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Institutional Ownership · SEC Form 13F

Who owns Capital Southwest Corporation (CSWC)


Which tracked institutional funds hold CSWC, how they are positioned, and who is buying versus exiting — from SEC Form 13F-HR filings. See CSWC company fundamentals →

Ownership as of the 2026-Q1 13F filings. 13F is disclosed up to 45 days after quarter-end, so the most recent quarter fills in over the following weeks.

169
Institutional holders
17M
Shares held (tracked funds)
28.3%
Of shares outstanding

How the tape is positioned

27 tracked funds added or opened CSWC while 29 trimmed or exited it between 2025-Q4 and 2026-Q1 — the tape is split. When large holders disagree on a name, the funds moving first are sometimes ahead of the story.

A prompt to read the filings, not a verdict. 13F is a quarter-end snapshot disclosed up to 45 days late; a fund adds or exits for mandate, benchmark, and timing reasons that have nothing to do with a view on the stock. This is a starting question, not a signal to trade.

Conviction spread

CSWC’s largest tracked holder by dollar value, TWO SIGMA INVESTMENTS, LP, sizes it at 0.0% of its own reported 13F book, while the median holder sizes it at 0.0% of theirs — a 0.0pp gap the other way — the median holder sizes CSWC more heavily than its largest holder by dollar value does.

Book-share is each fund’s reported value in CSWC divided by its whole reported 13F book, so it is comparable across funds of different sizes and is unaffected by stock splits. A higher share means a fund has committed more of its book to the name — a starting question about conviction, not a verdict or a signal to trade.

Institutional & insider positioning

Between 2025-Q4 and 2026-Q1, across 169 tracked filers holding CSWC, 88 increased or opened the position and 72 reduced or closed it; over the same quarter, open-market insider Form 4s were net purchases.

This fuses two public signals for the same quarter — how tracked institutions changed their positions and whether insiders bought or sold in the open market. It describes what was filed; it is a starting question, not a verdict or a signal to trade.

New buyers & exits

Funds opening or closing a position in CSWC between the 2025-Q4 and 2026-Q1 13F filings, and the largest changes among funds holding it in both. New buyers and exits are counted on fund presence (split-invariant); adds and trims are measured on reported value.

New buyers 9

  • SANDERS MORRIS HARRIS LLC$25M
  • Empowered Funds, LLC$14M
  • Empirical Finance, LLC$14M
  • PANORAMIC INVESTMENT ADVISORS, LLC$11M
  • Truvestments Capital LLC$2M
  • BNP PARIBAS FINANCIAL MARKETS$1M

Full exits 11

  • TWO SIGMA ADVISERS, LP$24M
  • GOLDMAN SACHS GROUP INC$5M
  • Connor, Clark & Lunn Investment Management Ltd.$4M
  • BARCLAYS PLC$2M
  • FJ Capital Management LLC$2M
  • Verition Fund Management LLC$2M

Largest adds

  • TWO SIGMA INVESTMENTS, LP$29M
  • AMERIPRISE FINANCIAL INC$2M
  • BALYASNY ASSET MANAGEMENT L.P.$2M
  • FRANKLIN RESOURCES INC$1M
  • Legal & General Group Plc$1M
  • UBS Group AG$794K

Largest trims

  • Union Bancaire Privee, UBP SA$25M
  • VAN ECK ASSOCIATES CORP$6M
  • BlackRock, Inc.$3M
  • Closed-End Fund Advisors, Inc.$2M
  • ROYAL BANK OF CANADA$1M
  • MORGAN STANLEY$1M

Institutional holders

One row per tracked fund, largest reported value first. “% of value” is the fund’s share of this security’s tracked institutional value — not of shares outstanding. Rows marked stale are from an earlier filing than the security’s latest quarter — that fund is absent from the newest snapshot (position exited, or reported under a different name).

FundSharesReported value% of valueQuarter
TWO SIGMA INVESTMENTS, LP added2,349,648$52M11.2%2026-Q1
VAN ECK ASSOCIATES CORP trimmed1,127,561$25M5.4%2026-Q1
SANDERS MORRIS HARRIS LLC trimmed1,111,173$25M5.3%2026-Q1
Sound Income Strategies, LLC added903,329$20M4.3%2026-Q1
UBS Group AG added854,131$19M4.1%2026-Q1
Empowered Funds, LLC new619,098$14M2.9%2026-Q1
Empirical Finance, LLC new618,866$14M2.9%2026-Q1
PANORAMIC INVESTMENT ADVISORS, LLC new515,525$11M2.4%2026-Q1
Melia Wealth LLC added515,478$11M2.4%2026-Q1
Cetera Investment Advisers added452,698$10M2.1%2026-Q1
Legal & General Group Plc added443,138$10M2.1%2026-Q1
Muzinich & Co., Inc. added426,243$9M2.0%2026-Q1
ENVESTNET ASSET MANAGEMENT INC added402,926$9M1.9%2026-Q1
Columbus Macro, LLC added357,781$8M1.7%2026-Q1
FRANKLIN RESOURCES INC added329,121$7M1.6%2026-Q1
EPIQ PARTNERS, LLC added312,326$7M1.5%2026-Q1
Sumitomo Mitsui Trust Group, Inc.284,778$6M1.4%2026-Q1
BlackRock, Inc. trimmed276,490$6M1.3%2026-Q1
RAYMOND JAMES FINANCIAL INC trimmed264,659$6M1.3%2026-Q1
Womack Financial LLC added232,275$5M1.1%2026-Q1
LPL Financial LLC added231,713$5M1.1%2026-Q1
MILLENNIUM MANAGEMENT LLC added204,548$5M1.0%2026-Q1
Beacon Pointe Advisors, LLC added196,768$4M0.9%2026-Q1
FIRST MANHATTAN CO. LLC. trimmed188,859$4M0.9%2026-Q1
MORGAN STANLEY trimmed184,028$4M0.9%2026-Q1
GRACE & WHITE INC /NY164,697$4M0.8%2026-Q1
VOLORIDGE INVESTMENT MANAGEMENT, LLC trimmed147,319$3M0.7%2026-Q1
Foundations Investment Advisors, LLC added135,453$3M0.6%2026-Q1
Naviter Wealth, LLC added124,570$3M0.6%2026-Q1
Hodges Capital Management Inc. added110,275$2M0.5%2026-Q1
GraniteShares Advisors LLC trimmed109,894$2M0.5%2026-Q1
Advisors Asset Management, Inc. added108,400$2M0.5%2026-Q1
AMERIPRISE FINANCIAL INC added105,475$2M0.5%2026-Q1
CONFLUENCE INVESTMENT MANAGEMENT LLC added95,339$2M0.5%2026-Q1
HRT FINANCIAL LP added93,416$2M0.4%2026-Q1
NEUBERGER BERMAN GROUP LLC trimmed92,473$2M0.4%2026-Q1
BALYASNY ASSET MANAGEMENT L.P. added90,908$2M0.4%2026-Q1
First Dallas Securities Inc. trimmed89,691$2M0.4%2026-Q1
BENJAMIN EDWARDS INC trimmed88,225$2M0.4%2026-Q1
JANE STREET GROUP, LLC added78,975$2M0.4%2026-Q1
SMH CAPITAL ADVISORS INC trimmed1,733$2M0.4%2026-Q1
DENALI ADVISORS LLC trimmed75,847$2M0.4%2026-Q1
Truvestments Capital LLC new72,746$2M0.3%2026-Q1
Legacy Capital Wealth Partners, LLC added71,174$2M0.3%2026-Q1
STATE STREET CORP added69,062$2M0.3%2026-Q1
B. Riley Wealth Advisors, Inc. added69,760$1M0.3%2026-Q1
CANADA LIFE ASSURANCE Co trimmed65,606$1M0.3%2026-Q1
Hennion & Walsh Asset Management, Inc. added63,745$1M0.3%2026-Q1
Moerus Capital Management LLC61,698$1M0.3%2026-Q1
COZAD ASSET MANAGEMENT INC added59,867$1M0.3%2026-Q1
Kestra Advisory Services, LLC added56,864$1M0.3%2026-Q1
BNP PARIBAS FINANCIAL MARKETS added56,578$1M0.3%2026-Q1
Cambridge Investment Research Advisors, Inc. added55,815$1M0.3%2026-Q1
COMMONWEALTH EQUITY SERVICES, LLC trimmed55,028$1M0.3%2026-Q1
Catalyst Capital Advisors LLC49,000$1M0.2%2026-Q1
BANK OF AMERICA CORP /DE/ trimmed41,774$924K0.2%2026-Q1
Cornerstone Wealth Management, LLC trimmed40,588$898K0.2%2026-Q1
Symphony Financial, Ltd. Co. added40,969$892K0.2%2026-Q1
Sunbelt Securities, Inc. added37,030$819K0.2%2026-Q1
CALDWELL SUTTER CAPITAL, INC. trimmed37,018$819K0.2%2026-Q1
Militia Capital Management LLC new35,000$774K0.2%2026-Q1
Mariner, LLC added31,895$706K0.2%2026-Q1
AlphaCore Capital LLC added30,996$686K0.1%2026-Q1
Closed-End Fund Advisors, Inc. trimmed30,588$677K0.1%2026-Q1
GUGGENHEIM CAPITAL LLC added29,217$646K0.1%2026-Q1
NORTHERN TRUST CORP trimmed26,651$590K0.1%2026-Q1
Invesco Ltd. trimmed26,318$582K0.1%2026-Q1
Greenland Capital Management LP added26,000$575K0.1%2026-Q1
Apollon Wealth Management, LLC trimmed24,648$545K0.1%2026-Q1
Mraz, Amerine & Associates, Inc. trimmed24,254$536K0.1%2026-Q1
ROYAL BANK OF CANADA trimmed23,273$515K0.1%2026-Q1
Samalin Investment Counsel, LLC trimmed22,881$506K0.1%2026-Q1
Virtus Investment Advisers, LLC trimmed22,464$497K0.1%2026-Q1
TWO SIGMA ADVISERS, LP added1,062,917$24M5.1%2025-Q4 stale
PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. added686,513$15M3.3%2025-Q1 stale
TECTONIC ADVISORS LLC added521,686$11M2.5%2025-Q2 stale
HARBOR CAPITAL ADVISORS, INC. added403,826$9M1.9%2025-Q1 stale
MARSHALL WACE, LLP added252,245$6M1.2%2025-Q3 stale
GOLDMAN SACHS GROUP INC trimmed229,086$5M1.1%2025-Q4 stale
CITADEL ADVISORS LLC trimmed207,150$5M1.0%2025-Q3 stale
Connor, Clark & Lunn Investment Management Ltd. added188,921$4M0.9%2025-Q4 stale
BARCLAYS PLC added97,739$2M0.5%2025-Q4 stale
FJ Capital Management LLC added92,685$2M0.4%2025-Q4 stale
Verition Fund Management LLC added88,378$2M0.4%2025-Q4 stale
Sovereign's Capital Management, LLC76,522$2M0.4%2025-Q4 stale
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC added68,256$1M0.3%2025-Q3 stale
Schonfeld Strategic Advisors LLC trimmed66,243$1M0.3%2025-Q2 stale
Atom Investors LP added65,809$1M0.3%2025-Q4 stale
Total Clarity Wealth Management, Inc.56,305$1M0.3%2025-Q1 stale
Y-Intercept (Hong Kong) Ltd added48,215$1M0.2%2025-Q2 stale
Qube Research & Technologies Ltd trimmed42,372$926K0.2%2025-Q3 stale
Aquatic Capital Management LLC added35,950$796K0.2%2025-Q4 stale
TUDOR INVESTMENT CORP ET AL trimmed35,219$776K0.2%2025-Q2 stale
OMERS ADMINISTRATION Corp new34,900$769K0.2%2025-Q2 stale
D. E. Shaw & Co., Inc. added26,960$594K0.1%2025-Q2 stale
CAXTON ASSOCIATES LLP26,267$582K0.1%2025-Q4 stale
Autumn Glory Partners, LLC26,000$573K0.1%2025-Q2 stale
Nebula Research & Development LLC new25,907$571K0.1%2025-Q2 stale
ExodusPoint Capital Management, LP trimmed24,975$550K0.1%2025-Q2 stale
GSA CAPITAL PARTNERS LLP trimmed22,564$500K0.1%2025-Q4 stale

Ownership over time

Tracked institutional holder count and total shares held by filing quarter (independent scales). The curated-era tail and any mid-ingest latest quarter are handled honestly — a partial quarter is not drawn as a collapse.

HoldersTotal shares

Reading this table

Funds hold the same stock for different reasons — an index fund “holds” almost everything, an active manager sizes a name to a mandate and a benchmark, and each fund entered at its own price and time. Because 13F is filed up to 45 days after quarter-end, every row is a backward-looking snapshot; a manager may have traded since. Share-class siblings (a company’s A and C shares) are rolled up to one line so a dual-class name is never double-counted. Compare like-for-like. A large holder is not an endorsement, and a fund exiting is not a warning — this is a starting question, not a verdict.

About 13F filings

A Form 13F is a quarterly disclosure that institutional investment managers with over $100 million in US-listed equities must file with the SEC. In plain English: it is a snapshot of the long stock positions a fund held at the end of a quarter. It covers long US-listed equities only — not short positions, options, cash, or private holdings — and the funds shown are the large sample we track, not the complete 13F universe.

Learn how to read institutional ownership