD Healthcare 150.0 NEW
764 GRWG CALL GROWGENERATION ORD (NMS) Consumer Cyclical 35.0
765 IMMP CALL IMMUTEP ADS REP 10 ORD (NMS) Healthcare 62.0 -222.0 -78.2%
766 KTOS KRATOS DEFENSE AND SECURITY SOLS ORD Industrials 10.0 -2K -99.5%
767 LEVI CALL LEVI STRAUSS CL A ORD (NYS) Consumer Cyclical 10.0 NEW
768 MBI MBIA ORD Financial Services 150.0
769 MASI PUT MASIMO ORD (NMS) Healthcare 1.0 NEW
770 MOB MOBILICOM ORD Technology 190.0 +50.0 +35.7%
771 NEWT PUT NEWTEKONE ORD Financial Services 35.0 -11.0 -23.9%
772 NXDR NEXTDOOR HOLDINGS CL A ORD Communication Services 300.0
773 MASS 908 DEVICES ORD Healthcare 50.0
774 NG CALL NOVAGOLD RESOURCES ORD (ASE) Basic Materials 100.0 NEW
775 NVS PUT NOVARTIS ADR REPSG 1 ORD Healthcare 4.0 NEW
776 NIM NUVEEN SELECT MATURITY MUNICIPAL CF Financial Services 100.0 NEW
777 NMS NUVEEN MNESOTA QLTY MNCPL INCM CF Financial Services 50.0 NEW
778 JLS NUVEEN MORTGAGE AND INCOME CF Financial Services 50.0 NEW
779 JMM NUVEEN MULTI MARKET INCOME CF Financial Services 50.0 NEW
780 SMR CALL NUSCALE POWER CL A ORD (NYS) Utilities 15.0 NEW
Page 39 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%