Vault-13

ROYCE SMALL CAP TRUST INC RVT

COM · Closed-End Fund · CUSIP 780910105

177 institutional holders +5 vs Q1 2024
30,651,58030.7m shares reported held*
$443.5mreported value*
23 new 63 added 53 reduced 19 sold out net sold ≈ $151.6m (-10.5m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $14.47.

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

0100200Q3 22: 153Q4 22: 164Q1 23: 167Q2 23: 159Q3 23: 161Q4 23: 167Q1 24: 172Q2 24: 177177Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 2022153
Q4 2022164
Q1 2023167
Q2 2023159
Q3 2023161
Q4 2023167
Q1 2024172
Q2 2024177

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
1000100Q4 22: 77 bought or addedQ4 22: 56 cut or sold outQ4 22Q1 23: 82 bought or addedQ1 23: 69 cut or sold outQ2 23: 84 bought or addedQ2 23: 61 cut or sold outQ2 23Q3 23: 77 bought or addedQ3 23: 57 cut or sold outQ4 23: 78 bought or addedQ4 23: 59 cut or sold outQ4 23Q1 24: 88 bought or addedQ1 24: 62 cut or sold outQ2 24: 86 bought or addedQ2 24: 72 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 20227756
Q1 20238269
Q2 20238461
Q3 20237757
Q4 20237859
Q1 20248862
Q2 20248672

Biggest buyers

Cornerstone Advisors, LLC Added +281,199+281.2k
Advisors Asset Management, Inc. Added +108,189+108.2k
Shaker Financial Services, LLC Added +93,131+93.1k
AQR Arbitrage LLC Added +75,297+75.3k
WOLVERINE ASSET MANAGEMENT LLC New +68,335+68.3k
Quantedge Capital Pte Ltd Added +64,900+64.9k
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. Added +55,661+55.7k
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC Added +54,097+54.1k
Prospera Financial Services Inc New +47,747+47.7k
Triumph Capital Management New +41,770+41.8k

Biggest sellers

MORGAN STANLEY Reduced -10,530,146-10.5m
RAYMOND JAMES & ASSOCIATES Reduced -286,174-286.2k
Bulldog Investors, LLP Sold out -83,173-83.2k
COHEN & STEERS, INC. Reduced -58,000-58.0k
1832 Asset Management L.P. Sold out -52,816-52.8k
Rockefeller Capital Management L.P. Sold out -50,362-50.4k
BANK OF AMERICA CORP /DE/ Reduced -47,092-47.1k
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC Sold out -46,964-47.0k
Atlanta Consulting Group Advisors, LLC Sold out -42,968-43.0k
STIFEL FINANCIAL CORP Reduced -33,665-33.7k

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

No one currently above 5% in the filings since 19 Dec 2024.

Fell to 5% or below in the last year: BANK OF AMERICA CORP /DE/ (4.9%, 2025-11-17)

Insider purchases and sales in Q2 2024

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
202Q3 22: 0 buyingQ3 22: 0 sellingQ4 22: 1 buyingQ4 22: 0 sellingQ4 22Q1 23: 0 buyingQ1 23: 0 sellingQ2 23: 0 buyingQ2 23: 0 sellingQ2 23Q3 23: 0 buyingQ3 23: 0 sellingQ4 23: 0 buyingQ4 23: 0 sellingQ4 23Q1 24: 2 buyingQ1 24: 0 sellingQ2 24: 0 buyingQ2 24: 0 sellingQ2 24
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q3 20220—0——
Q4 20221$21.5k0——
Q1 20230—0——
Q2 20230—0——
Q3 20230—0——
Q4 20230—0——
Q1 20242$107.8k0——
Q2 20240—0——

None reported in Q2 2024.

Holders, Q2 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 5,772,0735.8m $83.5m $83.5m 0.01% Reduced -10.5m -10,530,146
2 BANK OF AMERICA CORP /DE/ 0.01% of their portfolio CHARLOTTE, NC 5,624,7925.6m $81.4m $81.4m 0.01% Reduced -47.1k -47,092
3 Raymond James Financial Services Advisors, Inc. 0.03% of their portfolio ST. PETERSBURG, FL 1,497,8651.5m $21.7m $21.7m 0.03% Reduced -27.7k -27,705
4 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 1,424,1481.4m $20.6m $20.6m 0.01% Reduced -286.2k -286,174
5 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 1,297,0291.3m $18.8m $18.8m 0.00% Added +10.7k +10,732
6 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 1,137,2451.1m $16.5m $16.5m 0.00% Added +2.2k +2,206
7 UBS Group AG 0.00% of their portfolio ZURICH, V8 931,786931.8k $13.5m $13.5m 0.00% Reduced -1.2k -1,169
8 LPL Financial LLC 0.01% of their portfolio FORT MILL, SC 901,096901.1k $13.0m $13.0m 0.01% Reduced -790 -790
9 Advisors Asset Management, Inc. 0.22% of their portfolio Monument, CO 776,683776.7k $11.2m $11.2m 0.22% Added +108.2k +108,189
10 Cornerstone Advisors, LLC 0.43% of their portfolio ASHEVILLE, NC 734,489734.5k $10.6m $10.6m 0.43% Added +281.2k +281,199
11 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 705,397705.4k $10.2m $10.2m 0.01% Reduced -33.7k -33,665
12 AQR Arbitrage LLC 0.22% of their portfolio Greenwich, CT 596,883596.9k $8.6m $8.6m 0.22% Added +75.3k +75,297
13 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 1.38% of their portfolio BLUE BELL, PA 460,923460.9k $6.7m $6.7m 1.38% Added +54.1k +54,097
14 Janney Montgomery Scott LLC 0.02% of their portfolio PHILADELPHIA, PA 435,761435.8k $6.3m $6.3m 0.02% Added +4.2k +4,206
15 GUGGENHEIM CAPITAL LLC 0.04% of their portfolio CHICAGO, IL 421,922421.9k $6.1m $6.1m 0.04% Reduced -9.2k -9,173
16 LAZARD ASSET MANAGEMENT LLC 0.01% of their portfolio NEW YORK, NY 384,792384.8k $5.6m $5.6m 0.01% Unchanged
17 Allspring Global Investments Holdings, LLC 0.01% of their portfolio CHARLOTTE, NC 337,799337.8k $4.9m $4.9m 0.01% Reduced -28.3k -28,263
18 CAPTRUST FINANCIAL ADVISORS 0.01% of their portfolio RALEIGH, NC 304,040304.0k $4.4m $4.4m 0.01% Reduced -4.8k -4,801
19 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 299,470299.5k $4.3m $4.3m 0.01% Added +9.3k +9,255
20 Waterfront Wealth Inc. 1.08% of their portfolio OVERLAND PARK, KS 275,349275.3k $4.0m $4.0m 1.08% Added +7.6k +7,613
21 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.32% of their portfolio Englewood, NJ 264,932264.9k $3.8m $3.8m 0.32% Added +55.7k +55,661
22 D.A. DAVIDSON & CO. 0.03% of their portfolio GREAT FALLS, MT 219,730219.7k $3.2m $3.2m 0.03% Reduced -2.0k -1,989
23 Sanctuary Advisors, LLC 0.02% of their portfolio INDIANAPOLIS, IN 208,071208.1k $3.0m $3.0m 0.02% First filing
24 MENLO ADVISORS LLC 1.61% of their portfolio MENLO PARK, CA 201,044201.0k $2.9m $2.9m 1.61% Reduced -70 -70
25 Karpus Management, Inc. 0.08% of their portfolio Pittsford, NY 197,120197.1k $2.9m $2.9m 0.08% Reduced -2.3k -2,335
26 Shaker Financial Services, LLC 1.10% of their portfolio Arlington, VA 188,256188.3k $2.7m $2.7m 1.10% Added +93.1k +93,131
27 ROTHSCHILD INVESTMENT LLC 0.18% of their portfolio CHICAGO, IL 175,761175.8k $2.5m $2.5m 0.18% Added +1.2k +1,191
28 OPPENHEIMER & CO INC 0.04% of their portfolio NEW YORK, NY 157,242157.2k $2.3m $2.3m 0.04% Reduced -311 -311
29 RB Capital Management, LLC 0.58% of their portfolio RENO, NV 156,068156.1k $2.3m $2.3m 0.58% Added +3.1k +3,143
30 COHEN & STEERS, INC. 0.00% of their portfolio NEW YORK, NY 153,821153.8k $2.2m $2.2m 0.00% Reduced -58.0k -58,000
31 GENERAL AMERICAN INVESTORS CO INC 0.16% of their portfolio NEW YORK, NY 150,877150.9k $2.2m $2.2m 0.16% Unchanged
32 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 134,788134.8k $1.9m $1.9m 0.00% Reduced -15.3k -15,296
33 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 131,318131.3k $1.9m $1.9m 0.00% Reduced -28.9k -28,938
34 SeaCrest Wealth Management, LLC 0.21% of their portfolio PURCHASE, NY 129,552129.6k $1.9m $1.9m 0.21% Reduced -7.2k -7,245
35 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 129,496129.5k $1.9m $1.9m 0.00% Reduced -5.7k -5,699
36 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 128,957129.0k $1.9m $1.9m 0.01% Added +15.7k +15,654
37 GABELLI FUNDS LLC 0.01% of their portfolio Rye, NY 124,158124.2k $1.8m $1.8m 0.01% Unchanged
38 Accel Wealth Management 0.71% of their portfolio WAVERLY, IA 121,778121.8k $1.8m $1.8m 0.71% Added +930 +930
39 1607 Capital Partners, LLC 0.14% of their portfolio Richmond, VA 111,288111.3k $1.6m $1.6m 0.14% Reduced -18.6k -18,579
40 Cambridge Investment Research Advisors, Inc. 0.01% of their portfolio FAIRFIELD, IA 104,263104.3k $1.5m $1.5m 0.01% Added +8.0k +7,976
41 Atlantic Union Bankshares Corp 0.09% of their portfolio GLEN ALLEN, VA 102,707102.7k $1.5m $1.5m 0.09% Reduced -419 -419
42 Quantedge Capital Pte Ltd 0.52% of their portfolio Singapore, U0 98,80098.8k $1.4m $1.4m 0.52% Added +64.9k +64,900
43 COMERICA BANK 0.01% of their portfolio DALLAS, TX 94,52494.5k $1.4m $1.4m 0.01% Added +313 +313
44 Atria Investments, Inc 0.02% of their portfolio Charlotte, NC 93,35493.4k $1.4m $1.4m 0.02% Added +7.7k +7,725
45 BENJAMIN F. EDWARDS & COMPANY, INC. 0.02% of their portfolio ST. LOUIS, MO 85,47785.5k $1.2m $1.2m 0.02% Reduced -1.6k -1,629
46 KENNEDY INVESTMENT GROUP, INC. 0.62% of their portfolio WEST DEPTFORD, NJ 84,94984.9k $1.2m $1.2m 0.62% Added +2.7k +2,695
47 Financial Advocates Investment Management 0.06% of their portfolio OLYMPIA, WA 71,00771.0k $1.0m $1.0m 0.06% Reduced -21.0k -20,965
48 WEDBUSH SECURITIES INC 0.04% of their portfolio PASADENA, CA 69,49169.5k $1.0m $1.0m 0.04% Reduced -239 -239
49 NWF Advisory Services Inc. 0.16% of their portfolio Los Angeles, CA 69,44369.4k $1.0m $1.0m 0.16% Reduced -627 -627
50 WOLVERINE ASSET MANAGEMENT LLC 0.02% of their portfolio CHICAGO, IL 68,33568.3k $988.8k $988.8k 0.02% New
51 Samalin Investment Counsel, LLC 0.46% of their portfolio CHAPPAQUA, NY 67,54867.5k $977.4k $977.4k 0.46% Added +1.1k +1,107
52 Composition Wealth, LLC 0.02% of their portfolio LOS ANGELES, CA 65,46465.5k $947.3k $947.3k 0.02% Unchanged
53 Steward Partners Investment Advisory, LLC 0.01% of their portfolio STAMFORD, CT 64,99865.0k $940.5k $940.5k 0.01% Reduced -811 -811
54 Mraz, Amerine & Associates, Inc. 0.18% of their portfolio Modesto, CA 61,02561.0k $883.0k $883.0k 0.18% Reduced -3.3k -3,305
55 Mariner, LLC 0.00% of their portfolio Overland Park, KS 60,93660.9k $881.7k $881.7k 0.00% Unchanged
56 SOL Capital Management CO 0.10% of their portfolio ROCKVILLE, MD 58,48158.5k $846.0k $846.0k 0.10% Added +895 +895
57 9258 Wealth Management, LLC 0.12% of their portfolio BLUE ASH, OH 53,05253.1k $767.7k $767.7k 0.12% Added +729 +729
58 Focused Wealth Management, Inc 0.11% of their portfolio Newburgh, NY 52,84752.8k $764.7k $764.7k 0.11% Added +2.8k +2,808
59 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 48,77248.8k $705.7k $705.7k 0.01% Reduced -6.7k -6,744
60 PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. 0.04% of their portfolio EDINA, MN 48,68048.7k $704.4k $704.4k 0.04% Reduced -20.4k -20,394
61 Prospera Financial Services Inc 0.02% of their portfolio Dallas, TX 47,74747.7k $690.9k $690.9k 0.02% New
62 Stolper Co 0.24% of their portfolio TULSA, OK 46,47546.5k $672.0k $672.0k 0.24% Added +707 +707
63 Heritage Wealth Management, Inc. 0.22% of their portfolio CINCINNATI, OH 46,19146.2k $661.9k $661.9k 0.22% First filing
64 Walleye Capital LLC 0.01% of their portfolio NEW YORK, NY 45,89345.9k $664.1k $664.1k 0.01% Added +2.7k +2,668
65 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 44,99045.0k $651.0k $651.0k 0.00% Reduced -1.2k -1,220
66 Realta Investment Advisors 0.13% of their portfolio WILMINGTON, DE 44,71544.7k $647.0k $647.0k 0.13% Added +865 +865
67 Whitener Capital Management, Inc. 0.19% of their portfolio Rocky Mount, NC 44,37544.4k $642.1k $642.1k 0.19% Added +6.4k +6,443
68 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 43,76943.8k $633.3k $633.3k 0.01% Reduced -3.2k -3,163
69 Triumph Capital Management 0.24% of their portfolio DENVER, CO 41,77041.8k $604.4k $604.4k 0.24% New
70 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 41,33041.3k $598.0k $598.0k 0.00% Added +5.1k +5,072
71 All Season Financial Advisors, Inc. 0.53% of their portfolio DENVER, CO 40,77940.8k $590.1k $590.1k 0.53% Reduced -2.6k -2,618
72 Hennion & Walsh Asset Management, Inc. 0.03% of their portfolio Parsippany, NJ 37,63637.6k $544.6k $544.6k 0.03% Added +3.2k +3,166
73 DAYMARK WEALTH PARTNERS, LLC 0.02% of their portfolio CINCINNATI, OH 37,63137.6k $544.5k $544.5k 0.02% Reduced -7.8k -7,789
74 1776 Wealth LLC 0.24% of their portfolio ATLANTA, GA 37,36937.4k $540.7k $540.7k 0.24% Added +1.3k +1,302
75 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 35,86035.9k $586.7k $586.7k 0.00% Unchanged
76 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 34,35734.4k $497.1k $497.1k 0.00% New
77 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 32,83232.8k $475.1k $475.1k 0.00% Reduced -299 -299
78 David J Yvars Group 0.28% of their portfolio UNIVERSITY PARK, FL 31,51431.5k $454.7k $454.7k 0.28% Reduced -3.4k -3,400
79 Sigma Planning Corp 0.01% of their portfolio ANN ARBOR, MI 30,90530.9k $447.2k $447.2k 0.01% Reduced -141 -141
80 Alexander Randolph Advisory, Inc. 0.40% of their portfolio MCLEAN, VA 29,55629.6k $427.7k $427.7k 0.40% Added +572 +572
81 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 29,04229.0k $420.2k $420.2k 0.00% Added +531 +531
82 MERCER GLOBAL ADVISORS INC /ADV 0.00% of their portfolio DENVER, CO 28,89328.9k $418.1k $418.1k 0.00% Reduced -4.9k -4,852
83 Concorde Asset Management, LLC 0.25% of their portfolio ANN ARBOR, MI 28,04828.0k $405.9k $405.9k 0.25% Added +9.5k +9,502
84 Uncommon Cents Investing LLC 0.13% of their portfolio JANESVILLE, WI 27,49927.5k $397.9k $397.9k 0.13% Reduced -75 -75
85 INDEPENDENT FINANCIAL GROUP, LLC 0.02% of their portfolio SAN DIEGO, CA 26,91826.9k $389.5k $389.5k 0.02% Reduced -22.8k -22,825
86 Moors & Cabot, Inc. 0.02% of their portfolio BOSTON, MA 23,69923.7k $342.9k $342.9k 0.02% Added +31 +31
87 Logan Stone Capital, LLC 0.09% of their portfolio CHICAGO, IL 23,64123.6k $342.1k $342.1k 0.09% New
88 CLIFTONLARSONALLEN WEALTH ADVISORS, LLC 0.01% of their portfolio MINNEAPOLIS, MN 23,29223.3k $337.0k $337.0k 0.01% New
89 Bay Rivers Group 0.16% of their portfolio Williamsburg, VA 21,86321.9k $316.4k $316.4k 0.16% New
90 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.03% of their portfolio ORLANDO, FL 21,76921.8k $315.0k $315.0k 0.03% Reduced -382 -382
91 BROWN ADVISORY INC 0.00% of their portfolio BALTIMORE, MD 21,53821.5k $311.7k $311.7k 0.00% Reduced -3.0k -3,030
92 Tradition Wealth Management, LLC 0.03% of their portfolio EDINA, MN 21,53121.5k $311.6k $311.6k 0.03% Added +604 +604
93 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 21,47221.5k $310.7k $310.7k 0.00% Added +1.2k +1,205
94 Abel Hall, LLC 0.20% of their portfolio BATON ROUGE, LA 20,00020.0k $289.4k $289.4k 0.20% Unchanged
95 SouthState Bank Corp 0.02% of their portfolio Winter Haven, FL 18,97219.0k $274.5k $274.5k 0.02% New
96 B. Riley Wealth Advisors, Inc. 0.01% of their portfolio MEMPHIS, TN 18,82518.8k $272.4k $272.4k 0.01% Added +3.3k +3,308
97 Redmond Asset Management, LLC 0.09% of their portfolio HENRICO, VA 17,90017.9k $259.0k $259.0k 0.09% Unchanged
98 LifePro Asset Management 0.18% of their portfolio San Diego, CA 17,75717.8k $256.9k $256.9k 0.18% Unchanged
99 LEVEL FOUR ADVISORY SERVICES, LLC 0.01% of their portfolio DALLAS, TX 17,71517.7k $256.3k $256.3k 0.01% Reduced -3.3k -3,259
100 SILVERLAKE WEALTH MANAGEMENT LLC 0.10% of their portfolio WILLISTON, VT 17,31517.3k $250.5k $250.5k 0.10% Added +23 +23