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Prospect Capital

228 hedge funds and large institutions have $254M invested in Prospect Capital in 2021 Q4 according to their latest regulatory filings, with 49 funds opening new positions, 75 increasing their positions, 55 reducing their positions, and 14 closing their positions.

New
Increased
Maintained
Reduced
Closed

250% more first-time investments, than exits

New positions opened: 49 | Existing positions closed: 14

163% more call options, than puts

Call options by funds: $7.56M | Put options by funds: $2.88M

36% more repeat investments, than reductions

Existing positions increased: 75 | Existing positions reduced: 55

18% more funds holding

Funds holding: 194228 (+34)

0% more funds holding in top 10

Funds holding in top 10: 22 (0)

0.86% less ownership

Funds ownership: 8.63%7.77% (-0.86%)

1% less capital invested

Capital invested by funds: $258M → $254M (-$3.15M)

Holders
228
Holders Change
+34
Holders Change %
+17.53%
% of All Funds
3.51%
Holding in Top 10
2
Holding in Top 10 Change
Holding in Top 10 Change %
% of All Funds
0.03%
New
49
Increased
75
Reduced
55
Closed
14
Calls
$7.56M
Puts
$2.88M
Net Calls
+$4.68M
Net Calls Change
+$1.91M
Name Holding Trade Value Shares
Change
Change in
Stake
SWM
151
Silverlake Wealth Management
Vermont
$95.9K +$95.9K +11,400 New
IWM
152
IHT Wealth Management
Illinois
$90K -$2.82K -335 -3%
Lido Advisors
153
Lido Advisors
California
$89K -$3.53K -419 -4%
MMPW
154
Mitchell McLeod Pugh & Williams
Alabama
$89K +$89.4K +10,628 New
KIA
155
KCM Investment Advisors
California
$87K
Envestnet Asset Management
156
Envestnet Asset Management
Illinois
$87K +$86.8K +10,314 New
DTL
157
Dynamic Technology Lab
Singapore
$85K -$76.7K -9,112 -47%
CCP
158
Carmel Capital Partners
California
$85K +$85K +10,100 New
SRC
159
Shufro Rose & Co
New York
$84K -$32K -3,800 -28%
JMF
160
Johnson Midwest Financial
Iowa
$84K
KCM
161
Karp Capital Management
California
$84K +$84.2K +10,000 New
Marshall Wace
162
Marshall Wace
United Kingdom
$82K +$82.8K +9,838 New
RFA
163
Reilly Financial Advisors
California
$67K
FHA
164
First Horizon Advisors
Tennessee
$66K +$1.05K +125 +2%
AWM
165
AllSquare Wealth Management
New York
$50K
ADL
166
Asset Dedication LLC
California
$49K
NFG
167
Next Financial Group
Texas
$44K +$27.1K +3,217 +158%
AWMS
168
Advocacy Wealth Management Services
Georgia
$43K
AIC
169
Archer Investment Corporation
Indiana
$42K
BCV
170
Banque Cantonale Vaudoise
Switzerland
$34K
Simplex Trading
171
Simplex Trading
Illinois
$33K +$33.2K +3,944 New
UB
172
UMB Bank
Missouri
$31K +$30.5K +3,627 New
CA
173
CoreCap Advisors
Michigan
$31K +$31K +3,683 New
PA
174
Parallel Advisors
California
$29K +$6.83K +812 +30%
Northwestern Mutual Wealth Management
175
Northwestern Mutual Wealth Management
Wisconsin
$27K -$1.69K -201 -6%

PSEC Hedge Fund Activity: Q4 2021 in Review

228 of the 6,498 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q4 2021, worth a combined $254M — down 1.2% from $258M a quarter earlier.

Buyers outnumbered sellers: 49 funds opened new PSEC positions and 14 closed out — a net gain of 35 holders — while 75 added to existing stakes and 55 trimmed.

The largest buyer was Citadel Advisors, adding an estimated $3.06M. The largest seller was Invesco, cutting an estimated $18.5M.

  • 228 institutional investors held Prospect Capital (PSEC) as of Q4 2021, up from 194 in Q3 2021.
  • Funds reported $254M of Prospect Capital stock for Q4 2021, down 1.2% quarter-over-quarter.
  • 49 funds opened new Prospect Capital positions in Q4 2021 and 14 closed out, a net change of +35 holders.
  • The largest Prospect Capital buyer in Q4 2021 was Citadel Advisors, an estimated $3.06M added.
  • The largest Prospect Capital seller in Q4 2021 was Invesco, an estimated $18.5M sold.

Based on aggregated 13F filings for Q4 2021.