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Prospect Capital
PSEC

229 hedge funds and large institutions have $174M invested in Prospect Capital in 2022 Q3 according to their latest regulatory filings, with 26 funds opening new positions, 79 increasing their positions, 62 reducing their positions, and 24 closing their positions.

New
Increased
Maintained
Reduced
Closed

27% more repeat investments, than reductions

Existing positions increased: 79 | Existing positions reduced: 62

8% more first-time investments, than exits

New positions opened: 26 | Existing positions closed: 24

0% more funds holding

Funds holding: 228 → 229 (+1)

0% more funds holding in top 10

Funds holding in top 10: 1 → 1 (0)

0.41% less ownership

Funds ownership: 7.54% → 7.13% (-0.41%)

15% less capital invested

Capital invested by funds: $205M → $174M (-$30.5M)

32% less call options, than puts

Call options by funds: $7.98M | Put options by funds: $11.8M

Holders
229
Holders Change
+1
Holders Change %
+0.44%
% of All Funds
3.94%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.02%
New
26
Increased
79
Reduced
62
Closed
24
Calls
$7.98M
Puts
$11.8M
Net Calls
-$3.83M
Net Calls Change
-$9.35M

Top Buyers

1
Group One Trading
Group One Trading
Illinois
+$1.47M
2
Legal & General Group
Legal & General Group
United Kingdom
+$1.24M
3
Northern Trust
Northern Trust
Illinois
+$1.13M
4
XF
XML Financial
Maryland
+$927K
5
Morgan Stanley
Morgan Stanley
New York
+$782K

Top Sellers

1
UBS Group
UBS Group
Switzerland
-$2.71M
2
Two Sigma Advisers
Two Sigma Advisers
New York
-$1.95M
3
MC
Muzinich & Co
New York
-$1.9M
4
Sumitomo Mitsui Trust Group
Sumitomo Mitsui Trust Group
Japan
-$1.9M
5
VanEck Associates
VanEck Associates
New York
-$1.78M
Name Holding Trade Value Shares
Change 		Change in
Stake
SWM
151
Silverlake Wealth Management
Vermont
$72.1K +$739 +99 +0.9%
AIC
152
Archer Investment Corporation
Indiana
$68.2K – – –
Lido Advisors
153
Lido Advisors
California
$65K – – –
TYCC
154
Texas Yale Capital Corp
Florida
$65K – – –
CB
155
Commerce Bank
Missouri
$64K – – –
DA
156
Detalus Advisors
Missouri
$62K – – –
RPCA
157
Running Point Capital Advisors
California
$62K – – –
SRC
158
Shufro Rose & Co
New York
$62K – – –
CPP
159
Capasso Planning Partners
South Carolina
$62K +$74.7K +10,000 New
WFA
160
Wipfli Financial Advisors
Wisconsin
$53K +$63K +8,428 New
Nomura Asset Management
161
Nomura Asset Management
Japan
$51.7K +$37.4K +5,010 +151%
Rockefeller Capital Management
162
Rockefeller Capital Management
New York
$41K -$747 -100 -1%
S
163
SignatureFD
Georgia
$40K -$9.51K -1,273 -17%
LSA
164
Leonteq Securities AG
Switzerland
$38.4K +$46.3K +6,200 New
AWM
165
AllSquare Wealth Management
New York
$37K – – –
ADL
166
Asset Dedication LLC
California
$36K – – –
SWM
167
Spire Wealth Management
Virginia
$35K -$182K -24,423 -81%
Barclays
168
Barclays
United Kingdom
$35K +$41.1K +5,500 +6,180%
AWMS
169
Advocacy Wealth Management Services
Georgia
$34K – – –
HWA
170
HHM Wealth Advisors
Tennessee
$33K – – –
PTC
171
Private Trust Company
Ohio
$31K – – –
FMTCOCP
172
Farmers & Merchants Trust Co of Chambersburg PA
Pennsylvania
$31K +$37.3K +5,000 New
IA
173
IFP Advisors
Florida
$28K +$5.6K +750 +22%
GWM
174
Geneos Wealth Management
Colorado
$26K -$144K -19,261 -82%
BCV
175
Banque Cantonale Vaudoise
Switzerland
$25K – – –
5 6
7
8 9

PSEC Hedge Fund Activity: Q3 2022 in Review

229 of the 5,805 institutional investors tracked by Wall St. Rank reported a position in Prospect Capital (PSEC) for Q3 2022, worth a combined $174M — down 15% from $205M a quarter earlier.

Buyers outnumbered sellers: 26 funds opened new PSEC positions and 24 closed out — a net gain of 2 holders — while 79 added to existing stakes and 62 trimmed.

The largest buyer was Group One Trading, opening a new position worth an estimated $1.47M. The largest seller was UBS Group, cutting an estimated $2.71M.

  • 229 institutional investors held Prospect Capital (PSEC) as of Q3 2022, up from 228 in Q2 2022.
  • Funds reported $174M of Prospect Capital stock for Q3 2022, down 15% quarter-over-quarter.
  • 26 funds opened new Prospect Capital positions in Q3 2022 and 24 closed out, a net change of +2 holders.
  • The largest Prospect Capital buyer in Q3 2022 was Group One Trading, an estimated $1.47M added.
  • The largest Prospect Capital seller in Q3 2022 was UBS Group, an estimated $2.71M sold.

Based on aggregated 13F filings for Q3 2022.