Prospect Capital Corporation

Q3 2017 vs Q4 2017

Comparing institutional holders between quarters

Compare Detailed Historical Funds Options 13D/13G Peers Targeting Trading Summary Profile

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CQS Cayman LP

UNCHANGED

Shares11,000,000 from 11,000,000

Change0 (0%)

Value$11.3K (+$91)

Filed 2018-02-12

Pier 88 Investment Partners LLC

UNCHANGED

Shares7,015,000 from 7,015,000

Change0 (0%)

Value$7.1K (+$17)

Filed 2018-01-25

Morgan Stanley

DECREASED

Shares6,557,000 from 6,872,000

Change-315,000 (-5%)

Value$6.6K (-$345)

Filed 2019-04-23

Pomelo Capital LLC

UNCHANGED

Shares6,438,000 from 6,438,000

Change0 (0%)

Value$6.6K (+$16)

Filed 2018-02-14

Income Research & Management

UNCHANGED

Shares6,313,000 from 6,313,000

Change0 (0%)

Value$6.4K (+$16)

Filed 2018-02-14

Calamos Advisors LLC

UNCHANGED

Shares2,300,000 from 2,300,000

Change0 (0%)

Value$2.3K (-$25)

Filed 2018-02-13

Thrivent Financial for Lutherans

DECREASED

Shares2,220,000 from 3,720,000

Change-1,500,000 (-40%)

Value$2.2K (-$1.5K)

Filed 2018-02-14

Carnegie Investment Counsel

UNCHANGED

Shares1,250,000 from 1,250,000

Change0 (0%)

Value$1.2K (-$16)

Filed 2018-02-12

Bank of New York Mellon Corp

UNCHANGED

Shares1,200,000 from 1,200,000

Change0 (0%)

Value$1.2K (-$9)

Filed 2018-02-09

Cetera Advisors LLC

UNCHANGED

Shares923,000 from 923,000

Change0 (0%)

Value$935 (+$2)

Filed 2018-02-08

LPL Financial LLC

INCREASED

Shares889,000 from 867,000

Change+22,000 (+3%)

Value$894 (+$14)

Filed 2018-02-14

Riverhead Capital Management LLC

UNCHANGED

Shares800,000 from 800,000

Change0 (0%)

Value$804 (-$8)

Filed 2018-02-14

Lombard Odier Asset Management (Switzerland) SA

INCREASED

Shares400,000 from 300,000

Change+100,000 (+33%)

Value$410 (+$105)

Filed 2018-02-13

Lombard Odier Asset Management (Europe) Ltd

DECREASED

Shares300,000 from 1,000,000

Change-700,000 (-70%)

Value$308 (-$709)

Filed 2018-02-13

Ladenburg Thalmann Financial Services Inc

INCREASED

Shares293,000 from 268,000

Change+25,000 (+9%)

Value$298 (+$26)

Filed 2018-02-14

Barclays PLC

INCREASED

Shares240,000 from 40,000

Change+200,000 (+500%)

Value$244 (+$203)

Filed 2018-02-14

Royal Bank of Canada

INCREASED

Shares235,000 from 225,000

Change+10,000 (+4%)

Value$235 (+$8)

Filed 2018-02-14

Independent Advisor Alliance

UNCHANGED

Shares211,000 from 211,000

Change0 (0%)

Value$214 ($0)

Filed 2018-02-14

Stifel Financial Corp

INCREASED

Shares159,650 from 159,259

Change+391 (+0%)

Value$159 (+$1)

Filed 2018-02-14

Commonwealth Equity Services, LLC

NEW

Shares147,000

Change+147,000

Value$149

Filed 2018-02-12

Citigroup Inc

NEW

Shares124,000

Change+124,000

Value$126

Filed 2018-02-12

IFC Holdings Incorporated

UNCHANGED

Shares94,000 from 94,000

Change0 (0%)

Value$95 ($0)

Filed 2018-01-31

HighTower Advisors, LLC

UNCHANGED

Shares63,000 from 63,000

Change0 (0%)

Value$63 ($0)

Filed 2018-02-14

IPG Investment Advisors LLC

UNCHANGED

Shares60,000 from 60,000

Change0 (0%)

Value$61.0K (+$150)

Filed 2018-02-07

D.A. Davidson & Co.

INCREASED

Shares50,000 from 45,000

Change+5,000 (+11%)

Value$51 (-$4.5K)

Filed 2018-02-08

SII Investments Inc

UNCHANGED

Shares35,000 from 35,000

Change0 (0%)

Value$35 ($0)

Filed 2018-02-09

Cambridge Investment Research Advisors, Inc.

UNCHANGED

Shares25,000 from 25,000

Change0 (0%)

Value$25 ($0)

Filed 2018-02-22

Wealthsource Partners, LLC

UNCHANGED

Shares25,000 from 25,000

Change0 (0%)

Value$25 ($0)

Filed 2018-02-16

Creative Planning

UNCHANGED

Shares19,000 from 19,000

Change0 (0%)

Value$19 ($0)

Filed 2018-01-17

FDx Advisors, Inc.

UNCHANGED

Shares11,000 from 11,000

Change0 (0%)

Value$11 ($0)

Filed 2018-02-09

FMR LLC

NEW

Shares10,000

Change+10,000

Value$10

Filed 2018-02-12

Ameriprise Financial Inc

UNCHANGED

Shares10,000 from 10,000

Change0 (0%)

Value$10 ($0)

Filed 2018-02-12

Segall Bryant & Hamill, LLC

UNCHANGED

Shares10,000 from 10,000

Change0 (0%)

Value$10 ($0)

Filed 2018-02-15

Advisor Group, Inc.

UNCHANGED

Shares10 from 10

Change0 (0%)

Value$10 ($0)

Filed 2018-02-14

Bcwm, LLC

CLOSED

Shares0 from 2,441,000

Change-2,441,000 (-100%)

Value$0 (-$2.5K)

Filed 2018-02-13

Credit Suisse AG/

CLOSED

Shares0 from 600,000

Change-600,000 (-100%)

Value$0 (-$609)

Filed 2018-03-14

National Planning Corp

CLOSED

Shares0 from 62,000

Change-62,000 (-100%)

Value$0 (-$63)

Filed 2018-02-14

Bank of America Corp

CLOSED

Shares0 from 50,000

Change-50,000 (-100%)

Value$0 (-$51)

Filed 2018-02-14

Raymond James Financial Services Advisors, Inc.

CLOSED

Shares0 from 28,000

Change-28,000 (-100%)

Value$0 (-$28)

Filed 2018-02-09

IFP Advisors, Inc

CLOSED

Shares0 from 28,000

Change-28,000 (-100%)

Value$0 (-$28)

Filed 2019-06-03

IHT Wealth Management, LLC

CLOSED

Shares0 from 20,000

Change-20,000 (-100%)

Value$0 (-$20)

Filed 2018-02-14

RPG Investment Advisory, LLC

CLOSED

Shares0 from 8

Change-8 (-100%)

Value$0 (-$8)

Filed 2018-02-14

Commonwealth Equity Services, Inc

N/A

Shares— from 147,000

Change-147,000 (-100%)

Value—

	Status
CQS Cayman LP	UNCHANGED	11,000,000	11,000,000	0	0%	$11.2K	$11.3K	+$91	2018-02-12
Pier 88 Investment Partners LLC	UNCHANGED	7,015,000	7,015,000	0	0%	$7.1K	$7.1K	+$17	2018-01-25
Morgan Stanley	DECREASED	6,557,000	6,872,000	-315,000	-5%	$7.0K	$6.6K	-$345	2019-04-23
Pomelo Capital LLC	UNCHANGED	6,438,000	6,438,000	0	0%	$6.6K	$6.6K	+$16	2018-02-14
Income Research & Management	UNCHANGED	6,313,000	6,313,000	0	0%	$6.4K	$6.4K	+$16	2018-02-14
Calamos Advisors LLC	UNCHANGED	2,300,000	2,300,000	0	0%	$2.3K	$2.3K	-$25	2018-02-13
Thrivent Financial for Lutherans	DECREASED	2,220,000	3,720,000	-1,500,000	-40%	$3.8K	$2.2K	-$1.5K	2018-02-14
Carnegie Investment Counsel	UNCHANGED	1,250,000	1,250,000	0	0%	$1.3K	$1.2K	-$16	2018-02-12
Bank of New York Mellon Corp	UNCHANGED	1,200,000	1,200,000	0	0%	$1.2K	$1.2K	-$9	2018-02-09
Cetera Advisors LLC	UNCHANGED	923,000	923,000	0	0%	$933	$935	+$2	2018-02-08
LPL Financial LLC	INCREASED	889,000	867,000	+22,000	+3%	$880	$894	+$14	2018-02-14
Riverhead Capital Management LLC	UNCHANGED	800,000	800,000	0	0%	$812	$804	-$8	2018-02-14
Lombard Odier Asset Management (Switzerland) SA	INCREASED	400,000	300,000	+100,000	+33%	$305	$410	+$105	2018-02-13
Lombard Odier Asset Management (Europe) Ltd	DECREASED	300,000	1,000,000	-700,000	-70%	$1.0K	$308	-$709	2018-02-13
Ladenburg Thalmann Financial Services Inc	INCREASED	293,000	268,000	+25,000	+9%	$272	$298	+$26	2018-02-14
Barclays PLC	INCREASED	240,000	40,000	+200,000	+500%	$41	$244	+$203	2018-02-14
Royal Bank of Canada	INCREASED	235,000	225,000	+10,000	+4%	$227	$235	+$8	2018-02-14
Independent Advisor Alliance	UNCHANGED	211,000	211,000	0	0%	$214	$214	$0	2018-02-14
Stifel Financial Corp	INCREASED	159,650	159,259	+391	+0%	$158	$159	+$1	2018-02-14
Commonwealth Equity Services, LLC	NEW	147,000	—	+147,000	—	—	$149	—	2018-02-12
Citigroup Inc	NEW	124,000	—	+124,000	—	—	$126	—	2018-02-12
IFC Holdings Incorporated	UNCHANGED	94,000	94,000	0	0%	$95	$95	$0	2018-01-31
HighTower Advisors, LLC	UNCHANGED	63,000	63,000	0	0%	$63	$63	$0	2018-02-14
IPG Investment Advisors LLC	UNCHANGED	60,000	60,000	0	0%	$60.9K	$61.0K	+$150	2018-02-07
D.A. Davidson & Co.	INCREASED	50,000	45,000	+5,000	+11%	$4.6K	$51	-$4.5K	2018-02-08
SII Investments Inc	UNCHANGED	35,000	35,000	0	0%	$35	$35	$0	2018-02-09
Cambridge Investment Research Advisors, Inc.	UNCHANGED	25,000	25,000	0	0%	$25	$25	$0	2018-02-22
Wealthsource Partners, LLC	UNCHANGED	25,000	25,000	0	0%	$25	$25	$0	2018-02-16
Creative Planning	UNCHANGED	19,000	19,000	0	0%	$19	$19	$0	2018-01-17
FDx Advisors, Inc.	UNCHANGED	11,000	11,000	0	0%	$11	$11	$0	2018-02-09
FMR LLC	NEW	10,000	—	+10,000	—	—	$10	—	2018-02-12
Ameriprise Financial Inc	UNCHANGED	10,000	10,000	0	0%	$10	$10	$0	2018-02-12
Segall Bryant & Hamill, LLC	UNCHANGED	10,000	10,000	0	0%	$10	$10	$0	2018-02-15
Advisor Group, Inc.	UNCHANGED	10	10	0	0%	$10	$10	$0	2018-02-14
Bcwm, LLC	CLOSED	0	2,441,000	-2,441,000	-100%	$2.5K	$0	-$2.5K	2018-02-13
Credit Suisse AG/	CLOSED	0	600,000	-600,000	-100%	$609	$0	-$609	2018-03-14
National Planning Corp	CLOSED	0	62,000	-62,000	-100%	$63	$0	-$63	2018-02-14
Bank of America Corp	CLOSED	0	50,000	-50,000	-100%	$51	$0	-$51	2018-02-14
Raymond James Financial Services Advisors, Inc.	CLOSED	0	28,000	-28,000	-100%	$28	$0	-$28	2018-02-09
IFP Advisors, Inc	CLOSED	0	28,000	-28,000	-100%	$28	$0	-$28	2019-06-03
IHT Wealth Management, LLC	CLOSED	0	20,000	-20,000	-100%	$20	$0	-$20	2018-02-14
RPG Investment Advisory, LLC	CLOSED	0	8	-8	-100%	$8	$0	-$8	2018-02-14
Commonwealth Equity Services, Inc	N/A	—	147,000	-147,000	-100%	$149	—	—	—

Showing 43 of 43 institutions