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Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX

Overview Fund Activity

57 hedge funds and large institutions have $90.3M invested in Nuveen Dow 30SM Dynamic Overwrite Fund in 2015 Q1 according to their latest regulatory filings, with 10 funds opening new positions, 18 increasing their positions, 15 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
57
Holders Change
+6
Holders Change %
+11.76%
% of All Funds
1.52%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
10
Increased
18
Reduced
15
Closed
3
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
1832 Asset Management
1
1832 Asset Management
Ontario, Canada
$4.01M
2
Wells Fargo
2
Wells Fargo
California
$19.2M
3
WAM
3
Wolverine Asset Management
Illinois
$2.48M
4
AAM
4
Advisors Asset Management
Colorado
$6.61M
5
CRC
5
Curi RMB Capital
Illinois
$1.37M

Top Sellers

1
Commonwealth Equity Services
1
Commonwealth Equity Services
Massachusetts
$563K
2
Bank of America
2
Bank of America
North Carolina
$4.26M
3
DA
3
Doliver Advisors
Texas
$772K
4
Janney Montgomery Scott
4
Janney Montgomery Scott
Pennsylvania
$0
5
Cohen & Steers
5
Cohen & Steers
New York
$1.04M
Name Holding Trade Value Shares
Change 		Shares
Change %
BCA
26
Benchmark Capital Advisors
New York
$609K -$6.55K -432 -1%
Commonwealth Equity Services
27
Commonwealth Equity Services
Massachusetts
$563K -$1.86M -122,856 -77%
PNC Financial Services Group
28
PNC Financial Services Group
Pennsylvania
$554K +$477K +31,444 +622%
ICAS
29
Investors Capital Advisory Services
Massachusetts
$543K – – –
OC
30
Oppenheimer & Co
New York
$431K +$235K +15,466 +119%
BNP Paribas Financial Markets
31
BNP Paribas Financial Markets
France
$419K +$138K +9,071 +49%
Northwestern Mutual Wealth Management
32
Northwestern Mutual Wealth Management
Wisconsin
$397K +$27.5K +1,811 +7%
KeyBank National Association
33
KeyBank National Association
Ohio
$320K – – –
JPMPWA
34
J.P. Morgan Private Wealth Advisors
California
$307K -$101K -6,678 -25%
AIG
35
American International Group
New York
$259K -$102K -6,725 -28%
HFS
36
HL Financial Services
Kentucky
$197K – – –
NPC
37
National Planning Corporation
California
$180K -$38.6K -2,544 -18%
Goldman Sachs
38
Goldman Sachs
New York
$178K +$178K +11,730 New
PA
39
Pinnacle Associates
New York
$177K +$177K +11,697 New
MFS
40
MSI Financial Services
Massachusetts
$174K +$41.7K +2,742 +32%
FAAS
41
First Allied Advisory Services
California
$168K +$168K +11,022 New
Ameriprise
42
Ameriprise
Minnesota
$155K +$155K +10,224 New
BBPWM
43
Blue Bell Private Wealth Management
Pennsylvania
$130K +$127K +8,425 +4,213%
Creative Planning
44
Creative Planning
Kansas
$124K – – –
TRCT
45
Tower Research Capital (TRC)
New York
$80K -$8.13K -533 -9%
Citigroup
46
Citigroup
New York
$73K – – –
SNT
47
Security National Trust
West Virginia
$45K – – –
AA
48
Apriem Advisors
California
$42K – – –
Bank of Montreal
49
Bank of Montreal
Ontario, Canada
$29K +$29K +1,920 New
WRM
50
Westport Resources Management
Connecticut
$20K – – –
1
2
3