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Capital Southwest
CSWC

136 hedge funds and large institutions have $244M invested in Capital Southwest in 2023 Q4 according to their latest regulatory filings, with 38 funds opening new positions, 48 increasing their positions, 29 reducing their positions, and 12 closing their positions.

New
Increased
Maintained
Reduced
Closed

217% more first-time investments, than exits

New positions opened: 38 | Existing positions closed: 12

72% more call options, than puts

Call options by funds: $3.83M | Put options by funds: $2.23M

66% more repeat investments, than reductions

Existing positions increased: 48 | Existing positions reduced: 29

24% more capital invested

Capital invested by funds: $196M → $244M (+$47.5M)

19% more funds holding

Funds holding: 114 → 136 (+22)

4.29% more ownership

Funds ownership: 21.44% → 25.73% (+4.3%)

50% less funds holding in top 10

Funds holding in top 10: 4 → 2 (-2)

Holders
136
Holders Change
+22
Holders Change %
+19.3%
% of All Funds
1.98%
Holding in Top 10
2
Holding in Top 10 Change
-2
Holding in Top 10 Change %
-50%
% of All Funds
0.03%
New
38
Increased
48
Reduced
29
Closed
12
Calls
$3.83M
Puts
$2.23M
Net Calls
+$1.6M
Net Calls Change
+$530K

Top Buyers

Rank Fund Capital Flow
1
BPA
Beacon Pointe Advisors
California
+$8.1M
2
Two Sigma Advisers
Two Sigma Advisers
New York
+$4.04M
3
Two Sigma Investments
Two Sigma Investments
New York
+$3.87M
4
Hudson Bay Capital Management
Hudson Bay Capital Management
Connecticut
+$2.92M
5
Millennium Management
Millennium Management
New York
+$2.2M

Top Sellers

Rank Fund Capital Flow
1
SMH
Sanders Morris Harris
Texas
-$15.3M
2
GA
GraniteShares Advisors
New York
-$1.95M
3
Invesco
Invesco
Georgia
-$1.3M
4
AR
Advisory Research
Illinois
-$749K
5
AAM
Advisors Asset Management
Colorado
-$711K
Name Holding Trade Value Shares
Change 		Change in
Stake
HF
76
HRT Financial
New York
$378K +$357K +15,989 New
Mariner
77
Mariner
Kansas
$375K +$77.5K +3,473 +28%
HKAM
78
Horizon Kinetics Asset Management
New York
$370K -$17.8K -800 -5%
US Bancorp
79
US Bancorp
Minnesota
$351K +$21.2K +951 +7%
AWS
80
Atria Wealth Solutions
New York
$324K -$32K -1,434 -9%
CA
81
Cetera Advisors
Colorado
$300K +$35.5K +1,592 +14%
VF
82
Virtu Financial
New York
$297K +$280K +12,547 New
Connor, Clark & Lunn Investment Management (CC&L)
83
Connor, Clark & Lunn Investment Management (CC&L)
British Columbia, Canada
$291K -$711K -31,889 -72%
Mirae Asset Global Investments
84
Mirae Asset Global Investments
South Korea
$278K – – –
GC
85
Guggenheim Capital
Illinois
$275K +$24.1K +1,079 +10%
Squarepoint
86
Squarepoint
New York
$273K +$257K +11,539 New
CWP
87
Core Wealth Partners
California
$273K – – –
Group One Trading
88
Group One Trading
Illinois
$270K +$207K +9,300 +449%
GLA
89
Good Life Advisors
Pennsylvania
$267K -$25.2K -1,130 -9%
Geode Capital Management
90
Geode Capital Management
Massachusetts
$267K – – –
Brown Advisory
91
Brown Advisory
Maryland
$254K – – –
CCIA
92
Campbell & Co Investment Adviser
Maryland
$248K +$233K +10,447 New
Creative Planning
93
Creative Planning
Kansas
$235K +$221K +9,895 New
PAG
94
Private Advisor Group
New Jersey
$234K +$220K +9,870 New
ECM
95
Evergreen Capital Management
Washington
$234K +$220K +9,866 New
AAS
96
Avantax Advisory Services
Texas
$224K +$211K +9,470 New
Focus Partners Wealth
97
Focus Partners Wealth
Massachusetts
$216K +$204K +9,129 New
PWS
98
Precision Wealth Strategies
Missouri
$204K +$192K +8,615 New
IA
99
Inspire Advisors
Idaho
$203K +$191K +8,560 New
MA
100
Mutual Advisors
Nebraska
$201K +$189K +8,471 New
2 3
4
5 6

CSWC Hedge Fund Activity: Q4 2023 in Review

136 of the 6,859 institutional investors tracked by Wall St. Rank reported a position in Capital Southwest (CSWC) for Q4 2023, worth a combined $244M — up 24% from $196M a quarter earlier.

Buyers outnumbered sellers: 38 funds opened new CSWC positions and 12 closed out — a net gain of 26 holders — while 48 added to existing stakes and 29 trimmed.

The largest buyer was Beacon Pointe Advisors, adding an estimated $8.1M. The largest seller was Sanders Morris Harris, exiting entirely with an estimated $15.3M sold.

  • 136 institutional investors held Capital Southwest (CSWC) as of Q4 2023, up from 114 in Q3 2023.
  • Funds reported $244M of Capital Southwest stock for Q4 2023, up 24% quarter-over-quarter.
  • 38 funds opened new Capital Southwest positions in Q4 2023 and 12 closed out, a net change of +26 holders.
  • The largest Capital Southwest buyer in Q4 2023 was Beacon Pointe Advisors, an estimated $8.1M added.
  • The largest Capital Southwest seller in Q4 2023 was Sanders Morris Harris, an estimated $15.3M sold.

Based on aggregated 13F filings for Q4 2023.