Capital Southwest Corp

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Capital Southwest Corp

$CSWC

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NewIncreasedMaintainedDecreasedLiquidated
723211918
WhaleReport PeriodSecurity TypeQuantityStatus% Change% Allocation$ Value% Change$ Valuation PriceSec Link
Confluence Investment Management Llc09-30-2021Com106,898Increased0.460.032,692,000.008.9050.37Form 13
Envestnet Asset Management Inc09-30-2021Com13,438Decreased-10.280.00338,000.00-2.8725.15Form 13
Sound Income Strategies, Llc09-30-2021Com370,810Decreased-0.441.219,337,000.007.9225.18Form 13
Sanders Morris Harris Llc09-30-2021Com744,804Decreased-1.063.4118,754,000.007.2525.18Form 13
Fny Investment Advisers, Llc09-30-2021Com2,500Decreased-37.500.0362,000.00-32.6124.80Form 13
Red Door Wealth Management, Llc09-30-2021Com0Liquidated!-100.000.000.000.000.00Form 13
Kestra Advisory Services, Llc09-30-2021Com31,661Increased107.080.01797,000,000.00124.5125,172.93Form 13
Csenge Advisory Group09-30-2021Com20,027Increased7.750.04517,000.0011.9025.82Form 13
All Season Financial Advisors, Inc.09-30-2021Com27,951Increased13.740.49704,000.0023.2925.19Form 13
Lake Point Wealth Management09-30-2021Com100Maintained0.000.003,000.0050.0030.00Form 13
Total Clarity Wealth Management, Inc.09-30-2021Com2,750New!0.000.0369,000.000.0025.09Form 13
Grace & White Inc /ny09-30-2021Com120,600Maintained0.000.583,037,000.008.3925.18Form 13
Weather Gauge Advisory, Llc09-30-2021Com9,016Decreased-5.400.28227,000.002.7125.18Form 13
Signaturefd, Llc09-30-2021Com196Increased47.370.005,000.0066.6725.51Form 13
Simplex Trading, Llc09-30-2021Com7,799Decreased-6.020.00193,000.000.5224.75Form 13
Huntington National Bank09-30-2021Common Stock1Maintained0.000.000.000.000.00Form 13
Tci Wealth Advisors, Inc.09-30-2021Com2,000New!0.000.0150,000.000.0025.00Form 13
Commonwealth Equity Services, Llc09-30-2021Com13,908Increased0.530.00350,000.0014.3825.17Form 13
Raymond James & Associates09-30-2021Com33,629Increased51.700.00847,000.0064.4725.19Form 13
Cambridge Investment Research Advisors, Inc.09-30-2021Corp Com25,028Decreased-13.353.11630,000.00-6.1125.17Form 13
Benjamin F. Edwards & Company, Inc.09-30-2021Com25Maintained0.000.001,000.000.0040.00Form 13
Allworth Financial Lp09-30-2021Com2,672Maintained0.000.0067,000.008.0625.07Form 13
Tectonic Advisors Llc09-30-2021Com34,831Decreased-21.290.18877,000.00-14.6950.47Form 13
Segall Bryant & Hamill, Llc09-30-2021Com10,664Maintained0.000.00269,000.008.4725.23Form 13
Van Eck Associates Corp09-30-2021Com334,632Decreased-0.490.028,426,000.007.8625.18Form 13
Tctc Holdings, Llc09-30-2021Com2,136Maintained0.000.0054,000.008.0025.28Form 13
Deutsche Bank Ag\09-30-2021Com2,616Increased2155.170.0066,000.002,100.0025.23Form 13
Roosevelt Investment Group Llc09-30-2021Com26,314Maintained0.000.04663,000.008.5125.20Form 13
Advisory Services Network, Llc09-30-2021Cef0Liquidated!-100.000.000.000.000.00Form 13
Advisor Group Holdings, Inc.09-30-2021Com36,726Increased11.930.00926,000.0021.68151.53Form 13
Pnc Financial Services Group, Inc.09-30-2021Com19,972Maintained0.000.00503,000.008.4175.47Form 13
Mackenzie Financial Corp09-30-2021Com65,175Increased190.090.001,641,000.00229.5225.18Form 13
Washington Trust Co09-30-2021Com5,676Maintained0.000.00143,000.008.3325.19Form 13
Blackrock Inc.09-30-2021Com149,306Increased17.030.003,759,000.0026.8250.33Form 13
Geneos Wealth Management Inc.09-30-2021Com4,917Increased51.570.00126,000.0055.5625.63Form 13
Barclays Plc09-30-2021Com0Liquidated!-100.000.000.000.000.00Form 13
Concourse Financial Group Securities, Inc.09-30-2021Com0Maintained0.000.000.000.000.00Form 13
Alliancebernstein L.p.09-30-2021Com14,222Decreased-32.020.00358,000.00-26.3425.17Form 13
D'orazio & Associates, Inc.09-30-2021Com1,308Increased30.800.0133,000.0043.4825.23Form 13
State Farm Mutual Automobile Insurance Co09-30-2021Com10,000New!0.000.00268,000.000.0026.80Form 13
Us Bancorp \de\09-30-2021Common Stock13,700Maintained0.000.00345,000.008.4925.18Form 13
Citigroup Inc09-30-2021Com0Liquidated!-100.000.000.000.000.00Form 13
Goldman Sachs Group Inc09-30-2021Cmn0Liquidated!-100.000.000.000.000.00Form 13
Bard Associates Inc09-30-2021Com19,985Maintained0.000.17503,000.008.4125.17Form 13
Arrowstreet Capital, Limited Partnership09-30-2021Com0Liquidated!-100.000.000.000.000.00Form 13
Geode Capital Management, Llc09-30-2021Com11,251Maintained0.000.00283,000.000.0025.15Form 13
Ares Management Llc09-30-2021Com63,104Maintained0.000.051,589,000.008.3925.18Form 13
Advisors Asset Management, Inc.09-30-2021Com175,212Increased13.610.074,412,000.0023.1425.18Form 13
Royal Bank Of Canada09-30-2021Com65,343Increased7.710.001,646,000.0016.82132.62Form 13
D. E. Shaw & Co., Inc.09-30-2021Com0Liquidated!-100.000.000.000.000.00Form 13
Enterprise Financial Services Corp09-30-2021Common Stock0Liquidated!-100.000.000.000.000.00Form 13
Great West Life Assurance Co /can/09-30-2021Com7,281Increased12.880.00185,000.0024.1625.41Form 13
Horizon Kinetics Asset Management Llc09-30-2021Com17,000Maintained0.000.01428,000.008.3525.18Form 13
First Trust Advisors Lp09-30-2021Com0Liquidated!-100.000.000.000.000.00Form 13
Two Sigma Investments, Lp09-30-2021Com190,508Increased80.250.014,797,000.0095.4025.18Form 13
Punch & Associates Investment Management, Inc.09-30-2021Com491,334Decreased-3.140.7112,372,000.005.0025.18Form 13
Marshall Wace, Llp09-30-2021Common Stock24,932New!0.000.00628,000.000.0025.19Form 13
Marshall Wace North America L.p.09-30-2021Common Stock0Liquidated!-100.000.000.000.000.00Form 13
Marshall Wace North America L.p.09-30-2021Common Stock0Liquidated!-100.000.000.000.000.00Form 13
Marshall Wace North America L.p.09-30-2021Common Stock0Liquidated!-100.000.000.000.000.00Form 13
Marshall Wace North America L.p.09-30-2021Common Stock0Liquidated!-100.000.000.000.000.00Form 13
Mariner, Llc09-30-2021Com12,000Maintained0.000.00302,000.008.2425.17Form 13
Citadel Advisors Llc09-30-2021Cmn80,441Maintained0.000.002,025,000.000.00100.73Form 13
Susquehanna International Group, Llp09-30-2021Com151,564Increased54.020.003,816,000.0066.8675.54Form 13
Hrt Financial Lp09-30-2021Com14,980Decreased-34.540.00377,000.00-25.6425.17Form 13
Two Sigma Advisers, Lp09-30-2021Com203,900Increased383.180.015,134,000.00449.0925.18Form 13
Tower Research Capital Llc (trc)09-30-2021Com1,128Decreased-23.000.0028,000.007.6949.75Form 13
Dynamic Technology Lab Private Ltd09-30-2021Com0Liquidated!-100.000.000.000.000.00Form 13
Mirae Asset Global Investments Co., Ltd.09-30-2021Com15,385Maintained0.000.00387,000.008.4025.15Form 13
Virtus Etf Advisers Llc09-30-2021Com23,861Decreased-11.010.26601,000.00-3.5325.19Form 13
Ubs Group Ag09-30-2021Com42,410Increased26.090.001,068,000.0036.5775.48Form 13
Quadrature Capital Ltd09-30-2021Com28,790Decreased-52.510.03725,000.00-32.6225.18Form 13
Moerus Capital Management Llc09-30-2021Com135,074Increased14.981.583,401,000.0063.1225.18Form 13
Legacy Capital Wealth Partners, Llc09-30-2021Stock48,053Maintained0.001.032,636,000.000.0054.86Form 13
Fmr Llc09-30-2021Com0Liquidated!-100.000.000.000.000.00Form 13
Bank Of America Corp /de/09-30-2021Com53,688Increased6.020.001,352,000.0014.9775.70Form 13
First Manhattan Co09-30-2021Com452,994Decreased-0.800.0411,406,000.0012.7225.18Form 13
Wells Fargo & Company/mn09-30-2021Com4,835Increased21.600.00122,000.0038.6450.86Form 13
Legal & General Group Plc09-30-2021Com123,503Decreased-7.680.003,112,000.000.1325.20Form 13
Delphi Management Inc /ma/09-30-2021Com0Liquidated!-100.000.000.000.000.00Form 13
Ameriprise Financial Inc09-30-2021Com29,069New!0.000.00734,000.000.0050.25Form 13
Morgan Stanley09-30-2021Com84,307Decreased-30.690.002,123,000.00-24.8550.37Form 13
Invesco Ltd.09-30-2021Com0Liquidated!-100.000.000.000.000.00Form 13
Mckinley Capital Management Llc /delaware09-30-2021Com57,959New!0.000.141,459,000.000.0025.17Form 13
National Asset Management, Inc.09-30-2021Com56,309Decreased-0.390.051,418,000.007.9125.18Form 13
Colony Group Llc09-30-2021Common7,979New!0.000.00201,000.000.0025.19Form 13
Mcdonald Partners Llc09-30-2021Com0Liquidated!-100.000.000.000.000.00Form 13
Patriot Financial Group Insurance Agency, Llc09-30-2021Cef900Maintained0.000.0023,000.009.5225.56Form 13