B. Riley Wealth Management’s Nuveen Dow 30SM Dynamic Overwrite Fund DIAX Stock Holding History

B. Riley Wealth Management’s Portfolio DIAX Stock Details DIAX Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2020 Q4	–	Sell	-12,708	Closed	-$172K	–	409
2020 Q3	$172K	Buy	+12,708	New	+$175K	0.02%	372
2020 Q2	–	Sell	-13,901	Closed	-$174K	–	455
2020 Q1	$174K	Buy	+13,901	New	+$223K	0.02%	449
2019 Q2	–	Sell	-10,315	Closed	-$186K	–	402
2019 Q1	$186K	Buy	+10,315	New	+$182K	0.03%	357
2015 Q3	–	Sell	-600	Closed	-$8K	–	280
2015 Q2	$8K	Buy	+600	New	+$9.11K	0.01%	781

Other funds holding DIAX

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

RJFSA

Raymond James Financial Services Advisors St. Petersburg, Florida $75.1B AUM 31.89% 1-Year Est. Return

Invesco Atlanta, Georgia $1.02T AUM 30.18% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

RCM

Rivernorth Capital Management West Palm Beach, Florida $2B AUM 0.66% 1-Year Est. Return

Oxbow Advisors Austin, Texas $1.18B AUM 28.15% 1-Year Est. Return

Northwestern Mutual Wealth Management Milwaukee, Wisconsin $162B AUM 16.35% 1-Year Est. Return

1CP

1607 Capital Partners Richmond, Virginia $1.39B AUM 8.35% 1-Year Est. Return

Guggenheim Capital Chicago, Illinois $12.9B AUM 27.3% 1-Year Est. Return

B. Riley Wealth Management's DIAX Position: Q4 2020 in Review

B. Riley Wealth Management sold out of Nuveen Dow 30SM Dynamic Overwrite Fund (DIAX) in Q4 2020, closing a stake of 12,708 shares — an estimated $172K sold.

B. Riley Wealth Management first reported a position in DIAX in Q2 2015 and held it in 4 quarters. The position peaked at $186K in Q1 2019. 91 funds tracked by Wall St. Rank hold DIAX as of Q4 2020.

B. Riley Wealth Management reported no remaining Nuveen Dow 30SM Dynamic Overwrite Fund position as of Q4 2020 after selling out during the quarter.
B. Riley Wealth Management sold 12,708 Nuveen Dow 30SM Dynamic Overwrite Fund shares in Q4 2020, an estimated $172K.
B. Riley Wealth Management first reported a position in Nuveen Dow 30SM Dynamic Overwrite Fund in Q2 2015 and held it in 4 quarters.
B. Riley Wealth Management's Nuveen Dow 30SM Dynamic Overwrite Fund position peaked at $186K in Q1 2019.
91 funds tracked by Wall St. Rank held Nuveen Dow 30SM Dynamic Overwrite Fund as of Q4 2020.

Based on B. Riley Wealth Management's 13F filing for Q4 2020, filed 11 Feb 2021.