Ladenburg Thalmann Financial Services’s Capital Southwest CSWC Stock Holding History

Ladenburg Thalmann Financial Services’s Portfolio CSWC Stock Details CSWC Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2019 Q4	$274K	Buy	13,204 +327	+3%	+$7.08K	﹤0.01%	2270
2019 Q3	$281K	Buy	12,877 +719	+6%	+$15.5K	﹤0.01%	2221
2019 Q2	$255K	Buy	12,158 +148	+1%	+$3.21K	﹤0.01%	2284
2019 Q1	$253K	Buy	12,010 +805	+7%	+$17.1K	﹤0.01%	2221
2018 Q4	$215K	Buy	11,205 +305	+3%	+$5.88K	﹤0.01%	2190
2018 Q3	$207K	Hold	10,900	–	–	﹤0.01%	2286
2018 Q2	$186K	Hold	10,900	–	–	﹤0.01%	2293
2018 Q1	$186K	Hold	10,900	–	–	﹤0.01%	2293
2017 Q4	$180K	Hold	10,900	–	–	﹤0.01%	2281
2017 Q3	$187K	Hold	10,900	–	–	﹤0.01%	2164
2017 Q2	$175K	Hold	10,900	–	–	﹤0.01%	2115
2017 Q1	$184K	Hold	10,900	–	–	﹤0.01%	1978
2016 Q4	$176K	Hold	10,900	–	–	﹤0.01%	1907
2016 Q3	$160K	Hold	10,900	–	–	﹤0.01%	1907
2016 Q2	$149K	Hold	10,900	–	–	﹤0.01%	1862
2016 Q1	$151K	Buy	10,900 +1,100	+11%	+$15.4K	﹤0.01%	1793
2015 Q4	$136K	Sell	9,800 -21,630	-69%	-$317K	﹤0.01%	1846
2015 Q3	$547K	Sell	31,430 -4,374	-12%	-$77K	0.01%	918
2015 Q2	$656K	Buy	35,804 +11	+0%	+$198	0.01%	924
2015 Q1	$610K	Sell	35,793 -1,599	-4%	-$26.7K	0.01%	931
2014 Q4	$520K	Buy	37,392 +8,449	+29%	+$115K	0.01%	901
2014 Q3	$380K	Sell	28,943 -2,214	-7%	-$30.2K	0.01%	915
2014 Q2	$412K	Hold	31,157	–	–	0.01%	848
2014 Q1	$397K	Buy	31,157 +7,524	+32%	+$95.6K	0.01%	818
2013 Q4	$303K	Hold	23,633	–	–	0.01%	878
2013 Q3	$297K	Hold	23,633	–	–	0.01%	851
2013 Q2	$299K	Buy	+23,633	New	+$278K	0.01%	811

Other funds holding CSWC

PAIM

Punch & Associates Investment Management Edina, Minnesota $1.73B AUM 27.65% 1-Year Est. Return

ZIG

Zuckerman Investment Group Chicago, Illinois $1.07B AUM 29.43% 1-Year Est. Return

SMH

Sanders Morris Harris Houston, Texas $172M AUM 22.54% 1-Year Est. Return

First Manhattan New York $36.1B AUM 11.5% 1-Year Est. Return

Millennium Management New York $240B AUM 35.51% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

MCP

Moab Capital Partners Southampton, New York $41M AUM 33.21% 1-Year Est. Return

Arrowstreet Capital Boston, Massachusetts $185B AUM 39.58% 1-Year Est. Return

VanEck Associates New York $133B AUM 72.99% 1-Year Est. Return

VEA

Virtus ETF Advisers New York $215M AUM 53.68% 1-Year Est. Return

Ladenburg Thalmann Financial Services's CSWC Position: Q4 2019 in Review

Ladenburg Thalmann Financial Services increased its Capital Southwest (CSWC) stake by 2.5% in Q4 2019, buying an estimated $7.08K and bringing the position to 13,204 shares worth $274K. The position accounts for ﹤0.01% of the portfolio, ranked #2270.

Ladenburg Thalmann Financial Services first reported a position in CSWC in Q2 2013 and has held it in 27 quarters since. The position peaked at $656K in Q2 2015. 80 funds tracked by Wall St. Rank hold CSWC as of Q4 2019.

Ladenburg Thalmann Financial Services held 13,204 shares of Capital Southwest worth $274K as of Q4 2019.
Ladenburg Thalmann Financial Services bought 327 Capital Southwest shares in Q4 2019, an estimated $7.08K.
Capital Southwest made up ﹤0.01% of Ladenburg Thalmann Financial Services's portfolio in Q4 2019, its #2270 holding.
Ladenburg Thalmann Financial Services first reported a position in Capital Southwest in Q2 2013 and has held it in 27 quarters since.
Ladenburg Thalmann Financial Services's Capital Southwest position peaked at $656K in Q2 2015.
80 funds tracked by Wall St. Rank held Capital Southwest as of Q4 2019.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q4 2019, filed 14 Feb 2020.