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SuRo Capital
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Overview Fund Activity

73 hedge funds and large institutions have $82.6M invested in SuRo Capital in 2021 Q1 according to their latest regulatory filings, with 28 funds opening new positions, 22 increasing their positions, 15 reducing their positions, and 15 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
73
Holders Change
+12
Holders Change %
+19.67%
% of All Funds
1.29%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.04%
New
28
Increased
22
Reduced
15
Closed
15
Calls
$18.3M
Puts
$17.7M
Net Calls
+$549K
Net Calls Change
-$5.74M

Top Buyers

1
CM
1
Caption Management
Oklahoma
$7.39M
2
Impax Asset Management Group
2
Impax Asset Management Group
United Kingdom
$9.49M
3
IECM
3
Intrinsic Edge Capital Management
Illinois
$4.86M
4
AA
4
ALPS Advisors
Colorado
$1.3M
5
WAM
5
Warberg Asset Management
Illinois
$1.15M

Top Sellers

1
KCM
1
Kennedy Capital Management
Missouri
$0
2
JGC
2
J. Goldman & Co
New York
$0
3
Two Sigma Investments
3
Two Sigma Investments
New York
$238K
4
ICM
4
Ionic Capital Management
New York
$0
5
OC
5
Oppenheimer & Co
New York
$4.73M
Name Holding Trade Value Shares
Change 		Shares
Change %
Creative Planning
51
Creative Planning
Kansas
$144K -$154K -13,508 -52%
IFWM
52
Institute for Wealth Management
Colorado
$141K +$141K +12,389 New
GC
53
Guggenheim Capital
Illinois
$139K +$139K +12,180 New
PCM
54
Pinz Capital Management
New York
$136K +$136K +11,913 New
Bank of America
55
Bank of America
North Carolina
$103K +$28.5K +2,514 +38%
CG
56
Cutler Group
California
$98K -$86.5K -7,672 -47%
IAIM
57
International Assets Investment Management
Florida
$93K +$46.5K +4,170 +100%
Canada Life
58
Canada Life
Manitoba, Canada
$65K -$36K -3,210 -36%
PI
59
PEAK6 Investments
Illinois
$54K -$268K -23,460 -83%
TRCT
60
Tower Research Capital (TRC)
New York
$47K +$47K +4,125 New
Citigroup
61
Citigroup
New York
$41K -$13.9K -1,217 -25%
PH
62
Pinnacle Holdings
Oklahoma
$29.8K – – –
Lazard Asset Management
63
Lazard Asset Management
New York
$23K +$23K +2,082 New
GWM
64
Geneos Wealth Management
Colorado
$17K – – –
TWM
65
Tradition Wealth Management
Minnesota
$12K +$11.3K +953 +1,588%
HI
66
Harbour Investments
Wisconsin
$11K +$11K +953 New
Rockefeller Capital Management
67
Rockefeller Capital Management
New York
$10K – – –
WP
68
WealthShield Partners
North Carolina
$6K +$6K +530 New
FDCDDQ
69
Federation des caisses Desjardins du Quebec
Quebec, Canada
$5.42K +$5.42K +477 New
COCM
70
Charter Oak Capital Management
New Hampshire
$5K +$5K +461 New
DWP
71
Destiny Wealth Partners
Florida
$1K – – –
CA
72
Clearstead Advisors
Ohio
$1K +$38 +4 +4%
PNC Financial Services Group
73
PNC Financial Services Group
Pennsylvania
$1K +$1K +99 New
KCM
74
Kennedy Capital Management
Missouri
– -$1.07M -97,001 Closed
JGC
75
J. Goldman & Co
New York
– -$1M -91,205 Closed
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