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Capital Southwest
CSWC

69 hedge funds and large institutions have $177M invested in Capital Southwest in 2019 Q3 according to their latest regulatory filings, with 10 funds opening new positions, 19 increasing their positions, 22 reducing their positions, and 6 closing their positions.

New
Increased
Maintained
Reduced
Closed

67% more first-time investments, than exits

New positions opened: 10 | Existing positions closed: 6

5% more funds holding

Funds holding: 66 → 69 (+3)

0% more funds holding in top 10

Funds holding in top 10: 4 → 4 (0)

1% less capital invested

Capital invested by funds: $179M → $177M (-$2.47M)

3.08% less ownership

Funds ownership: 48.94% → 45.87% (-3.1%)

14% less repeat investments, than reductions

Existing positions increased: 19 | Existing positions reduced: 22

Holders
69
Holders Change
+3
Holders Change %
+4.55%
% of All Funds
1.51%
Holding in Top 10
4
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.09%
New
10
Increased
19
Reduced
22
Closed
6
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Millennium Management
Millennium Management
New York
+$2.59M
2
Creative Planning
Creative Planning
Kansas
+$2.38M
3
Two Sigma Investments
Two Sigma Investments
New York
+$1.01M
4
Two Sigma Advisers
Two Sigma Advisers
New York
+$541K
5
OAM
Oxford Asset Management
United Kingdom
+$434K

Top Sellers

Rank Fund Capital Flow
1
AI
Ariel Investments
Illinois
-$8.05M
2
ZIG
Zuckerman Investment Group
Illinois
-$3.35M
3
MCP
Moab Capital Partners
New York
-$3.13M
4
AG
Advisor Group
Arizona
-$1.47M
5
SMH
Sanders Morris Harris
Texas
-$495K
Name Holding Trade Value Shares
Change 		Change in
Stake
JP Morgan Chase
26
JP Morgan Chase
New York
$1.1M +$25K +1,159 +2%
Russell Investments Group
27
Russell Investments Group
United Kingdom
$1.07M -$260K -12,074 -20%
Two Sigma Investments
28
Two Sigma Investments
New York
$1.02M +$1.01M +46,898 New
Two Sigma Advisers
29
Two Sigma Advisers
New York
$972K +$541K +25,100 +129%
Northern Trust
30
Northern Trust
Illinois
$917K -$219K -10,175 -19%
Citadel Advisors
31
Citadel Advisors
Florida
$774K +$6.23K +289 +0.8%
Morgan Stanley
32
Morgan Stanley
New York
$694K -$260K -12,041 -27%
Susquehanna International Group
33
Susquehanna International Group
Pennsylvania
$607K -$61.9K -2,870 -9%
Wells Fargo
34
Wells Fargo
California
$569K -$315K -14,616 -36%
Cambridge Investment Research Advisors
35
Cambridge Investment Research Advisors
Iowa
$554K -$43.1K -1,997 -7%
Squarepoint
36
Squarepoint
New York
$514K +$123K +5,687 +32%
Connor, Clark & Lunn Investment Management (CC&L)
37
Connor, Clark & Lunn Investment Management (CC&L)
British Columbia, Canada
$426K -$9.17K -425 -2%
WS
38
Wedbush Securities
California
$410K – – –
HKAM
39
Horizon Kinetics Asset Management
New York
$408K – – –
DGHMC
40
Dalton, Greiner, Hartman, Maher & Co
New York
$405K +$401K +18,600 New
BA
41
Bard Associates
Illinois
$395K -$27K -1,250 -6%
CG
42
Colony Group
Massachusetts
$390K +$144K +6,654 +59%
BAM
43
Belpointe Asset Management
Nevada
$383K +$379K +17,580 New
WGA
44
Weather Gauge Advisory
Virginia
$357K -$17.8K -825 -5%
GIM
45
Greenwich Investment Management
Connecticut
$304K -$39.4K -1,825 -12%
STMM
46
South Texas Money Management
Texas
$294K +$291K +13,485 New
LTFS
47
Ladenburg Thalmann Financial Services
Florida
$281K +$15.5K +719 +6%
Geode Capital Management
48
Geode Capital Management
Massachusetts
$252K – – –
NEPWA
49
New England Private Wealth Advisors
Massachusetts
$240K – – –
Brown Advisory
50
Brown Advisory
Maryland
$233K – – –
1
2
3

CSWC Hedge Fund Activity: Q3 2019 in Review

69 of the 4,560 institutional investors tracked by Wall St. Rank reported a position in Capital Southwest (CSWC) for Q3 2019, worth a combined $177M — down 1.4% from $179M a quarter earlier.

Buyers outnumbered sellers: 10 funds opened new CSWC positions and 6 closed out — a net gain of 4 holders — while 19 added to existing stakes and 22 trimmed.

The largest buyer was Millennium Management, adding an estimated $2.59M. The largest seller was Ariel Investments, cutting an estimated $8.05M.

  • 69 institutional investors held Capital Southwest (CSWC) as of Q3 2019, up from 66 in Q2 2019.
  • Funds reported $177M of Capital Southwest stock for Q3 2019, down 1.4% quarter-over-quarter.
  • 10 funds opened new Capital Southwest positions in Q3 2019 and 6 closed out, a net change of +4 holders.
  • The largest Capital Southwest buyer in Q3 2019 was Millennium Management, an estimated $2.59M added.
  • The largest Capital Southwest seller in Q3 2019 was Ariel Investments, an estimated $8.05M sold.

Based on aggregated 13F filings for Q3 2019.