LTFS
DIAX

Ladenburg Thalmann Financial Services’s Nuveen Dow 30SM Dynamic Overwrite Fund DIAX Stock Holding History

Ladenburg Thalmann Financial Services’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
2019
Q4 		$1.41M Sell
80,041
-1,152
-1% -$20.5K 0.01% 1060
2019
Q3 		$1.45M Sell
81,193
-169
-0.2% -$2.98K 0.01% 1002
2019
Q2 		$1.43M Buy
81,362
+141
+0.2% +$2.49K 0.01% 978
2019
Q1 		$1.46M Sell
81,221
-21,643
-21% -$381K 0.01% 936
2018
Q4 		$1.66M Sell
102,864
-19,800
-16% -$354K 0.01% 757
2018
Q3 		$2.43M Sell
122,664
-11,000
-8% -$211K 0.02% 638
2018
Q2 		$2.38M Hold
133,664
– – 0.02% 628
2018
Q1 		$2.38M Sell
133,664
-37,558
-22% -$689K 0.02% 628
2017
Q4 		$3.23M Sell
171,222
-80,767
-32% -$1.44M 0.03% 503
2017
Q3 		$4.27M Buy
251,989
+111
+0% +$1.85K 0.05% 353
2017
Q2 		$4.16M Buy
251,878
+888
+0.4% +$14.4K 0.05% 336
2017
Q1 		$3.93M Buy
250,990
+1,204
+0.5% +$18.8K 0.05% 333
2016
Q4 		$3.75M Buy
249,786
+4,475
+2% +$65K 0.05% 326
2016
Q3 		$3.54M Buy
245,311
+500
+0.2% +$7.32K 0.05% 321
2016
Q2 		$3.56M Buy
244,811
+181,096
+284% +$2.57M 0.06% 302
2016
Q1 		$896K Buy
63,715
+23,544
+59% +$316K 0.02% 753
2015
Q4 		$577K Buy
40,171
+3,774
+10% +$53.8K 0.01% 952
2015
Q3 		$493K Sell
36,397
-232
-0.6% -$3.32K 0.01% 960
2015
Q2 		$546K Sell
36,629
-22,332
-38% -$339K 0.01% 1013
2015
Q1 		$896K Sell
58,961
-3,688
-6% -$56.9K 0.02% 745
2014
Q4 		$966K Buy
+62,649
New +$1.01M 0.02% 615

Other funds holding DIAX

UBS Group
UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return
Morgan Stanley
Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return
Wells Fargo
Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return
RJFSA
Raymond James Financial Services Advisors St. Petersburg, Florida $75.1B AUM 31.89% 1-Year Est. Return
Invesco
Invesco Atlanta, Georgia $1.02T AUM 30.18% 1-Year Est. Return
AAM
Advisors Asset Management Monument, Colorado $6.01B AUM 24.74% 1-Year Est. Return
OA
Oxbow Advisors Austin, Texas $1.18B AUM 28.15% 1-Year Est. Return
Royal Bank of Canada
Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return
Bank of America
Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return
RJA
Raymond James & Associates St Petersburg, Florida $164B AUM 33.91% 1-Year Est. Return

Ladenburg Thalmann Financial Services's DIAX Position: Q4 2019 in Review

Ladenburg Thalmann Financial Services reduced its Nuveen Dow 30SM Dynamic Overwrite Fund (DIAX) stake by 1.4% in Q4 2019, selling an estimated $20.5K and leaving 80,041 shares worth $1.41M. The position accounts for 0.01% of the portfolio, ranked #1060.

Ladenburg Thalmann Financial Services first reported a position in DIAX in Q4 2014 and has held it in 21 quarters since. The position peaked at $4.27M in Q3 2017. 80 funds tracked by Wall St. Rank hold DIAX as of Q4 2019.

  • Ladenburg Thalmann Financial Services held 80,041 shares of Nuveen Dow 30SM Dynamic Overwrite Fund worth $1.41M as of Q4 2019.
  • Ladenburg Thalmann Financial Services sold 1,152 Nuveen Dow 30SM Dynamic Overwrite Fund shares in Q4 2019, an estimated $20.5K.
  • Nuveen Dow 30SM Dynamic Overwrite Fund made up 0.01% of Ladenburg Thalmann Financial Services's portfolio in Q4 2019, its #1060 holding.
  • Ladenburg Thalmann Financial Services first reported a position in Nuveen Dow 30SM Dynamic Overwrite Fund in Q4 2014 and has held it in 21 quarters since.
  • Ladenburg Thalmann Financial Services's Nuveen Dow 30SM Dynamic Overwrite Fund position peaked at $4.27M in Q3 2017.
  • 80 funds tracked by Wall St. Rank held Nuveen Dow 30SM Dynamic Overwrite Fund as of Q4 2019.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q4 2019, filed 14 Feb 2020.