| Filed | As-Of/On | Form | Fullname | Fund Class | Shares | Activity | Shares Change | Shares Pct. Change | Hypothetical Old Value | Hypothetical New Value | Hypothetical Value Chg. | Hypotheticals Return |
Hypotheticals Results |
Director |
Other |
Ten Pct |
Officer |
Officer Title |
News Article |
History |
|---|
| 2009-11-20 | 2009-09-30 | N-Q | Oppenheimer Main Street Small Cap Fund - Oppenheimer Main Street Small Cap Fund | Small-Cap Core | | Sold All | -254,724 | -100 % | | | | 0.00 % | $0 | | | | | | News Article | History of Oppenheimer Main Street Small Cap Fund - Oppenheimer Main Street Small Cap Fund Ownership Of Sws Group Inc |
| 2009-11-19 | 2009-09-30 | 13F-HR/A | Royal Bank Of Canada | Institution | 100 | No Change | 0 | 0 % | $1,250 | $1,255 | $5 | 0.40 % | $0 | | | | | | News Article | History of Royal Bank Of Canada Ownership Of Sws Group Inc |
| 2009-11-19 | 2009-09-30 | N-Q | William Blair Funds - Value Discovery Fund | Multi-Cap Core | 47,360 | New Holding | 47,360 | 100 % | $592,000 | $594,368 | $2,368 | 0.40 % | $2,368 | | | | | | News Article | History of William Blair Funds - Value Discovery Fund Ownership Of Sws Group Inc |
| 2009-11-18 | 2009-09-30 | N-Q | Mutual Of America Investment Corp - Small Cap Value Fund | Small-Cap Value | | Sold All | -93,942 | -100 % | | | | -5.78 % | $72,335 | | | | | | News Article | History of Mutual Of America Investment Corp - Small Cap Value Fund Ownership Of Sws Group Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR/A | Amvescap Plc | Institution | 17,934 | Sold Some | -130,220 | -87.89 % | $243,723 | $225,072 | $-18,651 | -7.65 % | $135,429 | | | | | | News Article | History of Amvescap Plc Ownership Of Sws Group Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR/A | Credit Suisse First Boston | Institution | 35,088 | Added More | 2,536 | 7.79 % | $476,846 | $440,354 | $-36,492 | -7.65 % | $-2,637 | | | | | | News Article | History of Credit Suisse First Boston Ownership Of Sws Group Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR | Northcoast Asset Management Llc | No Data | 18,887 | No Change | 0 | 0 % | $256,674 | $237,032 | $-19,642 | -7.65 % | $0 | | | | | | News Article | History of Northcoast Asset Management Llc Ownership Of Sws Group Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR | Wells Fargo And Co | Institution | 31,251 | Sold Some | -2,468 | -7.31 % | $424,701 | $392,200 | $-32,501 | -7.65 % | $2,567 | | | | | | News Article | History of Wells Fargo And Co Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | American International Group Inc | Institution | 35,641 | Sold Some | -2,341 | -6.16 % | $491,846 | $447,295 | $-44,551 | -9.05 % | $2,926 | | | | | | News Article | History of American International Group Inc Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Aqr Capital Management Llc | Institution | 237,406 | Added More | 32,670 | 15.95 % | $3,276,203 | $2,979,445 | $-296,758 | -9.05 % | $-40,838 | | | | | | News Article | History of Aqr Capital Management Llc Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Atlas Capital Management Lp | Institution | 16,000 | New Holding | 16,000 | 100 % | $220,800 | $200,800 | $-20,000 | -9.05 % | $-20,000 | | | | | | News Article | History of Atlas Capital Management Lp Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Epoch Investment Partners Inc | Institution | 652,650 | Added More | 26,510 | 4.23 % | $9,006,570 | $8,190,758 | $-815,813 | -9.05 % | $-33,138 | | | | | | News Article | History of Epoch Investment Partners Inc Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Fifth Third Asset Management Inc | Institution | 134,553 | Added More | 87,883 | 188.30 % | $1,856,831 | $1,688,640 | $-168,191 | -9.05 % | $-109,854 | | | | | | News Article | History of Fifth Third Asset Management Inc Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Fifth Third Bancorp | Institution | 10,880 | New Holding | 10,880 | 100 % | $150,144 | $136,544 | $-13,600 | -9.05 % | $-13,600 | | | | | | News Article | History of Fifth Third Bancorp Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Fmr Corp | Institution | 83,800 | No Change | 0 | 0 % | $1,156,440 | $1,051,690 | $-104,750 | -9.05 % | $0 | | | | | | News Article | History of Fmr Corp Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Ing Groep Nv | Institution | 566,226 | Added More | 487,955 | 623.41 % | $7,813,919 | $7,106,136 | $-707,783 | -9.05 % | $-609,944 | | | | | | News Article | History of Ing Groep Nv Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Madison Square Investors Llc | No Data | 17,591 | Sold Some | -6,466 | -26.87 % | $242,756 | $220,767 | $-21,989 | -9.05 % | $8,083 | | | | | | News Article | History of Madison Square Investors Llc Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Millennium Management Llc | Institution | 48,836 | New Holding | 48,836 | 100 % | $673,937 | $612,892 | $-61,045 | -9.05 % | $-61,045 | | | | | | News Article | History of Millennium Management Llc Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Morgan Stanley | Institution | 41,486 | Sold Some | -12,369 | -22.96 % | $572,507 | $520,649 | $-51,858 | -9.05 % | $15,461 | | | | | | News Article | History of Morgan Stanley Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | New York State Teachers Retirement System | Institution | 134,650 | New Holding | 134,650 | 100 % | $1,858,170 | $1,689,858 | $-168,313 | -9.05 % | $-168,313 | | | | | | News Article | History of New York State Teachers Retirement System Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Northern Trust Corp | Institution | 702,732 | Added More | 254,531 | 56.78 % | $9,697,702 | $8,819,287 | $-878,415 | -9.05 % | $-318,164 | | | | | | News Article | History of Northern Trust Corp Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR/A | Oppenheimer Funds Inc | Institution | 700 | Sold Some | -467,938 | -99.85 % | $9,660 | $8,785 | $-875 | -9.05 % | $584,923 | | | | | | News Article | History of Oppenheimer Funds Inc Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Two Sigma Investments Llc | Institution | 14,050 | New Holding | 14,050 | 100 % | $193,890 | $176,328 | $-17,563 | -9.05 % | $-17,563 | | | | | | News Article | History of Two Sigma Investments Llc Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Us Bancorp De | Institution | 159,794 | No Change | 0 | 0 % | $2,205,157 | $2,005,415 | $-199,743 | -9.05 % | $0 | | | | | | News Article | History of Us Bancorp De Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Wellington Management Co Llp | Institution | | Sold All | -13,600 | -100 % | | | | -9.05 % | $17,000 | | | | | | News Article | History of Wellington Management Co Llp Ownership Of Sws Group Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Wentworth Hauser And Violich | Institution | 1,198,860 | Sold Some | -28,336 | -2.30 % | $16,544,268 | $15,045,693 | $-1,498,575 | -9.05 % | $35,420 | | | | | | News Article | History of Wentworth Hauser And Violich Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Ameriprise Financial Inc | Institution | 220,830 | Sold Some | -104,425 | -32.10 % | $2,987,830 | $2,771,417 | $-216,413 | -7.24 % | $102,337 | | | | | | News Article | History of Ameriprise Financial Inc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Axa | Institution | 37,032 | Sold Some | -15,238 | -29.15 % | $501,043 | $464,752 | $-36,291 | -7.24 % | $14,933 | | | | | | News Article | History of Axa Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Barclays Plc | Institution | 29,737 | Added More | 27,528 | 1246.17 % | $402,342 | $373,199 | $-29,142 | -7.24 % | $-26,977 | | | | | | News Article | History of Barclays Plc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Batterymarch Financial Management Inc | Institution | 1,200 | No Change | 0 | 0 % | $16,236 | $15,060 | $-1,176 | -7.24 % | $0 | | | | | | News Article | History of Batterymarch Financial Management Inc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Brandywine Asset Management Llc | Institution | 30 | New Holding | 30 | 100 % | $406 | $377 | $-29 | -7.24 % | $-29 | | | | | | News Article | History of Brandywine Asset Management Llc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Capital One Financial Corp | Institution | 217 | Sold Some | -103 | -32.18 % | $2,936 | $2,723 | $-213 | -7.24 % | $101 | | | | | | News Article | History of Capital One Financial Corp Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Denver Investment Advisors Llc | Institution | 669,025 | Added More | 170,520 | 34.20 % | $9,051,908 | $8,396,264 | $-655,645 | -7.24 % | $-167,110 | | | | | | News Article | History of Denver Investment Advisors Llc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Gartmore Mutual Fund Capital Trust | Institution | 2,507 | Sold Some | -179,911 | -98.62 % | $33,920 | $31,463 | $-2,457 | -7.24 % | $176,313 | | | | | | News Article | History of Gartmore Mutual Fund Capital Trust Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Geode Capital Management Llc | Institution | 76,661 | Added More | 3,265 | 4.44 % | $1,037,223 | $962,096 | $-75,128 | -7.24 % | $-3,200 | | | | | | News Article | History of Geode Capital Management Llc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Goldman Sachs Group Inc | Institution | 173,666 | Sold Some | -79,231 | -31.32 % | $2,349,701 | $2,179,508 | $-170,193 | -7.24 % | $77,646 | | | | | | News Article | History of Goldman Sachs Group Inc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Jacobs Levy Equity Management Inc | Institution | 156,617 | Added More | 1,400 | 0.90 % | $2,119,028 | $1,965,543 | $-153,485 | -7.24 % | $-1,372 | | | | | | News Article | History of Jacobs Levy Equity Management Inc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Los Angeles Capital Management And Equity Research Inc | Institution | 191,453 | New Holding | 191,453 | 100 % | $2,590,359 | $2,402,735 | $-187,624 | -7.24 % | $-187,624 | | | | | | News Article | History of Los Angeles Capital Management And Equity Research Inc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Managed Account Advisors Llc | Institution | 40,201 | Added More | 2,123 | 5.57 % | $543,920 | $504,523 | $-39,397 | -7.24 % | $-2,081 | | | | | | News Article | History of Managed Account Advisors Llc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Martingale Asset Management L P | Institution | 25,900 | Sold Some | -66,800 | -72.06 % | $350,427 | $325,045 | $-25,382 | -7.24 % | $65,464 | | | | | | News Article | History of Martingale Asset Management L P Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Mason Street Advisors Llc | Institution | 1,498 | Sold Some | -148 | -8.99 % | $20,268 | $18,800 | $-1,468 | -7.24 % | $145 | | | | | | News Article | History of Mason Street Advisors Llc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | New York State Common Retirement Fund | Institution | 53,800 | No Change | 0 | 0 % | $727,914 | $675,190 | $-52,724 | -7.24 % | $0 | | | | | | News Article | History of New York State Common Retirement Fund Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Panagora Asset Management Inc | Institution | | Sold All | -22,628 | -100 % | | | | -7.24 % | $22,175 | | | | | | News Article | History of Panagora Asset Management Inc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Public Sector Pension Investment Board | Institution | 25,200 | New Holding | 25,200 | 100 % | $340,956 | $316,260 | $-24,696 | -7.24 % | $-24,696 | | | | | | News Article | History of Public Sector Pension Investment Board Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Rbc Capital Markets Arbitrage S A | Institution | 966 | New Holding | 966 | 100 % | $13,070 | $12,123 | $-947 | -7.24 % | $-947 | | | | | | News Article | History of Rbc Capital Markets Arbitrage S A Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Rbc Dain Rauscher Inc | Institution | 3,991 | Added More | 3,194 | 400.75 % | $53,998 | $50,087 | $-3,911 | -7.24 % | $-3,130 | | | | | | News Article | History of Rbc Dain Rauscher Inc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Renaissance Technologies Corp | Institution | 67,250 | Sold Some | -7,200 | -9.67 % | $909,893 | $843,988 | $-65,905 | -7.24 % | $7,056 | | | | | | News Article | History of Renaissance Technologies Corp Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR/A | Research Affiliates Llc | Institution | 22,241 | No Change | 0 | 0 % | $300,921 | $279,125 | $-21,796 | -7.24 % | $0 | | | | | | News Article | History of Research Affiliates Llc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Segall Bryant And Hamill | Institution | 312,640 | Added More | 5,880 | 1.91 % | $4,230,019 | $3,923,632 | $-306,387 | -7.24 % | $-5,762 | | | | | | News Article | History of Segall Bryant And Hamill Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Thompson Siegel And Walmsley Inc | Institution | 31,300 | Added More | 7,900 | 33.76 % | $423,489 | $392,815 | $-30,674 | -7.24 % | $-7,742 | | | | | | News Article | History of Thompson Siegel And Walmsley Inc Ownership Of Sws Group Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Vanguard Group Inc | Institution | 1,109,829 | Added More | 15,718 | 1.43 % | $15,015,986 | $13,928,354 | $-1,087,632 | -7.24 % | $-15,404 | | | | | | News Article | History of Vanguard Group Inc Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Allianz Global Investors Of America L P | Institution | | Sold All | -41,200 | -100 % | | | | -7.17 % | $39,964 | | | | | | News Article | History of Allianz Global Investors Of America L P Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Aronson And Johnson And Ortiz Lp | Institution | 168,100 | Sold Some | -301,400 | -64.19 % | $2,272,712 | $2,109,655 | $-163,057 | -7.17 % | $292,358 | | | | | | News Article | History of Aronson And Johnson And Ortiz Lp Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Bank Of America Corp | Institution | 105,071 | Sold Some | -34,246 | -24.58 % | $1,420,560 | $1,318,641 | $-101,919 | -7.17 % | $33,219 | | | | | | News Article | History of Bank Of America Corp Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Barclays Global Investors Uk Holdings Ltd | Institution | 2,066,559 | Sold Some | -42,243 | -2.00 % | $27,939,878 | $25,935,315 | $-2,004,562 | -7.17 % | $40,976 | | | | | | News Article | History of Barclays Global Investors Uk Holdings Ltd Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | First Quadrant L P | Institution | 11,000 | Sold Some | -73,170 | -86.93 % | $148,720 | $138,050 | $-10,670 | -7.17 % | $70,975 | | | | | | News Article | History of First Quadrant L P Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | First Trust Advisors Lp | Institution | 261,609 | Added More | 66,325 | 33.96 % | $3,536,954 | $3,283,193 | $-253,761 | -7.17 % | $-64,335 | | | | | | News Article | History of First Trust Advisors Lp Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Gamco Investors Inc Et Al | Institution | 1,635,000 | Added More | 176,700 | 12.11 % | $22,105,200 | $20,519,250 | $-1,585,950 | -7.17 % | $-171,399 | | | | | | News Article | History of Gamco Investors Inc Et Al Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR/A | Ing Investment Management Co | Institution | 644,426 | Added More | 566,155 | 723.32 % | $8,712,640 | $8,087,546 | $-625,093 | -7.17 % | $-549,170 | | | | | | News Article | History of Ing Investment Management Co Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Kbc Group Nv | Institution | 32,684 | Added More | 8,662 | 36.05 % | $441,888 | $410,184 | $-31,703 | -7.17 % | $-8,402 | | | | | | News Article | History of Kbc Group Nv Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Keeley Asset Management Corp | Institution | 1,359,360 | Sold Some | -46,940 | -3.33 % | $18,378,547 | $17,059,968 | $-1,318,579 | -7.17 % | $45,532 | | | | | | News Article | History of Keeley Asset Management Corp Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Merrill Lynch And Co Inc | Institution | 11,795 | Sold Some | -50,923 | -81.19 % | $159,468 | $148,027 | $-11,441 | -7.17 % | $49,395 | | | | | | News Article | History of Merrill Lynch And Co Inc Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Mfc Global Investment Management Usa Ltd | Institution | 22,143 | Added More | 1,913 | 9.45 % | $299,373 | $277,895 | $-21,479 | -7.17 % | $-1,856 | | | | | | News Article | History of Mfc Global Investment Management Usa Ltd Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Oshaughnessy Asset Management Llc | Institution | 72,360 | Added More | 62,267 | 616.93 % | $978,307 | $908,118 | $-70,189 | -7.17 % | $-60,399 | | | | | | News Article | History of Oshaughnessy Asset Management Llc Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Padco Advisors Ii Inc | Institution | 975 | Added More | 50 | 5.40 % | $13,182 | $12,236 | $-946 | -7.17 % | $-49 | | | | | | News Article | History of Padco Advisors Ii Inc Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Padco Advisors Inc | Institution | 1,070 | Added More | 425 | 65.89 % | $14,466 | $13,429 | $-1,038 | -7.17 % | $-412 | | | | | | News Article | History of Padco Advisors Inc Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Principal Financial Group Inc | Institution | 398,390 | Sold Some | -11,114 | -2.71 % | $5,386,233 | $4,999,795 | $-386,438 | -7.17 % | $10,781 | | | | | | News Article | History of Principal Financial Group Inc Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Russell Frank Co | Institution | 29,100 | Added More | 12,100 | 71.17 % | $393,432 | $365,205 | $-28,227 | -7.17 % | $-11,737 | | | | | | News Article | History of Russell Frank Co Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Suntrust Banks Inc | Institution | 156,586 | Added More | 33,332 | 27.04 % | $2,117,043 | $1,965,154 | $-151,888 | -7.17 % | $-32,332 | | | | | | News Article | History of Suntrust Banks Inc Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Susquehanna International Group Llp | Institution | 16,638 | Added More | 11,910 | 251.90 % | $224,946 | $208,807 | $-16,139 | -7.17 % | $-11,553 | | | | | | News Article | History of Susquehanna International Group Llp Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | United Services Automobile Association | Institution | | Sold All | -16,005 | -100 % | | | | -7.17 % | $15,525 | | | | | | News Article | History of United Services Automobile Association Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Virginia Retirement Systems Et Al | Institution | 27,450 | Sold Some | -9,200 | -25.10 % | $371,124 | $344,498 | $-26,627 | -7.17 % | $8,924 | | | | | | News Article | History of Virginia Retirement Systems Et Al Ownership Of Sws Group Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Voyageur Asset Management Inc | Institution | 179,800 | Sold Some | -352 | -0.19 % | $2,430,896 | $2,256,490 | $-174,406 | -7.17 % | $341 | | | | | | News Article | History of Voyageur Asset Management Inc Ownership Of Sws Group Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | American Century Companies Inc | Institution | 61,055 | Sold Some | -222 | -0.36 % | $837,064 | $766,240 | $-70,824 | -8.46 % | $258 | | | | | | News Article | History of American Century Companies Inc Ownership Of Sws Group Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Comerica Bank | Institution | 28,794 | Sold Some | -1,714 | -5.61 % | $394,766 | $361,365 | $-33,401 | -8.46 % | $1,988 | | | | | | News Article | History of Comerica Bank Ownership Of Sws Group Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Highbridge Capital Management Llc | Institution | | Sold All | -29,902 | -100 % | | | | -8.46 % | $34,686 | | | | | | News Article | History of Highbridge Capital Management Llc Ownership Of Sws Group Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Ig Investment Management Ltd | Institution | 3,575 | New Holding | 3,575 | 100 % | $49,013 | $44,866 | $-4,147 | -8.46 % | $-4,147 | | | | | | News Article | History of Ig Investment Management Ltd Ownership Of Sws Group Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | J P Morgan Chase And Co | Institution | 204,204 | Sold Some | -59,647 | -22.60 % | $2,799,637 | $2,562,760 | $-236,877 | -8.46 % | $69,191 | | | | | | News Article | History of J P Morgan Chase And Co Ownership Of Sws Group Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Philadelphia Financial Management Of San Francisco Llc | Institution | | Sold All | -117,900 | -100 % | | | | -8.46 % | $136,764 | | | | | | News Article | History of Philadelphia Financial Management Of San Francisco Llc Ownership Of Sws Group Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Royce And Associates Llc | Institution | 150 | Sold Some | -1,400 | -90.32 % | $2,057 | $1,883 | $-174 | -8.46 % | $1,624 | | | | | | News Article | History of Royce And Associates Llc Ownership Of Sws Group Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Tesseract Capital Llc | No Data | | Sold All | -2,607 | -100 % | | | | -8.46 % | $3,024 | | | | | | News Article | History of Tesseract Capital Llc Ownership Of Sws Group Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Ubs Ag | Institution | 16,044 | Sold Some | -1,285 | -7.41 % | $219,963 | $201,352 | $-18,611 | -8.46 % | $1,491 | | | | | | News Article | History of Ubs Ag Ownership Of Sws Group Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Ccm Partners | Institution | 1,780 | No Change | 0 | 0 % | $24,582 | $22,339 | $-2,243 | -9.12 % | $0 | | | | | | News Article | History of Ccm Partners Ownership Of Sws Group Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Deprince Race And Zollo Inc | Institution | 225,384 | New Holding | 225,384 | 100 % | $3,112,553 | $2,828,569 | $-283,984 | -9.12 % | $-283,984 | | | | | | News Article | History of Deprince Race And Zollo Inc Ownership Of Sws Group Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Fca Corp | Institution | 10,191 | No Change | 0 | 0 % | $140,738 | $127,897 | $-12,841 | -9.12 % | $0 | | | | | | News Article | History of Fca Corp Ownership Of Sws Group Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Federated Investors Inc | Institution | | Sold All | -28 | -100 % | | | | -9.12 % | $35 | | | | | | News Article | History of Federated Investors Inc Ownership Of Sws Group Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | General Motors Investment Management Corp | Institution | 37,531 | No Change | 0 | 0 % | $518,303 | $471,014 | $-47,289 | -9.12 % | $0 | | | | | | News Article | History of General Motors Investment Management Corp Ownership Of Sws Group Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Lee Munder Capital Group Llc | No Data | 124,998 | No Compare | | | $1,726,222 | $1,568,725 | $-157,497 | -9.12 % | | | | | | | News Article | History of Lee Munder Capital Group Llc Ownership Of Sws Group Inc |
| 2009-11-09 | 2009-09-30 | 13F-HR | Vtl Associates Llc | Institution | | Sold All | -5 | -100 % | | | | -9.12 % | $6 | | | | | | News Article | History of Vtl Associates Llc Ownership Of Sws Group Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Blair William And Co | Institution | 66,185 | Added More | 6,715 | 11.29 % | $878,275 | $830,622 | $-47,653 | -5.42 % | $-4,835 | | | | | | News Article | History of Blair William And Co Ownership Of Sws Group Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Deere And Co | Institution | 34,875 | Added More | 8,469 | 32.07 % | $462,791 | $437,681 | $-25,110 | -5.42 % | $-6,098 | | | | | | News Article | History of Deere And Co Ownership Of Sws Group Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Hartford Investment Management Co | Institution | 4,848 | Sold Some | -700 | -12.61 % | $64,333 | $60,842 | $-3,491 | -5.42 % | $504 | | | | | | News Article | History of Hartford Investment Management Co Ownership Of Sws Group Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Metlife Securities Inc | Institution | 100 | Sold Some | -300 | -75.00 % | $1,327 | $1,255 | $-72 | -5.42 % | $216 | | | | | | News Article | History of Metlife Securities Inc Ownership Of Sws Group Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Metropolitan Life Insurance Co | Institution | 22,033 | No Change | 0 | 0 % | $292,378 | $276,514 | $-15,864 | -5.42 % | $0 | | | | | | News Article | History of Metropolitan Life Insurance Co Ownership Of Sws Group Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Pioneer Investment Management Inc | Institution | | Sold All | -50,500 | -100 % | | | | -5.42 % | $36,360 | | | | | | News Article | History of Pioneer Investment Management Inc Ownership Of Sws Group Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Pnc Financial Services Group Inc | Institution | 260 | Sold Some | -10 | -3.70 % | $3,450 | $3,263 | $-187 | -5.42 % | $7 | | | | | | News Article | History of Pnc Financial Services Group Inc Ownership Of Sws Group Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Schwab Charles Investment Management Inc | Institution | 94,431 | Added More | 8,000 | 9.25 % | $1,253,099 | $1,185,109 | $-67,990 | -5.42 % | $-5,760 | | | | | | News Article | History of Schwab Charles Investment Management Inc Ownership Of Sws Group Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Teachers Advisors Inc | Institution | 141,301 | Sold Some | -470 | -0.33 % | $1,875,064 | $1,773,328 | $-101,737 | -5.42 % | $338 | | | | | | News Article | History of Teachers Advisors Inc Ownership Of Sws Group Inc |
| 2009-11-06 | 2009-09-30 | 13F-HR | Tiaa Cref Investment Management Llc | Institution | 190,112 | Added More | 14,700 | 8.38 % | $2,522,786 | $2,385,906 | $-136,881 | -5.42 % | $-10,584 | | | | | | News Article | History of Tiaa Cref Investment Management Llc Ownership Of Sws Group Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Bank Of Hawaii | Institution | 17,429 | Sold Some | -7,500 | -30.08 % | $233,374 | $218,734 | $-14,640 | -6.27 % | $6,300 | | | | | | News Article | History of Bank Of Hawaii Ownership Of Sws Group Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Nisa Investment Advisors L L C | Institution | 53,070 | No Change | 0 | 0 % | $710,607 | $666,029 | $-44,579 | -6.27 % | $0 | | | | | | News Article | History of Nisa Investment Advisors L L C Ownership Of Sws Group Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Parametric Portfolio Associates | Institution | 21,495 | Added More | 73 | 0.34 % | $287,818 | $269,762 | $-18,056 | -6.27 % | $-61 | | | | | | News Article | History of Parametric Portfolio Associates Ownership Of Sws Group Inc |
| 2009-11-05 | 2009-09-30 | 13F-HR | Proshare Advisors Llc | Institution | | Sold All | -54,489 | -100 % | | | | -6.27 % | $45,771 | | | | | | News Article | History of Proshare Advisors Llc Ownership Of Sws Group Inc |
| 2009-11-05 | 2009-08-31 | N-CSR | Claymore Exchange Traded Fund Trust - Sabrient Stealth | Specialty & Misc | | Sold All | -1,992 | -100 % | | | | -6.27 % | $1,673 | | | | | | News Article | History of Claymore Exchange Traded Fund Trust - Sabrient Stealth Ownership Of Sws Group Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Fort Washington Investment Advisors Inc | Institution | 205,715 | New Holding | 205,715 | 100 % | $2,651,666 | $2,581,723 | $-69,943 | -2.63 % | $-69,943 | | | | | | News Article | History of Fort Washington Investment Advisors Inc Ownership Of Sws Group Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Frontier Capital Management Co Inc | Institution | 31,167 | Added More | 1,459 | 4.91 % | $401,743 | $391,146 | $-10,597 | -2.63 % | $-496 | | | | | | News Article | History of Frontier Capital Management Co Inc Ownership Of Sws Group Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Geewax Plus Partners Llc | Institution | | Sold All | -11,600 | -100 % | | | | -2.63 % | $3,944 | | | | | | News Article | History of Geewax Plus Partners Llc Ownership Of Sws Group Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Gw Capital Management Incco | Institution | 39,483 | Added More | 3,682 | 10.28 % | $508,936 | $495,512 | $-13,424 | -2.63 % | $-1,252 | | | | | | News Article | History of Gw Capital Management Incco Ownership Of Sws Group Inc |
| 2009-11-04 | 2009-09-30 | 13F-HR | Texas Capital Bancshares Inc | Institution | 900 | No Change | 0 | 0 % | $11,601 | $11,295 | $-306 | -2.63 % | $0 | | | | | | News Article | History of Texas Capital Bancshares Inc Ownership Of Sws Group Inc |
| 2009-11-04 | 2009-08-31 | N-CSR | Ssga Funds - Ssga Enhanced Small Cap Fund | Small-Cap Core | 1,400 | Sold Some | -200 | -12.50 % | $18,046 | $17,570 | $-476 | -2.63 % | $68 | | | | | | News Article | History of Ssga Funds - Ssga Enhanced Small Cap Fund Ownership Of Sws Group Inc |
| 2009-11-04 | 2009-08-31 | N-CSR | Ssga Funds - Ssga Small Cap Fund | Small-Cap Core | | Sold All | -5,454 | -100 % | | | | -2.63 % | $1,854 | | | | | | News Article | History of Ssga Funds - Ssga Small Cap Fund Ownership Of Sws Group Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | M And T Bank Corp | Institution | 200 | New Holding | 200 | 100 % | $2,646 | $2,510 | $-136 | -5.13 % | $-136 | | | | | | News Article | History of M And T Bank Corp Ownership Of Sws Group Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Prudential Financial Inc | Institution | 85,423 | Sold Some | -33,918 | -28.42 % | $1,130,146 | $1,072,059 | $-58,088 | -5.13 % | $23,064 | | | | | | News Article | History of Prudential Financial Inc Ownership Of Sws Group Inc |
| 2009-11-03 | 2009-08-31 | N-CSR | California Investment Trust - S And P Smallcap Index Fund | Small-Cap Core | 1,780 | No Change | 0 | 0 % | $23,549 | $22,339 | $-1,210 | -5.13 % | $0 | | | | | | News Article | History of California Investment Trust - S And P Smallcap Index Fund Ownership Of Sws Group Inc |
| 2009-11-02 | 2009-08-31 | N-CSRS | Fidelity Select Portfolios - Brokerage And Investment Management Portfolio | Specialty & Misc | 83,800 | Sold Some | -18,600 | -18.16 % | $1,123,758 | $1,051,690 | $-72,068 | -6.41 % | $15,996 | | | | | | News Article | History of Fidelity Select Portfolios - Brokerage And Investment Management Portfolio Ownership Of Sws Group Inc |
| 2009-11-02 | 2009-08-31 | N-CSRS | Fidelity Select Portfolios - Industrials Portfolio | Specialty & Misc | | Sold All | -83,800 | -100 % | | | | -6.41 % | $72,068 | | | | | | News Article | History of Fidelity Select Portfolios - Industrials Portfolio Ownership Of Sws Group Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Texas Permanent School Fund | Institution | 38,978 | Sold Some | -5,565 | -12.49 % | $521,526 | $489,174 | $-32,352 | -6.20 % | $4,619 | | | | | | News Article | History of Texas Permanent School Fund Ownership Of Sws Group Inc |
| 2009-10-30 | 2009-08-31 | N-CSR | Vanguard World Fund - Vanguard Financials Index Fund | Specialty & Misc | 9,238 | Sold Some | -318 | -3.32 % | $123,604 | $115,937 | $-7,668 | -6.20 % | $264 | | | | | | News Article | History of Vanguard World Fund - Vanguard Financials Index Fund Ownership Of Sws Group Inc |
| 2009-10-29 | 2009-09-30 | 13F-HR | Dimensional Fund Advisors Inc | Institution | 844,025 | Sold Some | -7,145 | -0.83 % | $11,588,463 | $10,592,514 | $-995,950 | -8.59 % | $8,431 | | | | | | News Article | History of Dimensional Fund Advisors Inc Ownership Of Sws Group Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Usaa Mutual Funds Trust - Cornerstone Strategy Fund | Specialty & Misc | | Sold All | -11,100 | -100 % | | | | -8.59 % | $13,098 | | | | | | News Article | History of Usaa Mutual Funds Trust - Cornerstone Strategy Fund Ownership Of Sws Group Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Usaa Mutual Funds Trust - Growth Fund | Multi-Cap Growth | | Sold All | -3,700 | -100 % | | | | -8.59 % | $4,366 | | | | | | News Article | History of Usaa Mutual Funds Trust - Growth Fund Ownership Of Sws Group Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Valic Co I - Asset Allocation Fund | Specialty & Misc | 198 | New Holding | 198 | 100 % | $2,719 | $2,485 | $-234 | -8.59 % | $-234 | | | | | | News Article | History of Valic Co I - Asset Allocation Fund Ownership Of Sws Group Inc |
| 2009-10-29 | 2009-08-31 | N-Q | Valic Co I - Small Cap Index Fund | Small-Cap Core | 19,490 | New Holding | 19,490 | 100 % | $267,598 | $244,600 | $-22,998 | -8.59 % | $-22,998 | | | | | | News Article | History of Valic Co I - Small Cap Index Fund Ownership Of Sws Group Inc |
| 2009-10-28 | 2009-08-31 | N-Q | Brazos Mutual Funds - Brazos Micro Cap Portfolio | Small-Cap Growth | | Sold All | -34,662 | -100 % | | | | -7.99 % | $37,782 | | | | | | News Article | History of Brazos Mutual Funds - Brazos Micro Cap Portfolio Ownership Of Sws Group Inc |
| 2009-10-28 | 2009-08-31 | N-Q | Brazos Mutual Funds - Brazos Small Cap Portfolio | Small-Cap Growth | | Sold All | -11,206 | -100 % | | | | -7.99 % | $12,215 | | | | | | News Article | History of Brazos Mutual Funds - Brazos Small Cap Portfolio Ownership Of Sws Group Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Forward Management Llc | Institution | 850 | No Change | 0 | 0 % | $12,053 | $10,668 | $-1,386 | -11.49 % | $0 | | | | | | News Article | History of Forward Management Llc Ownership Of Sws Group Inc |
| 2009-10-27 | 2009-09-30 | 13F-HR | Mesirow Financial Investment Management | Institution | 1,425,152 | Added More | 276,133 | 24.03 % | $20,208,655 | $17,885,658 | $-2,322,998 | -11.49 % | $-450,097 | | | | | | News Article | History of Mesirow Financial Investment Management Ownership Of Sws Group Inc |
| 2009-10-26 | 2009-09-30 | 13F-HR | Schroder Investment Management Group | Institution | | Sold All | -23,800 | -100 % | | | | -11.43 % | $38,556 | | | | | | News Article | History of Schroder Investment Management Group Ownership Of Sws Group Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Claymore Exchange Traded Fund Trust - Claymoremorningstar Services Super Sector Index Etf | Specialty & Misc | | Sold All | -15 | -100 % | | | | -11.43 % | $24 | | | | | | News Article | History of Claymore Exchange Traded Fund Trust - Claymoremorningstar Services Super Sector Index Etf Ownership Of Sws Group Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Claymore Exchange-Traded Fund Trust 2 - Claymoreclear Global Exchanges Brokers Asset Managers | Global Flex Port | 283 | Added More | 82 | 40.79 % | $4,010 | $3,552 | $-458 | -11.43 % | $-133 | | | | | | News Article | History of Claymore Exchange-Traded Fund Trust 2 - Claymoreclear Global Exchanges Brokers Asset Managers Ownership Of Sws Group Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Ing Series Fund Inc - Ing Balanced Fund | Mixed-Asset Target Allocation Moderate | 690 | New Holding | 690 | 100 % | $9,777 | $8,660 | $-1,118 | -11.43 % | $-1,118 | | | | | | News Article | History of Ing Series Fund Inc - Ing Balanced Fund Ownership Of Sws Group Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Ing Series Fund Inc - Ing Index Plus Smallcap Fund | Small-Cap Core | 5,946 | Sold Some | -400 | -6.30 % | $84,255 | $74,622 | $-9,633 | -11.43 % | $648 | | | | | | News Article | History of Ing Series Fund Inc - Ing Index Plus Smallcap Fund Ownership Of Sws Group Inc |
| 2009-10-26 | 2009-08-31 | N-Q | Ing Series Fund Inc - Ing Small Company Fund | Small-Cap Core | 47,700 | New Holding | 47,700 | 100 % | $675,909 | $598,635 | $-77,274 | -11.43 % | $-77,274 | | | | | | News Article | History of Ing Series Fund Inc - Ing Small Company Fund Ownership Of Sws Group Inc |
| 2009-10-26 | 2009-06-30 | 13F-HR/A | Ameriprise Financial Inc | Institution | 325,255 | Sold Some | -221,956 | -40.56 % | $4,608,863 | $4,081,950 | $-526,913 | -11.43 % | $359,569 | | | | | | News Article | History of Ameriprise Financial Inc Ownership Of Sws Group Inc |
| 2009-10-23 | 2009-09-30 | 13F-HR | Crown Capital Management | Institution | | Sold All | -81,500 | -100 % | | | | -13.98 % | $166,260 | | | | | | News Article | History of Crown Capital Management Ownership Of Sws Group Inc |
| 2009-10-23 | 2009-09-30 | 13F-HR | Wedbush Morgan Securities Inc | Institution | 29,814 | No Change | 0 | 0 % | $434,986 | $374,166 | $-60,821 | -13.98 % | $0 | | | | | | News Article | History of Wedbush Morgan Securities Inc Ownership Of Sws Group Inc |
| 2009-10-22 | 2009-09-30 | 13F-HR | Blackrock Group Ltd | Institution | 9,400 | No Change | 0 | 0 % | $138,744 | $117,970 | $-20,774 | -14.97 % | $0 | | | | | | News Article | History of Blackrock Group Ltd Ownership Of Sws Group Inc |
| 2009-10-22 | 2009-09-30 | 13F-HR | Blackrock Inc | No Data | | Sold All | -8,428 | -100 % | | | | -14.97 % | $18,626 | | | | | | News Article | History of Blackrock Inc Ownership Of Sws Group Inc |
| 2009-10-22 | 2009-09-30 | 13F-HR | Blackrock Investment Management Llc | Institution | 89,114 | Added More | 14,325 | 19.15 % | $1,315,323 | $1,118,381 | $-196,942 | -14.97 % | $-31,658 | | | | | | News Article | History of Blackrock Investment Management Llc Ownership Of Sws Group Inc |
| 2009-10-21 | 2009-09-30 | 13F-HR | Bank Of New York Mellon Corp | Institution | 869,975 | Sold Some | -38,060 | -4.19 % | $12,475,442 | $10,918,186 | $-1,557,255 | -12.48 % | $68,127 | | | | | | News Article | History of Bank Of New York Mellon Corp Ownership Of Sws Group Inc |
| 2009-10-21 | 2009-09-30 | 13F-HR | First Midwest Bank Trust Division | Institution | | Sold All | -19,490 | -100 % | | | | -12.48 % | $34,887 | | | | | | News Article | History of First Midwest Bank Trust Division Ownership Of Sws Group Inc |
| 2009-10-21 | 2009-09-30 | 13F-HR | State Board Of Administration Of Florida Retirement System | Institution | 43,375 | Added More | 8,169 | 23.20 % | $621,998 | $544,356 | $-77,641 | -12.48 % | $-14,623 | | | | | | News Article | History of State Board Of Administration Of Florida Retirement System Ownership Of Sws Group Inc |
| 2009-10-20 | 2009-09-30 | 13F-HR | Public Employees Retirement Association Of Colorado | Institution | 25,650 | No Change | 0 | 0 % | $371,925 | $321,908 | $-50,018 | -13.44 % | $0 | | | | | | News Article | History of Public Employees Retirement Association Of Colorado Ownership Of Sws Group Inc |
| 2009-10-20 | 2009-09-30 | 13F-HR | Teachers Retirement System Of The State Of Kentucky | Institution | 17,800 | Sold Some | -13,600 | -43.31 % | $258,100 | $223,390 | $-34,710 | -13.44 % | $26,520 | | | | | | News Article | History of Teachers Retirement System Of The State Of Kentucky Ownership Of Sws Group Inc |
| 2009-10-19 | 2009-09-30 | 13F-HR | Hanseatic Management Services Inc | Institution | | Sold All | -12,350 | -100 % | | | | -14.68 % | $26,676 | | | | | | News Article | History of Hanseatic Management Services Inc Ownership Of Sws Group Inc |
| 2009-10-19 | 2009-09-30 | 13F-HR | Strs Ohio | Institution | | Sold All | -1,700 | -100 % | | | | -14.68 % | $3,672 | | | | | | News Article | History of Strs Ohio Ownership Of Sws Group Inc |
| 2009-10-15 | 2009-09-30 | 13F-HR | Harris Financial Corp | Institution | 138,741 | Sold Some | -38,052 | -21.52 % | $2,040,880 | $1,741,200 | $-299,681 | -14.68 % | $82,192 | | | | | | News Article | History of Harris Financial Corp Ownership Of Sws Group Inc |
| 2009-10-15 | 2009-09-30 | 13F-HR | Public Employees Retirement System Of Ohio | Institution | 29,366 | No Change | 0 | 0 % | $431,974 | $368,543 | $-63,431 | -14.68 % | $0 | | | | | | News Article | History of Public Employees Retirement System Of Ohio Ownership Of Sws Group Inc |
| 2009-10-08 | 2009-09-30 | 13F-HR | Rhumbline Advisers | Institution | 56,665 | Added More | 95 | 0.16 % | $814,276 | $711,146 | $-103,130 | -12.66 % | $-173 | | | | | | News Article | History of Rhumbline Advisers Ownership Of Sws Group Inc |
| 2009-10-07 | 2009-07-31 | N-CSR | Profunds - Bull Profund | Large-Cap Core | 2,708 | Sold Some | -3,032 | -52.82 % | $38,074 | $33,985 | $-4,089 | -10.73 % | $4,578 | | | | | | News Article | History of Profunds - Bull Profund Ownership Of Sws Group Inc |
| 2009-10-07 | 2009-07-31 | N-CSR | Profunds - Financials Ultrasector Profund | Financial Services | 123 | Sold Some | -94 | -43.31 % | $1,729 | $1,544 | $-186 | -10.73 % | $142 | | | | | | News Article | History of Profunds - Financials Ultrasector Profund Ownership Of Sws Group Inc |
| 2009-10-02 | 2009-07-31 | N-CSR | Pacific Capital Funds - Small Cap Fund | Small-Cap Value | 24,929 | Sold Some | -7,100 | -22.16 % | $345,516 | $312,859 | $-32,657 | -9.45 % | $9,301 | | | | | | News Article | History of Pacific Capital Funds - Small Cap Fund Ownership Of Sws Group Inc |
| 2009-10-02 | 2009-07-31 | N-CSR | Usaa Mutual Funds Trust - Growth Fund | Multi-Cap Growth | 3,700 | New Holding | 3,700 | 100 % | $51,282 | $46,435 | $-4,847 | -9.45 % | $-4,847 | | | | | | News Article | History of Usaa Mutual Funds Trust - Growth Fund Ownership Of Sws Group Inc |
| 2009-09-29 | 2009-07-31 | N-Q | 787 Fund Inc - Axa Enterprise Mergers And Acquisitions Fund | Specialty & Misc | 275,000 | New Holding | 275,000 | 100 % | $3,990,250 | $3,451,250 | $-539,000 | -13.50 % | $-539,000 | | | | | | News Article | History of 787 Fund Inc - Axa Enterprise Mergers And Acquisitions Fund Ownership Of Sws Group Inc |
| 2009-09-29 | 2009-07-31 | N-Q | American Century Mutual Funds Inc - New Opportunities Fund | Small-Cap Growth | | Sold All | -67,652 | -100 % | | | | -13.50 % | $132,598 | | | | | | News Article | History of American Century Mutual Funds Inc - New Opportunities Fund Ownership Of Sws Group Inc |
| 2009-09-29 | 2009-07-31 | N-Q | American Century Mutual Funds Inc - New Opportunities Ii | Small-Cap Growth | | Sold All | -244,525 | -100 % | | | | -13.50 % | $479,269 | | | | | | News Article | History of American Century Mutual Funds Inc - New Opportunities Ii Ownership Of Sws Group Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Dimensions Group Inc - International Core Equity Portfolio | International Small-Mid-Cap Value | 60,623 | No Change | 0 | 0 % | $879,640 | $760,819 | $-118,821 | -13.50 % | $0 | | | | | | News Article | History of Dfa Investment Dimensions Group Inc - International Core Equity Portfolio Ownership Of Sws Group Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Dimensions Group Inc - International Vector Equity Portfolio | No Data | 23,077 | No Change | 0 | 0 % | $334,847 | $289,616 | $-45,231 | -13.50 % | $0 | | | | | | News Article | History of Dfa Investment Dimensions Group Inc - International Vector Equity Portfolio Ownership Of Sws Group Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Dimensions Group Inc - Us Sustainability Core 1 Portfolio | No Data | 700 | No Change | 0 | 0 % | $10,157 | $8,785 | $-1,372 | -13.50 % | $0 | | | | | | News Article | History of Dfa Investment Dimensions Group Inc - Us Sustainability Core 1 Portfolio Ownership Of Sws Group Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Dimensions Group Inc - Va International Value Portfolio | Multi-Cap Value | 2,700 | No Change | 0 | 0 % | $39,177 | $33,885 | $-5,292 | -13.50 % | $0 | | | | | | News Article | History of Dfa Investment Dimensions Group Inc - Va International Value Portfolio Ownership Of Sws Group Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dfa Investment Trust Co - International Value Series | Multi-Cap Value | 24,945 | New Holding | 24,945 | 100 % | $361,952 | $313,060 | $-48,892 | -13.50 % | $-48,892 | | | | | | News Article | History of Dfa Investment Trust Co - International Value Series Ownership Of Sws Group Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Dunham Funds - Dunham Small Cap Value Fund | No Data | 11,712 | Sold Some | -6,550 | -35.86 % | $169,941 | $146,986 | $-22,956 | -13.50 % | $12,838 | | | | | | News Article | History of Dunham Funds - Dunham Small Cap Value Fund Ownership Of Sws Group Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Ishares Trust - Ishares Morningstar Small Core Index Fund | Small-Cap Core | | Sold All | -10,388 | -100 % | | | | -13.50 % | $20,360 | | | | | | News Article | History of Ishares Trust - Ishares Morningstar Small Core Index Fund Ownership Of Sws Group Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Jnl Investors Series Trust - Jackson Perspective 5 Fund | Specialty & Misc | 1,940 | Sold Some | -293 | -13.12 % | $28,149 | $24,347 | $-3,802 | -13.50 % | $574 | | | | | | News Article | History of Jnl Investors Series Trust - Jackson Perspective 5 Fund Ownership Of Sws Group Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Jnl Investors Series Trust - Jackson Perspective Index 5 Fund | Specialty & Misc | 282 | No Change | 0 | 0 % | $4,092 | $3,539 | $-553 | -13.50 % | $0 | | | | | | News Article | History of Jnl Investors Series Trust - Jackson Perspective Index 5 Fund Ownership Of Sws Group Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Jnl Investors Series Trust - Jackson Perspective Vip Fund | No Data | 103 | Sold Some | -29 | -21.96 % | $1,495 | $1,293 | $-202 | -13.50 % | $57 | | | | | | News Article | History of Jnl Investors Series Trust - Jackson Perspective Vip Fund Ownership Of Sws Group Inc |
| 2009-09-29 | 2009-07-31 | N-Q | Managers Trust I - Managers Fremont Global Fund | Global Flex Port | | Sold All | -600 | -100 % | | | | -13.50 % | $1,176 | | | | | | News Article | History of Managers Trust I - Managers Fremont Global Fund Ownership Of Sws Group Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Dryden Small Cap Core Equity Fund Inc - Dryden Small Cap Core Equity Fund Inc | Small-Cap Core | 30,800 | New Holding | 30,800 | 100 % | $453,068 | $386,540 | $-66,528 | -14.68 % | $-66,528 | | | | | | News Article | History of Dryden Small Cap Core Equity Fund Inc - Dryden Small Cap Core Equity Fund Inc Ownership Of Sws Group Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Hancock John Equity Trust - Small Cap Fund | Small-Cap Core | 55,900 | Sold Some | -48,900 | -46.66 % | $822,289 | $701,545 | $-120,744 | -14.68 % | $105,624 | | | | | | News Article | History of Hancock John Equity Trust - Small Cap Fund Ownership Of Sws Group Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Massmutual Premier Funds - Massmutual Premier Main Street Small Cap Fund | Small-Cap Core | 3,700 | Sold Some | -3,360 | -47.59 % | $54,427 | $46,435 | $-7,992 | -14.68 % | $7,258 | | | | | | News Article | History of Massmutual Premier Funds - Massmutual Premier Main Street Small Cap Fund Ownership Of Sws Group Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Massmutual Premier Funds - Massmutual Premier Small Company Opportunities Fund | Small-Cap Core | 7,346 | Sold Some | -5,400 | -42.36 % | $108,060 | $92,192 | $-15,867 | -14.68 % | $11,664 | | | | | | News Article | History of Massmutual Premier Funds - Massmutual Premier Small Company Opportunities Fund Ownership Of Sws Group Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Old Westbury Funds Inc - International Fund | International Multi-Cap Core | 3,400 | No Change | 0 | 0 % | $50,014 | $42,670 | $-7,344 | -14.68 % | $0 | | | | | | News Article | History of Old Westbury Funds Inc - International Fund Ownership Of Sws Group Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Powershares Exchange Traded Fund Trust - Powershares Dynamic Financial Sector Portfolio | Specialty & Misc | 15,763 | New Holding | 15,763 | 100 % | $231,874 | $197,826 | $-34,048 | -14.68 % | $-34,048 | | | | | | News Article | History of Powershares Exchange Traded Fund Trust - Powershares Dynamic Financial Sector Portfolio Ownership Of Sws Group Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Powershares Exchange Traded Fund Trust - Powershares Dynamic Small Cap Growth Portfolio | Small-Cap Growth | 86,441 | New Holding | 86,441 | 100 % | $1,271,547 | $1,084,835 | $-186,713 | -14.68 % | $-186,713 | | | | | | News Article | History of Powershares Exchange Traded Fund Trust - Powershares Dynamic Small Cap Growth Portfolio Ownership Of Sws Group Inc |
| 2009-09-28 | 2009-07-31 | N-Q | Schwab Capital Trust - Schwab Technology Fund | Science & Tech | 8,120 | New Holding | 8,120 | 100 % | $119,445 | $101,906 | $-17,539 | -14.68 % | $-17,539 | | | | | | News Article | History of Schwab Capital Trust - Schwab Technology Fund Ownership Of Sws Group Inc |
| 2009-09-25 | 2009-07-31 | N-Q | Direxion Shares Etf Trust - Direxion Daily Small Cap Bull 3x Shares | No Data | | Sold All | -20,878 | -100 % | | | | -12.17 % | $36,328 | | | | | | News Article | History of Direxion Shares Etf Trust - Direxion Daily Small Cap Bull 3x Shares Ownership Of Sws Group Inc |
| 2009-09-25 | 2009-06-30 | 13F-HR/A | Kbc Group Nv | Institution | 24,022 | Added More | 6,717 | 38.81 % | $343,274 | $301,476 | $-41,798 | -12.17 % | $-11,688 | | | | | | News Article | History of Kbc Group Nv Ownership Of Sws Group Inc |
| 2009-09-24 | 2009-07-31 | N-Q | Nationwide Mutual Funds - Nationwide Large Cap Value Fund | Large-Cap Value | | Sold All | -1,400 | -100 % | | | | -13.44 % | $2,730 | | | | | | News Article | History of Nationwide Mutual Funds - Nationwide Large Cap Value Fund Ownership Of Sws Group Inc |
| 2009-09-22 | 2009-07-31 | N-Q | Dreyfuslaurel Funds Inc - Small Cap Value Fund | Small-Cap Core | 27,220 | Sold Some | -16,900 | -38.30 % | $405,578 | $341,611 | $-63,967 | -15.77 % | $39,715 | | | | | | News Article | History of Dreyfuslaurel Funds Inc - Small Cap Value Fund Ownership Of Sws Group Inc |
| 2009-09-17 | 2009-07-31 | N-Q | Rydex Etf Trust - Rydex Inverse Russell 2000 Etf | Specialty & Misc | 520 | New Holding | 520 | 100 % | $7,992 | $6,526 | $-1,466 | -18.34 % | $-1,466 | | | | | | News Article | History of Rydex Etf Trust - Rydex Inverse Russell 2000 Etf Ownership Of Sws Group Inc |
| 2009-09-15 | 2009-06-30 | N-CSRS/A | Wilshire Mutual Funds Inc - Wilshire Small Company Growth Portfolio | Small-Cap Growth | | Sold All | -975 | -100 % | | | | -13.68 % | $1,940 | | | | | | News Article | History of Wilshire Mutual Funds Inc - Wilshire Small Company Growth Portfolio Ownership Of Sws Group Inc |
| 2009-09-15 | 2009-06-30 | N-CSRS/A | Wilshire Mutual Funds Inc - Wilshire Small Company Value Portfolio | Small-Cap Value | | Sold All | -1,700 | -100 % | | | | -13.68 % | $3,383 | | | | | | News Article | History of Wilshire Mutual Funds Inc - Wilshire Small Company Value Portfolio Ownership Of Sws Group Inc |
| 2009-09-15 | 2009-03-31 | 13F-HR/A | Highbridge Capital Management Llc | Institution | 13,068 | New Holding | 13,068 | 100 % | $190,009 | $164,003 | $-26,005 | -13.68 % | $-26,005 | | | | | | News Article | History of Highbridge Capital Management Llc Ownership Of Sws Group Inc |
| 2009-09-11 | 2009-06-30 | 13F-HR/A | Barclays Global Investors Uk Holdings Ltd | Institution | 2,108,802 | Added More | 99,271 | 4.94 % | $30,219,133 | $26,465,465 | $-3,753,668 | -12.42 % | $-176,702 | | | | | | News Article | History of Barclays Global Investors Uk Holdings Ltd Ownership Of Sws Group Inc |
| 2009-09-08 | 2009-06-30 | N-CSRS | Allianz Variable Insurance Products Trust - Azl Lmp Small Cap Growth Fund | Small-Cap Growth | | Sold All | -18,250 | -100 % | | | | -13.08 % | $34,493 | | | | | | News Article | History of Allianz Variable Insurance Products Trust - Azl Lmp Small Cap Growth Fund Ownership Of Sws Group Inc |
| 2009-09-08 | 2009-06-30 | N-CSRS | Allianz Variable Insurance Products Trust - Azl Small Cap Stock Index Fund | Small-Cap Core | 12,505 | Added More | 2,280 | 22.29 % | $180,572 | $156,938 | $-23,634 | -13.08 % | $-4,309 | | | | | | News Article | History of Allianz Variable Insurance Products Trust - Azl Small Cap Stock Index Fund Ownership Of Sws Group Inc |
| 2009-09-08 | 2009-06-30 | N-CSR | Revenueshares Etf Trust - Revenueshares Small Cap Fund | Small-Cap Core | 1,219 | Added More | 684 | 127.85 % | $17,602 | $15,298 | $-2,304 | -13.08 % | $-1,293 | | | | | | News Article | History of Revenueshares Etf Trust - Revenueshares Small Cap Fund Ownership Of Sws Group Inc |
| 2009-09-08 | 2009-06-30 | N-CSRS | Rydex Series Funds - Banking Fund | Financial Services | 645 | Sold Some | -145 | -18.35 % | $9,314 | $8,095 | $-1,219 | -13.08 % | $274 | | | | | | News Article | History of Rydex Series Funds - Banking Fund Ownership Of Sws Group Inc |
| 2009-09-08 | 2009-06-30 | N-CSRS | Rydex Variable Trust - Biotechnology Fund | Health/Biotech | 315 | Added More | 125 | 65.78 % | $4,549 | $3,953 | $-595 | -13.08 % | $-236 | | | | | | News Article | History of Rydex Variable Trust - Biotechnology Fund Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Advanced Series Trust - Ast First Trust Capital Appreciation Target Portfolio | Specialty & Misc | | Sold All | -113,481 | -100 % | | | | -10.10 % | $160,008 | | | | | | News Article | History of Advanced Series Trust - Ast First Trust Capital Appreciation Target Portfolio Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Advanced Series Trust - Ast International Value Portfolio | Multi-Cap Value | | Sold All | -10,200 | -100 % | | | | -10.10 % | $14,382 | | | | | | News Article | History of Advanced Series Trust - Ast International Value Portfolio Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Axa Premier Vip Trust - Multimanager Small Cap Value Portfolio | Small-Cap Value | 28,900 | No Change | 0 | 0 % | $403,444 | $362,695 | $-40,749 | -10.10 % | $0 | | | | | | News Article | History of Axa Premier Vip Trust - Multimanager Small Cap Value Portfolio Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Eq Advisors Trust - Eqalliancebernstein Small Cap Growth Portfolio | Small-Cap Growth | 11,500 | No Change | 0 | 0 % | $160,540 | $144,325 | $-16,215 | -10.10 % | $0 | | | | | | News Article | History of Eq Advisors Trust - Eqalliancebernstein Small Cap Growth Portfolio Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Eq Advisors Trust - Eqalliancebernstein Value Portfolio | Multi-Cap Value | 524,350 | Added More | 34,350 | 7.01 % | $7,319,926 | $6,580,593 | $-739,334 | -10.10 % | $-48,434 | | | | | | News Article | History of Eq Advisors Trust - Eqalliancebernstein Value Portfolio Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Eq Advisors Trust - Eqbond Index Portfolio | Specialty & Misc | 33,940 | Added More | 5,040 | 17.43 % | $473,802 | $425,947 | $-47,855 | -10.10 % | $-7,106 | | | | | | News Article | History of Eq Advisors Trust - Eqbond Index Portfolio Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Eq Advisors Trust - Eqgamco Mergers And Acquisitions Portfolio | Specialty & Misc | 70,000 | Added More | 5,000 | 7.69 % | $977,200 | $878,500 | $-98,700 | -10.10 % | $-7,050 | | | | | | News Article | History of Eq Advisors Trust - Eqgamco Mergers And Acquisitions Portfolio Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSR | Jpmorgan Trust I - Jpmorgan Small Cap Core Fund | Small-Cap Core | 86 | Sold Some | -4 | -4.44 % | $1,201 | $1,079 | $-121 | -10.10 % | $6 | | | | | | News Article | History of Jpmorgan Trust I - Jpmorgan Small Cap Core Fund Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSR | Jpmorgan Trust Ii - Jpmorgan Core Bond Fund | Multi-Cap Core | 86 | Sold Some | -10 | -10.41 % | $1,201 | $1,079 | $-121 | -10.10 % | $14 | | | | | | News Article | History of Jpmorgan Trust Ii - Jpmorgan Core Bond Fund Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Massmutual Select Funds - Massmutual Select Small Cap Value Equity Fund | Small-Cap Value | 1,300 | No Change | 0 | 0 % | $18,148 | $16,315 | $-1,833 | -10.10 % | $0 | | | | | | News Article | History of Massmutual Select Funds - Massmutual Select Small Cap Value Equity Fund Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Profunds - Bull Profund | Large-Cap Core | 5,740 | Added More | 1,055 | 22.51 % | $80,130 | $72,037 | $-8,093 | -10.10 % | $-1,488 | | | | | | News Article | History of Profunds - Bull Profund Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Profunds - Profund Vp Financials | Specialty & Misc | 1,476 | New Holding | 1,476 | 100 % | $20,605 | $18,524 | $-2,081 | -10.10 % | $-2,081 | | | | | | News Article | History of Profunds - Profund Vp Financials Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Sun Capital Advisers Trust - Sc Oppenheimer Main Street Small Cap Fund | Small-Cap Core | 11,930 | Sold Some | -5,220 | -30.43 % | $166,543 | $149,722 | $-16,821 | -10.10 % | $7,360 | | | | | | News Article | History of Sun Capital Advisers Trust - Sc Oppenheimer Main Street Small Cap Fund Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Vanguard Institutional Index Funds - Vanguard Institutional Index Fund | Specialty & Misc | 21,292 | No Change | 0 | 0 % | $297,236 | $267,215 | $-30,022 | -10.10 % | $0 | | | | | | News Article | History of Vanguard Institutional Index Funds - Vanguard Institutional Index Fund Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-30 | N-CSRS | Westcore Trust - Westcore Growth Fund | Multi-Cap Core | 148,950 | Sold Some | -57,500 | -27.85 % | $2,079,342 | $1,869,323 | $-210,020 | -10.10 % | $81,075 | | | | | | News Article | History of Westcore Trust - Westcore Growth Fund Ownership Of Sws Group Inc |
| 2009-09-04 | 2009-06-10 | N-CSRS | Jpmorgan Insurance Trust - Jpmorgan Insurance Trust Balanced Portfolio | Flexible Portfolio | 12,300 | New Holding | 12,300 | 100 % | $171,708 | $154,365 | $-17,343 | -10.10 % | $-17,343 | | | | | | News Article | History of Jpmorgan Insurance Trust - Jpmorgan Insurance Trust Balanced Portfolio Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Gcg Trust - Ing Focus 5 Portfolio | No Data | 32,100 | No Change | 0 | 0 % | $436,560 | $402,855 | $-33,705 | -7.72 % | $0 | | | | | | News Article | History of Gcg Trust - Ing Focus 5 Portfolio Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Ing Investors Trust - Ing Jpmorgan Small Cap Core Equity Portfolio | Small-Cap Core | 36,200 | New Holding | 36,200 | 100 % | $492,320 | $454,310 | $-38,010 | -7.72 % | $-38,010 | | | | | | News Article | History of Ing Investors Trust - Ing Jpmorgan Small Cap Core Equity Portfolio Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Ing Variable Portfolios Inc - Ing Vp Index Plus Smallcap Portfolio | Small-Cap Core | 27,055 | No Change | 0 | 0 % | $367,948 | $339,540 | $-28,408 | -7.72 % | $0 | | | | | | News Article | History of Ing Variable Portfolios Inc - Ing Vp Index Plus Smallcap Portfolio Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Ing Vp Balanced Portfolio Inc - Ing Vp Balanced Portfolio | Flexible Portfolio | 3,230 | Sold Some | -300 | -8.49 % | $43,928 | $40,537 | $-3,392 | -7.72 % | $315 | | | | | | News Article | History of Ing Vp Balanced Portfolio Inc - Ing Vp Balanced Portfolio Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Jnl Variable Fund Llc - Jnlmcm Financial Sector Fund | Specialty & Misc | 2 | Sold Some | -1 | -33.33 % | $27 | $25 | $-2 | -7.72 % | $1 | | | | | | News Article | History of Jnl Variable Fund Llc - Jnlmcm Financial Sector Fund Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Jnl Variable Fund Llc - Jnlmcm Jnl 5 Fund | Specialty & Misc | 260 | Added More | 11 | 4.41 % | $3,536 | $3,263 | $-273 | -7.72 % | $-12 | | | | | | News Article | History of Jnl Variable Fund Llc - Jnlmcm Jnl 5 Fund Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Jnl Variable Fund Llc - Jnlmcm Select Small-Cap Fund | No Data | 127 | Added More | 74 | 139.62 % | $1,727 | $1,594 | $-133 | -7.72 % | $-78 | | | | | | News Article | History of Jnl Variable Fund Llc - Jnlmcm Select Small-Cap Fund Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Jnl Variable Fund Llc - Jnlmcm Vip Fund | Specialty & Misc | 18 | No Change | 0 | 0 % | $245 | $226 | $-19 | -7.72 % | $0 | | | | | | News Article | History of Jnl Variable Fund Llc - Jnlmcm Vip Fund Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Mml Series Investment Fund - Mml Small Cap Index Fund | Small-Cap Core | 2,879 | No Change | 0 | 0 % | $39,154 | $36,131 | $-3,023 | -7.72 % | $0 | | | | | | News Article | History of Mml Series Investment Fund - Mml Small Cap Index Fund Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Mml Series Investment Fund Ii - Mml Small Cap Equity Fund | Small-Cap Core | 10,969 | Added More | 2,130 | 24.09 % | $149,178 | $137,661 | $-11,517 | -7.72 % | $-2,237 | | | | | | News Article | History of Mml Series Investment Fund Ii - Mml Small Cap Equity Fund Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSR | New Covenant Funds - New Covenant Growth Fund | No Data | | Sold All | -2,300 | -100 % | | | | -7.72 % | $2,415 | | | | | | News Article | History of New Covenant Funds - New Covenant Growth Fund Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Ohio National Fund Inc - Target Vip Portfolio | Specialty & Misc | | Sold All | -2,795 | -100 % | | | | -7.72 % | $2,935 | | | | | | News Article | History of Ohio National Fund Inc - Target Vip Portfolio Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Pacific Select Fund - Pd Small-Cap Growth Index Portfolio | No Data | 6 | No Compare | | | $82 | $75 | $-6 | -7.72 % | | | | | | | News Article | History of Pacific Select Fund - Pd Small-Cap Growth Index Portfolio Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Pacific Select Fund - Pd Small-Cap Value Index Portfolio | No Data | 433 | No Compare | | | $5,889 | $5,434 | $-455 | -7.72 % | | | | | | | News Article | History of Pacific Select Fund - Pd Small-Cap Value Index Portfolio Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSRS | Pacific Select Fund - Small-Cap Index Portfolio | No Data | 12,750 | Sold Some | -300 | -2.29 % | $173,400 | $160,013 | $-13,388 | -7.72 % | $315 | | | | | | News Article | History of Pacific Select Fund - Small-Cap Index Portfolio Ownership Of Sws Group Inc |
| 2009-09-03 | 2009-06-30 | N-CSR | Streettracks Series Trust - Spdr Dividend Etf | Specialty & Misc | 4,506 | Added More | 3,974 | 746.99 % | $61,282 | $56,550 | $-4,731 | -7.72 % | $-4,173 | | | | | | News Article | History of Streettracks Series Trust - Spdr Dividend Etf Ownership Of Sws Group Inc |
| 2009-09-02 | 2009-06-30 | N-CSRS | Schwab Capital Trust - Schwab Technology Fund | Science & Tech | | Sold All | -14,620 | -100 % | | | | -6.62 % | $13,012 | | | | | | News Article | History of Schwab Capital Trust - Schwab Technology Fund Ownership Of Sws Group Inc |
| 2009-09-01 | 2009-06-30 | 13F-HR/A | Amvescap Plc | Institution | 148,154 | Added More | 36,892 | 33.15 % | $2,011,931 | $1,859,333 | $-152,599 | -7.58 % | $-37,999 | | | | | | News Article | History of Amvescap Plc Ownership Of Sws Group Inc |
| 2009-09-01 | 2009-06-30 | 13F-HR/A | Fmr Corp | Institution | 83,800 | No Change | 0 | 0 % | $1,138,004 | $1,051,690 | $-86,314 | -7.58 % | $0 | | | | | | News Article | History of Fmr Corp Ownership Of Sws Group Inc |
| 2009-09-01 | 2009-06-30 | N-CSRS | Tiaa Separate Account Va 1 - Stock Index Account | Specialty & Misc | 1,726 | No Change | 0 | 0 % | $23,439 | $21,661 | $-1,778 | -7.58 % | $0 | | | | | | News Article | History of Tiaa Separate Account Va 1 - Stock Index Account Ownership Of Sws Group Inc |
| 2009-08-31 | 2009-06-30 | N-CSRS | Tiaa Cref Life Fund - Stock Index Fund | Specialty & Misc | 289 | Added More | 108 | 59.66 % | $4,179 | $3,627 | $-552 | -13.20 % | $-206 | | | | | | News Article | History of Tiaa Cref Life Fund - Stock Index Fund Ownership Of Sws Group Inc |
| 2009-08-31 | 2009-06-30 | N-Q | Wisdomtree Trust - Wisdomtree Smallcap Dividend Fund | Small-Cap Core | 5,982 | Added More | 241 | 4.19 % | $86,500 | $75,074 | $-11,426 | -13.20 % | $-460 | | | | | | News Article | History of Wisdomtree Trust - Wisdomtree Smallcap Dividend Fund Ownership Of Sws Group Inc |
| 2009-08-31 | 2009-06-30 | N-Q | Wisdomtree Trust - Wisdomtree Smallcap Earnings Fund | Small-Cap Core | 1,819 | Added More | 672 | 58.58 % | $26,303 | $22,828 | $-3,474 | -13.20 % | $-1,284 | | | | | | News Article | History of Wisdomtree Trust - Wisdomtree Smallcap Earnings Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-CSRS | Dws Variable Series Ii - Dws Balanced Vip | Flexible Portfolio | | Sold All | -900 | -100 % | | | | -14.04 % | $1,845 | | | | | | News Article | History of Dws Variable Series Ii - Dws Balanced Vip Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-CSR | First American Investment Funds Inc - International Fund | International Multi-Cap Core | | Sold All | -26,842 | -100 % | | | | -14.04 % | $55,026 | | | | | | News Article | History of First American Investment Funds Inc - International Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Forum Funds - Absolute Strategies Fund | Equity Mkt Neutral Funds | 14,400 | No Change | 0 | 0 % | $210,240 | $180,720 | $-29,520 | -14.04 % | $0 | | | | | | News Article | History of Forum Funds - Absolute Strategies Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 2000 Growth Index Fund | Multi-Cap Growth | 10,456 | New Holding | 10,456 | 100 % | $152,658 | $131,223 | $-21,435 | -14.04 % | $-21,435 | | | | | | News Article | History of Ishares Trust - Ishares Russell 2000 Growth Index Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 2000 Index Fund | Specialty & Misc | 290,163 | Sold Some | -11,946 | -3.95 % | $4,236,380 | $3,641,546 | $-594,834 | -14.04 % | $24,489 | | | | | | News Article | History of Ishares Trust - Ishares Russell 2000 Index Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 2000 Value Index Fund | Multi-Cap Value | 184,158 | Sold Some | -12,945 | -6.56 % | $2,688,707 | $2,311,183 | $-377,524 | -14.04 % | $26,537 | | | | | | News Article | History of Ishares Trust - Ishares Russell 2000 Value Index Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 3000 Growth Index Fund | Multi-Cap Growth | 91 | New Holding | 91 | 100 % | $1,329 | $1,142 | $-187 | -14.04 % | $-187 | | | | | | News Article | History of Ishares Trust - Ishares Russell 3000 Growth Index Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 3000 Index Fund | Specialty & Misc | 7,520 | Added More | 420 | 5.91 % | $109,792 | $94,376 | $-15,416 | -14.04 % | $-861 | | | | | | News Article | History of Ishares Trust - Ishares Russell 3000 Index Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell 3000 Value Index Fund | Multi-Cap Value | 1,758 | Added More | 51 | 2.98 % | $25,667 | $22,063 | $-3,604 | -14.04 % | $-105 | | | | | | News Article | History of Ishares Trust - Ishares Russell 3000 Value Index Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Ishares Trust - Ishares Russell Microcap Index Fund | Specialty & Misc | 38,637 | Added More | 9,141 | 30.99 % | $564,100 | $484,894 | $-79,206 | -14.04 % | $-18,739 | | | | | | News Article | History of Ishares Trust - Ishares Russell Microcap Index Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-CSRS | Putnam Variable Trust - Putnam Vt Global Asset Allocation Fund | Global Flex Port | 4,016 | Added More | 1,134 | 39.34 % | $58,634 | $50,401 | $-8,233 | -14.04 % | $-2,325 | | | | | | News Article | History of Putnam Variable Trust - Putnam Vt Global Asset Allocation Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-CSRS | Putnam Variable Trust - Putnam Vt Small Cap Value Fund | Small-Cap Value | 95,497 | Sold Some | -46,000 | -32.50 % | $1,394,256 | $1,198,487 | $-195,769 | -14.04 % | $94,300 | | | | | | News Article | History of Putnam Variable Trust - Putnam Vt Small Cap Value Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Riversource Strategic Allocation Series Inc - Riversource Strategic Allocation Fund | Flexible Portfolio | 24,611 | New Holding | 24,611 | 100 % | $359,321 | $308,868 | $-50,453 | -14.04 % | $-50,453 | | | | | | News Article | History of Riversource Strategic Allocation Series Inc - Riversource Strategic Allocation Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Seasons Series Trust - Small Cap Portfolio | Small-Cap Core | 3,878 | New Holding | 3,878 | 100 % | $56,619 | $48,669 | $-7,950 | -14.04 % | $-7,950 | | | | | | News Article | History of Seasons Series Trust - Small Cap Portfolio Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Seasons Series Trust - Stock Portfolio | Multi-Cap Core | 4,967 | New Holding | 4,967 | 100 % | $72,518 | $62,336 | $-10,182 | -14.04 % | $-10,182 | | | | | | News Article | History of Seasons Series Trust - Stock Portfolio Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | N-Q | Sti Classic Funds - Small Cap Growth Stock Fund | Small-Cap Growth | 94,120 | Sold Some | -3,600 | -3.68 % | $1,374,152 | $1,181,206 | $-192,946 | -14.04 % | $7,380 | | | | | | News Article | History of Sti Classic Funds - Small Cap Growth Stock Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2009-06-30 | 13F-HR/A | Wells Fargo And Co | Institution | 33,719 | Sold Some | -15,855 | -31.98 % | $492,297 | $423,173 | $-69,124 | -14.04 % | $32,503 | | | | | | News Article | History of Wells Fargo And Co Ownership Of Sws Group Inc |
| 2009-08-28 | 2008-06-30 | N-Q | Vanguard Horizon Funds - Vanguard Strategic Equity Fund | Specialty & Misc | | Sold All | -42,500 | -100 % | | | | -14.04 % | $87,125 | | | | | | News Article | History of Vanguard Horizon Funds - Vanguard Strategic Equity Fund Ownership Of Sws Group Inc |
| 2009-08-28 | 2008-06-30 | N-Q | Vanguard Malvern Funds - Vanguard Capital Value Fund | Multi-Cap Value | 6,300 | Sold Some | -3,200 | -33.68 % | $91,980 | $79,065 | $-12,915 | -14.04 % | $6,560 | | | | | | News Article | History of Vanguard Malvern Funds - Vanguard Capital Value Fund Ownership Of Sws Group Inc |
| 2009-08-27 | 2009-06-30 | N-Q | Dws Investment Trust - Dws Small Cap Core Fund | Small-Cap Core | 32,400 | New Holding | 32,400 | 100 % | $473,688 | $406,620 | $-67,068 | -14.15 % | $-67,068 | | | | | | News Article | History of Dws Investment Trust - Dws Small Cap Core Fund Ownership Of Sws Group Inc |
| 2009-08-27 | 2009-06-30 | N-Q | Keeley Funds Inc - Keeley Small Cap Value Fund | No Data | 1,340,000 | No Change | 0 | 0 % | $19,590,800 | $16,817,000 | $-2,773,800 | -14.15 % | $0 | | | | | | News Article | History of Keeley Funds Inc - Keeley Small Cap Value Fund Ownership Of Sws Group Inc |
| 2009-08-27 | 2009-06-30 | N-Q | Old Mutual Advisor Funds Ii - Old Mutual Mid Cap Fund | Mid-Cap Core | 23,400 | New Holding | 23,400 | 100 % | $342,108 | $293,670 | $-48,438 | -14.15 % | $-48,438 | | | | | | News Article | History of Old Mutual Advisor Funds Ii - Old Mutual Mid Cap Fund Ownership Of Sws Group Inc |
| 2009-08-27 | 2009-06-30 | N-Q | Tamarack Funds Trust - Tamarack Enterprise Fund | Specialty & Misc | 99,900 | No Change | 0 | 0 % | $1,460,538 | $1,253,745 | $-206,793 | -14.15 % | $0 | | | | | | News Article | History of Tamarack Funds Trust - Tamarack Enterprise Fund Ownership Of Sws Group Inc |
| 2009-08-27 | 2009-06-30 | N-Q | Tamarack Funds Trust - Tamarack Microcap Value Fund | Multi-Cap Value | 46,500 | No Change | 0 | 0 % | $679,830 | $583,575 | $-96,255 | -14.15 % | $0 | | | | | | News Article | History of Tamarack Funds Trust - Tamarack Microcap Value Fund Ownership Of Sws Group Inc |
| 2009-08-27 | 2009-06-30 | N-Q | Tamarack Funds Trust - Tamarack Small Cap Core Fund | Small-Cap Core | 8,800 | No Change | 0 | 0 % | $128,656 | $110,440 | $-18,216 | -14.15 % | $0 | | | | | | News Article | History of Tamarack Funds Trust - Tamarack Small Cap Core Fund Ownership Of Sws Group Inc |
| 2009-08-27 | 2009-06-30 | N-Q | Tiaa Cref Institutional Mutual Funds - Equity Index Fund | Specialty & Misc | 16,266 | Added More | 1,068 | 7.02 % | $237,809 | $204,138 | $-33,671 | -14.15 % | $-2,211 | | | | | | News Article | History of Tiaa Cref Institutional Mutual Funds - Equity Index Fund Ownership Of Sws Group Inc |
| 2009-08-27 | 2009-06-30 | N-CSRS | Vanguard Index Funds - Vanguard 500 Index Fund | S&P 500 Index | | Sold All | -475,909 | -100 % | | | | -14.15 % | $985,132 | | | | | | News Article | History of Vanguard Index Funds - Vanguard 500 Index Fund Ownership Of Sws Group Inc |
| 2009-08-27 | 2009-06-30 | N-CSRS | Vanguard Index Funds - Vanguard Extended Market Index Fund | Mid-Cap Core | 167,589 | Added More | 6,719 | 4.17 % | $2,450,151 | $2,103,242 | $-346,909 | -14.15 % | $-13,908 | | | | | | News Article | History of Vanguard Index Funds - Vanguard Extended Market Index Fund Ownership Of Sws Group Inc |
| 2009-08-27 | 2009-06-30 | N-CSRS | Vanguard Index Funds - Vanguard Total Stock Market Index Fund | Multi-Cap Core | 235,052 | Added More | 31,073 | 15.23 % | $3,436,460 | $2,949,903 | $-486,558 | -14.15 % | $-64,321 | | | | | | News Article | History of Vanguard Index Funds - Vanguard Total Stock Market Index Fund Ownership Of Sws Group Inc |
| 2009-08-27 | 2009-06-30 | N-CSRS | Vanguard Index Funds - Vanguard Value Index Fund | Large-Cap Value | 196,317 | New Holding | 196,317 | 100 % | $2,870,155 | $2,463,778 | $-406,376 | -14.15 % | $-406,376 | | | | | | News Article | History of Vanguard Index Funds - Vanguard Value Index Fund Ownership Of Sws Group Inc |
| 2009-08-27 | 2008-06-30 | N-CSRS | Vanguard Balanced Index Funds - Vanguard Balanced Index Fund | Mixed-Asset Target Allocation Growth | 10,221 | Added More | 2,400 | 30.68 % | $149,431 | $128,274 | $-21,157 | -14.15 % | $-4,968 | | | | | | News Article | History of Vanguard Balanced Index Funds - Vanguard Balanced Index Fund Ownership Of Sws Group Inc |
| 2009-08-27 | 2008-06-30 | N-CSRS | Vanguard Balanced Index Funds - Vanguard Balanced Index Fund | Mixed-Asset Target Allocation Growth | 7,821 | No Change | 0 | 0 % | $114,343 | $98,154 | $-16,189 | -14.15 % | $0 | | | | | | News Article | History of Vanguard Balanced Index Funds - Vanguard Balanced Index Fund Ownership Of Sws Group Inc |
| 2009-08-25 | 2009-06-30 | N-CSRS | Maxim Series Fund Inc - Maxim Small-Cap Growth Portfolio | No Data | 20,900 | New Holding | 20,900 | 100 % | $304,931 | $262,295 | $-42,636 | -13.98 % | $-42,636 | | | | | | News Article | History of Maxim Series Fund Inc - Maxim Small-Cap Growth Portfolio Ownership Of Sws Group Inc |
| 2009-08-25 | 2009-06-30 | N-CSRS | Maxim Series Fund Inc - Maxim Small-Cap Value Portfolio | No Data | 4,200 | No Compare | | | $61,278 | $52,710 | $-8,568 | -13.98 % | | | | | | | News Article | History of Maxim Series Fund Inc - Maxim Small-Cap Value Portfolio Ownership Of Sws Group Inc |
| 2009-08-25 | 2009-06-30 | N-Q | Nicholas Applegate Institutional Funds - International Growth Fund | Multi-Cap Growth | | Sold All | -34,500 | -100 % | | | | -13.98 % | $70,380 | | | | | | News Article | History of Nicholas Applegate Institutional Funds - International Growth Fund Ownership Of Sws Group Inc |
| 2009-08-24 | 2009-06-30 | N-Q | Ing Series Fund Inc - Ing Balanced Fund | Mixed-Asset Target Allocation Moderate | | Sold All | -690 | -100 % | | | | -15.08 % | $1,539 | | | | | | News Article | History of Ing Series Fund Inc - Ing Balanced Fund Ownership Of Sws Group Inc |
| 2009-08-24 | 2009-06-30 | N-CSRS | Oppenheimer Variable Account Funds - Oppenheimer Main Street Fundva | Specialty & Misc | 58,756 | New Holding | 58,756 | 100 % | $868,414 | $737,388 | $-131,026 | -15.08 % | $-131,026 | | | | | | News Article | History of Oppenheimer Variable Account Funds - Oppenheimer Main Street Fundva Ownership Of Sws Group Inc |
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