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Capital Southwest
CSWC

80 hedge funds and large institutions have $161M invested in Capital Southwest in 2019 Q4 according to their latest regulatory filings, with 21 funds opening new positions, 22 increasing their positions, 23 reducing their positions, and 8 closing their positions.

New
Increased
Maintained
Reduced
Closed

163% more first-time investments, than exits

New positions opened: 21 | Existing positions closed: 8

16% more funds holding

Funds holding: 69 → 80 (+11)

4% less repeat investments, than reductions

Existing positions increased: 22 | Existing positions reduced: 23

2.82% less ownership

Funds ownership: 45.87% → 43.05% (-2.8%)

9% less capital invested

Capital invested by funds: $177M → $161M (-$16.2M)

25% less funds holding in top 10

Funds holding in top 10: 4 → 3 (-1)

Holders
80
Holders Change
+11
Holders Change %
+15.94%
% of All Funds
1.58%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.06%
New
21
Increased
22
Reduced
23
Closed
8
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
VanEck Associates
VanEck Associates
New York
+$3.88M
2
Marshall Wace
Marshall Wace
United Kingdom
+$3.27M
3
Millennium Management
Millennium Management
New York
+$2.07M
4
SMH
Sanders Morris Harris
Texas
+$1.02M
5
VEA
Virtus ETF Advisers
New York
+$876K

Top Sellers

Rank Fund Capital Flow
1
MCP
Moab Capital Partners
New York
-$11M
2
PAIM
Punch & Associates Investment Management
Minnesota
-$4.95M
3
AI
Ariel Investments
Illinois
-$1.45M
4
OAM
Oxford Asset Management
United Kingdom
-$1.26M
5
NA
Navellier & Associates
Nevada
-$1.06M
Name Holding Trade Value Shares
Change 		Change in
Stake
ECM
51
ExodusPoint Capital Management
New York
$237K +$247K +11,400 New
Connor, Clark & Lunn Investment Management (CC&L)
52
Connor, Clark & Lunn Investment Management (CC&L)
British Columbia, Canada
$233K -$181K -8,375 -43%
AG
53
Advisor Group
Arizona
$225K +$19.5K +899 +9%
CAG
54
Csenge Advisory Group
Florida
$224K +$30.7K +1,420 +15%
Brown Advisory
55
Brown Advisory
Maryland
$223K – – –
RIG
56
Roosevelt Investment Group
New York
$208K +$217K +10,009 New
CSS
57
Cubist Systematic Strategies
Connecticut
$204K +$212K +9,786 New
CF
58
Centaurus Financial
California
$166K +$172K +7,965 New
Canada Life
59
Canada Life
Manitoba, Canada
$111K +$116K +5,365 New
Nisa Investment Advisors
60
Nisa Investment Advisors
Missouri
$96K +$99.5K +4,600 New
JP Morgan Chase
61
JP Morgan Chase
New York
$93K -$994K -45,949 -91%
ACM
62
Allred Capital Management
Texas
$62.4K +$64.9K +3,000 New
TRCT
63
Tower Research Capital (TRC)
New York
$43K +$1.99K +92 +5%
VCM
64
Vigilant Capital Management
Maine
$42K +$43.3K +2,000 New
VFA
65
Valeo Financial Advisors
Indiana
$36K +$2.1K +97 +6%
APA
66
American Portfolios Advisors
New York
$24.6K – – –
Northwestern Mutual Wealth Management
67
Northwestern Mutual Wealth Management
Wisconsin
$21K – – –
PFGIA
68
Patriot Financial Group Insurance Agency
Massachusetts
$19K +$8.65K +400 +80%
VRM
69
Vectors Research Management
New York
$10K – – –
SIS
70
Sound Income Strategies
Florida
$9K +$9.22K +426 New
TFA
71
Toth Financial Advisory
Virginia
$6K – – –
GAM
72
Gemmer Asset Management
California
$5K +$5.41K +250 New
LPWM
73
Lake Point Wealth Management
Texas
$2K +$2.16K +100 New
Deutsche Bank
74
Deutsche Bank
Germany
$2K +$2.51K +116 New
BFEC
75
Benjamin F. Edwards & Company
Missouri
$1K – – –
1 2
3
4

CSWC Hedge Fund Activity: Q4 2019 in Review

80 of the 5,075 institutional investors tracked by Wall St. Rank reported a position in Capital Southwest (CSWC) for Q4 2019, worth a combined $161M — down 9.1% from $177M a quarter earlier.

Buyers outnumbered sellers: 21 funds opened new CSWC positions and 8 closed out — a net gain of 13 holders — while 22 added to existing stakes and 23 trimmed.

The largest buyer was VanEck Associates, opening a new position worth an estimated $3.88M. The largest seller was Moab Capital Partners, cutting an estimated $11M.

  • 80 institutional investors held Capital Southwest (CSWC) as of Q4 2019, up from 69 in Q3 2019.
  • Funds reported $161M of Capital Southwest stock for Q4 2019, down 9.1% quarter-over-quarter.
  • 21 funds opened new Capital Southwest positions in Q4 2019 and 8 closed out, a net change of +13 holders.
  • The largest Capital Southwest buyer in Q4 2019 was VanEck Associates, an estimated $3.88M added.
  • The largest Capital Southwest seller in Q4 2019 was Moab Capital Partners, an estimated $11M sold.

Based on aggregated 13F filings for Q4 2019.