BASSWOOD CAPITAL MANAGEMENT, L.L.C.

Registered adviser

CIK

1085393

Location

NEW YORK, NY

Portfolio Value

Mid $2,507,821,917

Diversification

Diversified

Filing Date

Global Rank

#1,401 / 8,828 ▲ 18

Top Industry

Banks - Regional 50.9%

Period ended 4 months ago

Filed Aug 14, 2026 · 3mo

26 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Nov 1, 2026

Form ADV adviser

CRD 138032

Roster of Nov 1, 2026

Regulatory AUM

$2,827,097,469

Main clients

Pooled investment vehicles (78% of AUM)

Private funds

9 funds · Hedge funds

Focus by fund count, roster of Nov 1, 2026

$2,195,443,717 gross assets

LEI

549300PY20FEU0RGFX33

Private funds on Schedule D 7.B.(1)

As filed Mar 30, 2024; SEC's bulk Form ADV archive ends with 2024 filings.

$1,337,214,376 gross assets in 9 funds Hedge funds $1,337,214,376 (9)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Nov 2026	$2,827,097,469	Pooled investment vehicles (78%)
Apr 2025 to Mar 2026	$2,088,566,186	Pooled investment vehicles (73%)
Apr 2024 to Mar 2025	$1,951,000,260	Pooled investment vehicles (69%)
May 2023 to Mar 2024	$1,971,946,550	Pooled investment vehicles (65%)
Apr 2023	$1,971,946,550	Pooled investment vehicles (65%)
Apr 2022 to Mar 2023	$2,622,949,320	Pooled investment vehicles (71%)

4 earlier changes not shown.

Stated strategy

Fundamental active, Value, Long/short hedge, Income, Fixed income / rates, Activist Form ADV Part 2A, Mar 30, 2026 · original

In the firm's words

Fundamental active: employing fundamental research and analysis to identify investments
Value: identify investments that we feel are undervalued (or, in the case of short positions, overvalued) by the marketplace
Long/short hedge: investing primarily on a long basis and short basis in a select number of investments
Income: invest in Additional Tier 1 subordinated bonds of European and UK banks and preferred stock of U.S. Banks seeking high yields and price appreciation
Fixed income / rates: The general investment objective of our Liquid Credit Strategy is to invest in Additional Tier 1 subordinated bonds of European and UK banks and preferred stock of U.S. Banks seeking high yields and price appreciation.
Activist: We will often communicate with management and other stakeholders of the issuing company regarding the possibility of, or seeking to influence the management of the issuing company with respect to, business strategies, mergers, recapitalizations, sales of assets, negotiated or open-market stock repurchases or other extraordinary corporate transactions.

Schedule 13D/13G stakes

Stakes of 5% or more disclosed on Schedule 13D or 13G, each on the filer's latest filing for the security. These are event-dated stakes, not the quarter-end 13F portfolio below.

No stake currently held at or above 5%.

A 13D or 13G stays in force until its filer amends it and no amendment is due without a material change, so a stake with no filing in 24 months reads unconfirmed, never sold. An amendment reporting under 5% ends the filer's duty to amend, not necessarily the holding. Shares are restated onto today's split basis. Show 4 exited, below-5% or retired stakes

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.

Style

Diversified active

Top 10 weight 35.6%, 46.7 effective positions, active share 94.4% against the S&P MidCap 400 as of 2026-06-30; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Medium turnover

34.9% over the last four quarters (30% to under 100%)

Horizon

Long horizon

Value-weighted holding period 17.0 quarters (12+), a floor since 44.5% of the book was already held when coverage starts

Closest benchmark: the S&P MidCap 400 as of 2026-06-30, active share 94.4%; sector active share 80.6% against the combined 13F book's sector weights.

Over time 26 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

108 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026

Top Position

6.1%

−0.4 pts

Top 5

22.7%

−1.2 pts

Top 10

36.3%

−0.7 pts

HHI

215

Diversified−11

Portfolio Trend

26 quarters · across all stocks

Sector Breakdown

As of Jun 30, 2026

Sector	% Portfolio	Value	Positions
Financial Services	85.4%	$2,141,085,883	96
Unclassified	8.5%	$212,442,884	3
Consumer Cyclical	5.0%	$125,910,063	6
Industrials	0.6%	$14,476,388	1
Real Estate	0.6%	$13,906,699	2

Last Quarter's Activity

Export CSV

Jun 30, 2026 vs Mar 31, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
HBAN	Huntington Bancshares Inc	+851,533	1,486,699	$26,359,173
RKT	Rocket Companies, Inc.	+786,216	4,694,791	$73,942,958
BANC	Banc Of California, Inc.	+325,201	576,403	$11,775,913
WFC	Wells Fargo & Company	+291,745	555,428	$45,900,569
BAC	Bank Of America Corp	+250,769	2,103,476	$119,856,062
CBZ	CBIZ, Inc.	+246,597	451,259	$14,476,388
SPFI	South Plains Financial, Inc.	+235,527	311,615	$13,425,932
SYF	Synchrony Financial	+233,262	601,368	$45,734,036
SSB	SouthState Bank Corp	+173,847	281,031	$28,074,996
MVBF	Mvb Financial Corp	+140,615	257,731	$7,476,776
HWC	Hancock Whitney Corp	+114,740	234,722	$17,538,427
EQH	Equitable Holdings, Inc.	+110,180	361,690	$15,870,957
ESQ	Esquire Financial Holdings, Inc.	+100,689	369,416	$44,001,139
PGC	Peapack Gladstone Financial Corp	+95,585	291,105	$13,777,999
COF	Capital One Financial Corp	+59,438	257,969	$51,753,740
BSRR	Sierra Bancorp	+44,413	184,089	$7,503,467
RM	Regional Management Corp.	+34,748	855,425	$35,243,510
ALLY	Ally Financial Inc.	+24,525	597,680	$27,463,396
AMG	Affiliated Managers Group, Inc.	+22,197	34,501	$11,675,138
OBK	Origin Bancorp, Inc.	+14,238	418,193	$21,390,571
LEN	Lennar Corp	+12,936	98,937	$8,952,809
PGR	Progressive Corp	+11,693	66,458	$14,517,750
SMBK	Smartfinancial Inc.	+10,589	180,329	$8,461,036
BOH	Bank Of Hawaii Corp	+7,834	324,499	$26,443,423
BPRN	Princeton Bancorp, Inc.	+5,841	97,529	$3,701,225
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
FNB	Fnb Corp	−626,985	1,262,019	$24,079,322
UWMC	UWM Holdings Corp	−457,040	21,405	$49,017
EBC	Eastern Bankshares, Inc.	−413,318	502,120	$11,167,148
PFSI	PennyMac Financial Services, Inc.	−269,018	192,334	$16,752,291
SCHW	Schwab Charles Corp	−218,703	250,998	$23,159,585
SFNC	Simmons First National Corp	−166,458	1,285,307	$29,112,203
CFG	Citizens Financial Group Inc	−155,872	380,337	$26,650,213
TFC	Truist Financial Corp	−116,120	76,311	$3,801,814
CARE	Carter Bankshares, Inc.	−96,106	131,609	$4,476,022
RJF	Raymond James Financial Inc	−95,361	108,544	$16,501,944
VOYA	Voya Financial, Inc.	−91,193	116,511	$10,547,740
DCOM	Dime Commercial Bancshares, Inc.	−75,288	1,946,016	$79,105,550
KEY	Keycorp	−66,432	1,353,117	$31,189,346
CPF	Central Pacific Financial Corp	−61,295	670,238	$25,603,091
PNC	Pnc Financial Services Group, Inc.	−54,080	56,169	$13,829,931
—		−53,087	386,436	$27,722,919
CWK	Cushman & Wakefield Ltd.	−48,742	998,750	$13,373,262
PNFP	Pinnacle Financial Partners, Inc.	−45,456	410,638	$41,425,161
LAZ	Lazard, Inc.	−38,172	546,216	$22,908,299
IVZ	Invesco Ltd.	−37,026	1,167,259	$30,803,965
ONB	Old National Bancorp	−28,864	1,780,471	$46,114,198
LPLA	LPL Financial Holdings Inc.	−27,285	2,921	$822,787
BPOP	Popular, Inc.	−26,944	291,757	$47,900,664
OMF	OneMain Holdings, Inc.	−25,378	847,066	$51,645,614
MC	Moelis & Co	−22,726	38,242	$2,501,791
No positions match the current search.

New Positions

Positions the filer opened this quarter

10 positions

Ticker	Company	Shares	Value
MDY	Spdr S&P Midcap 400 ETF Trust	38,082	$26,784,593
CBU	Community Financial System, Inc.	321,017	$21,546,661
UMBF	Umb Financial Corp	144,257	$20,594,129
AMTB	Amerant Bancorp Inc.	497,159	$12,687,497
SF	Stifel Financial Corp	104,316	$7,278,127
SHBI	Shore Bancshares Inc	299,231	$6,867,351
WASH	Washington Trust Bancorp Inc	183,998	$6,712,247
NBHC	National Bank Holdings Corp	46,956	$2,086,255
FBK	FB Financial Corp	33,216	$1,838,505
WRLD	World Acceptance Corp	8,186	$1,832,272
No positions match the current search.

Sold Out

Positions the filer fully exited

7 positions

Ticker	Company	Shares	Value
CBSH	Commerce Bancshares Inc	292,802	$14,405,858
AMP	Ameriprise Financial Inc	29,254	$13,000,477
CRBG	Corebridge Financial, Inc.	320,391	$7,644,529
JLL	Jones Lang Lasalle Inc	10,388	$3,161,276
KKR	KKR & Co. Inc.	25,666	$2,374,105
CHMG	Chemung Financial Corp	27,103	$1,458,683
BUR	Burford Capital Ltd	118,200	$534,264
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

108 tracked positions · $2,507,821,917 total · filing declares 111 positions · $2,511,944,578 · as of Jun 30, 2026

All sectors Consumer Cyclical Financial Services Industrials Real Estate

Showing 1–50 of 108 positions by value · page 1 of 3

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
JPM	Jpmorgan Chase & Co Financial Services	Held	469,496	0	$153,680,125	+11.3%	26+	before history	6.13%
TLT	iShares 20+ Year Treasury Bond ETF CALL + SHARES	Held	1,422,454	0	$122,928,474	−0.3%	17	unpriced	4.90%
BAC	Bank Of America Corp Financial Services	Added	2,103,476	+250,769	$119,856,062	+32.7%	26+	before history	4.78%
		Held	1,215,997	0	$92,926,490	+10.1%	18	$53.72	3.71%
USB	US Bancorp De Financial Services	Held	1,336,628	0	$80,732,331	+16.1%	26+	before history	3.22%
DCOM	Dime Commercial Bancshares, Inc. Financial Services	Reduced	1,946,016	-75,288	$79,105,550	+15.7%	22	$28.67	3.15%
MS	Morgan Stanley Financial Services	Held	369,259	0	$77,189,901	+27.0%	26+	before history	3.08%
RKT	Rocket Companies, Inc. Financial Services	Added	4,694,791	+786,216	$73,942,958	+32.8%	6	$17.09	2.95%
MDY	Spdr S&P Midcap 400 ETF Trust PUT + SHARES	Added	81,882	+50,882	$57,590,885	+201.2%	1	$669.65	2.30%
COF	Capital One Financial Corp Financial Services	Added	257,969	+59,438	$51,753,740	+42.9%	26+	before history	2.06%
OMF	OneMain Holdings, Inc. Financial Services	Reduced	847,066	-25,378	$51,645,614	+10.7%	26+	before history	2.06%
FCNCA	First Citizens Bancshares Inc Financial Services	Held	23,056	0	$47,974,694	+10.4%	26+	before history	1.91%
BPOP	Popular, Inc. Financial Services	Reduced	291,757	-26,944	$47,900,664	+12.0%	21	$100.41	1.91%
TOL	Toll Brothers, Inc. Consumer Cyclical	Held	284,288	0	$46,836,448	+20.7%	18	$97.38	1.87%
ONB	Old National Bancorp Financial Services	Reduced	1,780,471	-28,864	$46,114,198	+15.3%	26+	before history	1.84%
WFC	Wells Fargo & Company Financial Services	Added	555,428	+291,745	$45,900,569	+118.7%	26+	before history	1.83%
SYF	Synchrony Financial Financial Services	Added	601,368	+233,262	$45,734,036	+82.7%	14	$61.51	1.82%
ESQ	Esquire Financial Holdings, Inc. Financial Services	Added	369,416	+100,689	$44,001,139	+52.3%	26+	before history	1.75%
PNFP	Pinnacle Financial Partners, Inc. Financial Services	Reduced	410,638	-45,456	$41,425,161	+5.4%	2	$93.04	1.65%
RM	Regional Management Corp. Financial Services	Added	855,425	+34,748	$35,243,510	+33.2%	26+	before history	1.41%
KRE	State Street(R) SPDR(R) S&P(R) Regional Banking ETF PUT	Added	426,500	+85,000	$31,923,525	+43.5%	—	—	1.27%
KEY	Keycorp Financial Services	Reduced	1,353,117	-66,432	$31,189,346	+9.6%	26+	before history	1.24%
IVZ	Invesco Ltd. Financial Services	Reduced	1,167,259	-37,026	$30,803,965	+5.3%	6	$19.70	1.23%
ZION	Zions Bancorporation, National Association Financial Services	Reduced	425,137	-953	$29,415,229	+19.8%	4	$54.99	1.17%
SFNC	Simmons First National Corp Financial Services	Reduced	1,285,307	-166,458	$29,112,203	+3.1%	4	$19.10	1.16%
VCTR	Victory Capital Holdings, Inc. Financial Services	Held	338,957	0	$28,492,725	+28.4%	16	$44.91	1.14%
SSB	SouthState Bank Corp Financial Services	Added	281,031	+173,847	$28,074,996	+183.1%	4	$97.07	1.12%
		Reduced	386,436	-53,087	$27,722,919	+8.3%	26+	before history	1.11%
ALLY	Ally Financial Inc. Financial Services	Added	597,680	+24,525	$27,463,396	+22.1%	10	$39.82	1.10%
BANR	Banner Corp Financial Services	Added	411,033	+2,169	$27,309,032	+10.1%	6	$64.19	1.09%
CFG	Citizens Financial Group Inc Financial Services	Reduced	380,337	-155,872	$26,650,213	−17.1%	12	$28.75	1.06%
BOH	Bank Of Hawaii Corp Financial Services	Added	324,499	+7,834	$26,443,423	+12.5%	6	$71.69	1.05%
HBAN	Huntington Bancshares Inc Financial Services	Added	1,486,699	+851,533	$26,359,173	+165.2%	2	$16.75	1.05%
CPF	Central Pacific Financial Corp Financial Services	Reduced	670,238	-61,295	$25,603,091	+9.5%	8	$26.55	1.02%
FNB	Fnb Corp Financial Services	Reduced	1,262,019	-626,985	$24,079,322	−23.8%	26+	before history	0.96%
SCHW	Schwab Charles Corp Financial Services	Reduced	250,998	-218,703	$23,159,585	−47.5%	16	$77.60	0.92%
BLK	BlackRock, Inc. Financial Services	Added	24,046	+3,126	$23,121,671	+14.9%	7	$1,031.58	0.92%
LAZ	Lazard, Inc. Financial Services	Reduced	546,216	-38,172	$22,908,299	−7.7%	10	$45.91	0.91%
MHO	M/I Homes, Inc. Consumer Cyclical	Reduced	136,364	-742	$21,925,967	+30.6%	26+	before history	0.87%
CBU	Community Financial System, Inc. Financial Services	NEW	321,017	NEW	$21,546,661	NEW	1	$63.25	0.86%
OBK	Origin Bancorp, Inc. Financial Services	Added	418,193	+14,238	$21,390,571	+27.7%	7	$37.50	0.85%
MCB	Metropolitan Bank Holding Corp. Financial Services	Held	210,367	0	$20,775,844	+18.6%	26+	before history	0.83%
UMBF	Umb Financial Corp Financial Services	NEW	144,257	NEW	$20,594,129	NEW	1	$128.54	0.82%
HFWA	Heritage Financial Corp Financial Services	Reduced	689,010	-9,894	$20,408,476	+12.3%	26+	before history	0.81%
PHM	Pultegroup Inc Consumer Cyclical	Held	135,730	0	$18,623,513	+16.7%	22	$64.61	0.74%
HWC	Hancock Whitney Corp Financial Services	Added	234,722	+114,740	$17,538,427	+129.9%	17	$56.08	0.70%
VLY	Valley National Bancorp Financial Services	Held	1,182,206	0	$17,319,317	+19.3%	8	$8.90	0.69%
BFH	Bread Financial Holdings, Inc. Financial Services	Held	158,693	0	$17,194,386	+44.7%	6	$54.82	0.69%
PFSI	PennyMac Financial Services, Inc. Financial Services	Reduced	192,334	-269,018	$16,752,291	−58.5%	26+	before history	0.67%
RJF	Raymond James Financial Inc Financial Services	Reduced	108,544	-95,361	$16,501,944	−44.1%	14	$133.80	0.66%

Showing the top 50 of 108 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.