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Capital Southwest

101 hedge funds and large institutions have $145M invested in Capital Southwest in 2023 Q1 according to their latest regulatory filings, with 15 funds opening new positions, 38 increasing their positions, 22 reducing their positions, and 16 closing their positions.

New
Increased
Maintained
Reduced
Closed

73% more repeat investments, than reductions

Existing positions increased: 38 | Existing positions reduced: 22

0% more funds holding in top 10

Funds holding in top 10: 11 (0)

1% less funds holding

Funds holding: 102101 (-1)

6% less first-time investments, than exits

New positions opened: 15 | Existing positions closed: 16

4.61% less ownership

Funds ownership: 28.26%23.65% (-4.6%)

6% less capital invested

Capital invested by funds: $154M → $145M (-$9.74M)

48% less call options, than puts

Call options by funds: $1.4M | Put options by funds: $2.71M

Holders
101
Holders Change
-1
Holders Change %
-0.98%
% of All Funds
1.61%
Holding in Top 10
1
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
0.02%
New
15
Increased
38
Reduced
22
Closed
16
Calls
$1.4M
Puts
$2.71M
Net Calls
-$1.31M
Net Calls Change
-$891K
Name Holding Trade Value Shares
Change
Change in
Stake
PAIM
1
Punch & Associates Investment Management
Minnesota
$15.1M +$1.9M +103,390 +14%
SMH
2
Sanders Morris Harris
Texas
$12.9M +$95.3K +5,175 +0.7%
ZIG
3
Zuckerman Investment Group
Illinois
$11.7M +$461K +25,056 +4%
Invesco
4
Invesco
Georgia
$10.1M -$58.4K -3,173 -0.6%
VanEck Associates
5
VanEck Associates
New York
$8.93M +$1.16M +62,981 +14%
SIS
6
Sound Income Strategies
Florida
$8.77M +$481K +26,159 +6%
First Manhattan
7
First Manhattan
New York
$7.14M -$277K -15,033 -4%
Millennium Management
8
Millennium Management
New York
$6.26M -$9.63M -523,398 -60%
Two Sigma Advisers
9
Two Sigma Advisers
New York
$4.54M -$2.6M -141,300 -36%
Legal & General Group
10
Legal & General Group
United Kingdom
$3.91M +$696K +37,839 +21%
TA
11
Tectonic Advisors
Texas
$3.45M +$817K +44,411 +30%
AAM
12
Advisors Asset Management
Colorado
$3.42M +$188K +10,202 +6%
GWI
13
Grace & White Inc
New York
$3.16M
BlackRock
14
BlackRock
New York
$3.15M -$584K -31,728 -15%
HWAM
15
Hennion & Walsh Asset Management
New Jersey
$2.75M +$285K +15,499 +11%
MCM
16
McKinley Capital Management
Alaska
$2.04M +$13.3K +723 +0.6%
LPL Financial
17
LPL Financial
California
$2.04M +$189K +10,292 +10%
Two Sigma Investments
18
Two Sigma Investments
New York
$2M -$3.42M -185,992 -62%
MCM
19
Moerus Capital Management
New York
$1.89M
RJA
20
Raymond James & Associates
Florida
$1.77M -$1.31M -71,283 -42%
GG
21
Golden Green
South Carolina
$1.75M +$1.81M +98,413 New
CIM
22
Confluence Investment Management
Missouri
$1.7M -$314K -17,054 -15%
Ameriprise
23
Ameriprise
Minnesota
$1.52M +$46.5K +2,525 +3%
Royal Bank of Canada
24
Royal Bank of Canada
Ontario, Canada
$1.52M -$51.5K -2,800 -3%
GA
25
GraniteShares Advisors
New York
$1.47M +$867K +47,101 +132%

CSWC Hedge Fund Activity: Q1 2023 in Review

101 of the 6,275 institutional investors tracked by Wall St. Rank reported a position in Capital Southwest (CSWC) for Q1 2023, worth a combined $145M — down 6.3% from $154M a quarter earlier.

Sellers outnumbered buyers: 16 funds closed out of CSWC and 15 opened new positions — a net loss of 1 holder — while 22 trimmed existing stakes and 38 added.

The largest buyer was Punch & Associates Investment Management, adding an estimated $1.9M. The largest seller was Millennium Management, cutting an estimated $9.63M.

  • 101 institutional investors held Capital Southwest (CSWC) as of Q1 2023, down from 102 in Q4 2022.
  • Funds reported $145M of Capital Southwest stock for Q1 2023, down 6.3% quarter-over-quarter.
  • 15 funds opened new Capital Southwest positions in Q1 2023 and 16 closed out, a net change of -1 holder.
  • The largest Capital Southwest buyer in Q1 2023 was Punch & Associates Investment Management, an estimated $1.9M added.
  • The largest Capital Southwest seller in Q1 2023 was Millennium Management, an estimated $9.63M sold.

Based on aggregated 13F filings for Q1 2023.