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Capital Southwest
CSWC

48 hedge funds and large institutions have $170M invested in Capital Southwest in 2018 Q3 according to their latest regulatory filings, with 9 funds opening new positions, 10 increasing their positions, 17 reducing their positions, and 4 closing their positions.

New
Increased
Maintained
Reduced
Closed

125% more first-time investments, than exits

New positions opened: 9 | Existing positions closed: 4

12% more funds holding

Funds holding: 43 → 48 (+5)

3% more capital invested

Capital invested by funds: $165M → $170M (+$4.42M)

0% more funds holding in top 10

Funds holding in top 10: 3 → 3 (0)

1.76% less ownership

Funds ownership: 56.45% → 54.69% (-1.8%)

41% less repeat investments, than reductions

Existing positions increased: 10 | Existing positions reduced: 17

Holders
48
Holders Change
+5
Holders Change %
+11.63%
% of All Funds
1.1%
Holding in Top 10
3
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.07%
New
9
Increased
10
Reduced
17
Closed
4
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
RJA
Raymond James & Associates
Florida
+$1.36M
2
SMH
Sanders Morris Harris
Texas
+$1.11M
3
KCM
Kennedy Capital Management
Missouri
+$1.02M
4
ZIG
Zuckerman Investment Group
Illinois
+$932K
5
AR
Advisory Research
Illinois
+$901K

Top Sellers

Rank Fund Capital Flow
1
MCP
Moab Capital Partners
New York
-$5.72M
2
PAIM
Punch & Associates Investment Management
Minnesota
-$2.71M
3
Northern Trust
Northern Trust
Illinois
-$990K
4
AI
Ariel Investments
Illinois
-$340K
5
BRWA
B. Riley Wealth Advisors
Florida
-$274K
Name Holding Trade Value Shares
Change 		Change in
Stake
WS
26
Wedbush Securities
California
$364K -$32.1K -1,712 -8%
CSC
27
Cove Street Capital
California
$323K – – –
GIM
28
Greenwich Investment Management
Connecticut
$311K – – –
AM
29
Ares Management
California
$285K +$282K +15,000 New
AG
30
Advisor Group
Arizona
$228K +$225K +12,008 New
Geode Capital Management
31
Geode Capital Management
Massachusetts
$219K – – –
NEPWA
32
New England Private Wealth Advisors
Massachusetts
$209K – – –
LTFS
33
Ladenburg Thalmann Financial Services
Florida
$207K – – –
Brown Advisory
34
Brown Advisory
Maryland
$203K -$74.1K -3,948 -27%
SBH
35
Segall Bryant & Hamill
Illinois
$202K – – –
Millennium Management
36
Millennium Management
New York
$195K -$19.3K -1,027 -9%
Morgan Stanley
37
Morgan Stanley
New York
$132K +$3.66K +195 +3%
JP Morgan Chase
38
JP Morgan Chase
New York
$86K +$59.3K +3,156 +225%
Royal Bank of Canada
39
Royal Bank of Canada
Ontario, Canada
$65K -$43.8K -2,333 -41%
Northwestern Mutual Wealth Management
40
Northwestern Mutual Wealth Management
Wisconsin
$19K – – –
OSNBOA
41
Old Second National Bank of Aurora
Illinois
$9K – – –
Macquarie Group
42
Macquarie Group
Australia
$6K -$11.3K -600 -67%
TRCT
43
Tower Research Capital (TRC)
New York
$5K -$7.7K -410 -63%
Bank of America
44
Bank of America
North Carolina
$2K +$376 +20 +20%
S
45
SignatureFD
Georgia
$1K +$545 +29 New
CF
46
Centaurus Financial
California
$171 -$169K -8,977 -100%
Tudor Investment Corp
47
Tudor Investment Corp
Connecticut
– -$186K -10,252 Closed
Manulife (Manufacturers Life Insurance)
48
Manulife (Manufacturers Life Insurance)
Ontario, Canada
– -$9K -508 Closed
PAM
49
Panagora Asset Management
Massachusetts
– -$5K -277 Closed
FIA
50
FNY Investment Advisers
New York
– -$1K -90 Closed
1
2
3

CSWC Hedge Fund Activity: Q3 2018 in Review

48 of the 4,374 institutional investors tracked by Wall St. Rank reported a position in Capital Southwest (CSWC) for Q3 2018, worth a combined $170M — up 2.7% from $165M a quarter earlier.

Buyers outnumbered sellers: 9 funds opened new CSWC positions and 4 closed out — a net gain of 5 holders — while 10 added to existing stakes and 17 trimmed.

The largest buyer was Raymond James & Associates, adding an estimated $1.36M. The largest seller was Moab Capital Partners, cutting an estimated $5.72M.

  • 48 institutional investors held Capital Southwest (CSWC) as of Q3 2018, up from 43 in Q2 2018.
  • Funds reported $170M of Capital Southwest stock for Q3 2018, up 2.7% quarter-over-quarter.
  • 9 funds opened new Capital Southwest positions in Q3 2018 and 4 closed out, a net change of +5 holders.
  • The largest Capital Southwest buyer in Q3 2018 was Raymond James & Associates, an estimated $1.36M added.
  • The largest Capital Southwest seller in Q3 2018 was Moab Capital Partners, an estimated $5.72M sold.

Based on aggregated 13F filings for Q3 2018.