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RMT

Royce Micro-Cap Trust
RMT

56 hedge funds and large institutions have $94.5M invested in Royce Micro-Cap Trust in 2014 Q1 according to their latest regulatory filings, with 12 funds opening new positions, 24 increasing their positions, 15 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed

300% more first-time investments, than exits

New positions opened: 12 | Existing positions closed: 3

60% more repeat investments, than reductions

Existing positions increased: 24 | Existing positions reduced: 15

19% more funds holding

Funds holding: 47 → 56 (+9)

1.93% more ownership

Funds ownership: 24.27% → 26.2% (+1.9%)

5% more capital invested

Capital invested by funds: $90.2M → $94.5M (+$4.32M)

100% less funds holding in top 10

Funds holding in top 10: 1 → 0 (-1)

Holders
56
Holders Change
+9
Holders Change %
+19.15%
% of All Funds
1.62%
Holding in Top 10
–
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-100%
% of All Funds
–
New
12
Increased
24
Reduced
15
Closed
3
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
RJA
Raymond James & Associates
Florida
+$2.21M
2
Morgan Stanley
Morgan Stanley
New York
+$1.41M
3
SFS
Shaker Financial Services
Virginia
+$1.18M
4
DA
Doliver Advisors
Texas
+$722K
5
TC
TFS Capital
Pennsylvania
+$721K

Top Sellers

Rank Fund Capital Flow
1
SG Americas Securities
SG Americas Securities
New York
-$504K
2
BI
Bulldog Investors
New Jersey
-$405K
3
GFM
Gramercy Funds Management
Connecticut
-$352K
4
GC
Guggenheim Capital
Illinois
-$193K
5
Comerica Bank
Comerica Bank
Texas
-$133K
Name Holding Trade Value Shares
Change 		Change in
Stake
PFM
26
Parsec Financial Management
North Carolina
$642K +$648K +52,454 New
FIMG
27
Financial & Investment Management Group
Michigan
$586K -$106K -8,610 -15%
RIL
28
Rothschild Investment LLC
Illinois
$573K +$15.3K +1,239 +3%
LTFS
29
Ladenburg Thalmann Financial Services
Florida
$548K -$62.5K -5,054 -10%
AIG
30
American International Group
New York
$525K +$152K +12,260 +40%
Bank of America
31
Bank of America
North Carolina
$458K +$1.58K +128 +0.3%
GWI
32
Grace & White Inc
New York
$421K – – –
Ameriprise
33
Ameriprise
Minnesota
$417K +$6.07K +491 +1%
DADC
34
D.A. Davidson & Co
Montana
$358K +$1.82K +147 +0.5%
CWM
35
Concert Wealth Management
California
$358K +$6.45K +522 +2%
HFS
36
HL Financial Services
Kentucky
$355K +$358K +28,987 New
NGA
37
Naples Global Advisors
Florida
$342K +$15.1K +1,222 +5%
KeyBank National Association
38
KeyBank National Association
Ohio
$329K – – –
BBPWM
39
Blue Bell Private Wealth Management
Pennsylvania
$292K +$63K +5,100 +27%
Commonwealth Equity Services
40
Commonwealth Equity Services
Massachusetts
$290K -$13.7K -1,110 -4%
UR
41
USCA RIA
Texas
$209K +$12.4K +1,001 +6%
CIBC Private Wealth Group
42
CIBC Private Wealth Group
Georgia
$204K +$200K +16,216 New
PPA
43
Parametric Portfolio Associates
Washington
$202K +$204K +16,486 New
SKK
44
Shepherd Kaplan Krochuk
Massachusetts
$170K – – –
MFS
45
MSI Financial Services
Massachusetts
$140K +$2.52K +204 +2%
Stifel Financial
46
Stifel Financial
Missouri
$137K +$138K +11,160 New
Northwestern Mutual Wealth Management
47
Northwestern Mutual Wealth Management
Wisconsin
$61K +$61.5K +4,974 New
Bank of Montreal
48
Bank of Montreal
Ontario, Canada
$49K +$49.4K +4,000 New
TDC
49
Thompson Davis & Co
Virginia
$44K +$804 +65 +2%
MA
50
MUFG Americas
New York
$33K -$29.8K -2,408 -47%
1
2
3

RMT Hedge Fund Activity: Q1 2014 in Review

56 of the 3,462 institutional investors tracked by Wall St. Rank reported a position in Royce Micro-Cap Trust (RMT) for Q1 2014, worth a combined $94.5M — up 4.8% from $90.2M a quarter earlier.

Buyers outnumbered sellers: 12 funds opened new RMT positions and 3 closed out — a net gain of 9 holders — while 24 added to existing stakes and 15 trimmed.

The largest buyer was Raymond James & Associates, adding an estimated $2.21M. The largest seller was SG Americas Securities, cutting an estimated $504K.

  • 56 institutional investors held Royce Micro-Cap Trust (RMT) as of Q1 2014, up from 47 in Q4 2013.
  • Funds reported $94.5M of Royce Micro-Cap Trust stock for Q1 2014, up 4.8% quarter-over-quarter.
  • 12 funds opened new Royce Micro-Cap Trust positions in Q1 2014 and 3 closed out, a net change of +9 holders.
  • The largest Royce Micro-Cap Trust buyer in Q1 2014 was Raymond James & Associates, an estimated $2.21M added.
  • The largest Royce Micro-Cap Trust seller in Q1 2014 was SG Americas Securities, an estimated $504K sold.

Based on aggregated 13F filings for Q1 2014.