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Prospect Capital
PSEC

Overview Fund Activity

221 hedge funds and large institutions have $350M invested in Prospect Capital in 2019 Q4 according to their latest regulatory filings, with 39 funds opening new positions, 77 increasing their positions, 64 reducing their positions, and 24 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
221
Holders Change
+14
Holders Change %
+6.76%
% of All Funds
4.36%
Holding in Top 10
3
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-25%
% of All Funds
0.06%
New
39
Increased
77
Reduced
64
Closed
24
Calls
$1.95M
Puts
$17M
Net Calls
-$15.1M
Net Calls Change
+$1.3M

Top Buyers

1
IAA
1
Independent Advisor Alliance
North Carolina
$10.9M
2
Arrowstreet Capital
2
Arrowstreet Capital
Massachusetts
$36.3M
3
Man Group
3
Man Group
United Kingdom
$12.4M
4
Invesco
4
Invesco
Georgia
$11.8M
5
Two Sigma Investments
5
Two Sigma Investments
New York
$12.8M

Top Sellers

1
Allianz Asset Management
1
Allianz Asset Management
Germany
$3.42M
2
Morgan Stanley
2
Morgan Stanley
New York
$5.68M
3
Deutsche Bank
3
Deutsche Bank
Germany
$20K
4
UBS Group
4
UBS Group
Switzerland
$14M
5
Susquehanna International Group
5
Susquehanna International Group
Pennsylvania
$5.7M
Name Holding Trade Value Shares
Change 		Shares
Change %
Lido Advisors
101
Lido Advisors
California
$245K +$30.4K +4,666 +14%
AG
102
Aperio Group
California
$244K -$54.9K -8,527 -18%
KCM
103
Kathmere Capital Management
Pennsylvania
$234K +$234K +36,339 New
SCA
104
Sage Capital Advisors
South Dakota
$233K +$20.5K +3,184 +10%
AAS
105
Avantax Advisory Services
Texas
$222K +$13.9K +2,171 +7%
DADC
106
D.A. Davidson & Co
Montana
$220K -$16.9K -2,622 -7%
CIBC World Market
107
CIBC World Market
Ontario, Canada
$216K -$105K -16,330 -33%
PFS
108
Prospera Financial Services
Texas
$215K -$626 -97 -0.3%
CAN
109
Cetera Advisor Networks
California
$207K -$196K -30,656 -49%
AI
110
Atria Investments
North Carolina
$196K -$5.34K -828 -3%
RFN
111
RDA Financial Network
Iowa
$187K -$20.8K -3,158 -10%
OFS
112
OneAscent Financial Services
Alabama
$187K +$187K +28,977 New
GWM
113
Geneos Wealth Management
Colorado
$186K -$52.8K -8,145 -22%
TH
114
Timber Hill
Connecticut
$180K -$148K -23,000 -45%
SS
115
Sunbelt Securities
Texas
$173K +$2.14K +332 +1%
WP
116
WealthPLAN Partners
Nebraska
$171K -$17.2K -2,638 -9%
OC
117
Oppenheimer & Co
New York
$171K +$1.24K +192 +0.7%
GCP
118
GSA Capital Partners
United Kingdom
$162K +$67.4K +10,494 +71%
FAAS
119
First Allied Advisory Services
California
$159K -$70.6K -10,988 -31%
RCA
120
Rowland Carmichael Advisors
Arizona
$158K +$11.6K +1,800 +8%
William Blair & Company
121
William Blair & Company
Illinois
$157K -$5.82K -905 -4%
BWM
122
BT Wealth Management
Georgia
$154K +$14.5K +2,240 +10%
BAM
123
Belpointe Asset Management
Nevada
$153K +$2.59K +400 +2%
AFAS
124
Acorn Financial Advisory Services
Virginia
$153K +$153K +23,798 New
SWP
125
Stratos Wealth Partners
Ohio
$152K -$3.34K -517 -2%
3 4
5
6 7