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Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX

Overview Fund Activity

54 hedge funds and large institutions have $112M invested in Nuveen Dow 30SM Dynamic Overwrite Fund in 2016 Q1 according to their latest regulatory filings, with 4 funds opening new positions, 18 increasing their positions, 24 reducing their positions, and 10 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
54
Holders Change
-6
Holders Change %
-10%
% of All Funds
1.44%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
%
% of All Funds
0.03%
New
4
Increased
18
Reduced
24
Closed
10
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
KIM
1
Karpus Investment Management
New York
$13.9M
2
BBPWM
2
Blue Bell Private Wealth Management
Pennsylvania
$3.2M
3
PPA
3
Parametric Portfolio Associates
Washington
$15.1M
4
UBS Group
4
UBS Group
Switzerland
$5.75M
5
1CP
5
1607 Capital Partners
Virginia
$690K

Top Sellers

1
Wells Fargo
1
Wells Fargo
California
$12.1M
2
FSA
2
Financial Sense Advisors
California
$0
3
Morgan Stanley
3
Morgan Stanley
New York
$2.78M
4
SG Americas Securities
4
SG Americas Securities
New York
$0
5
LPL Financial
5
LPL Financial
California
$4.99M
Name Holding Trade Value Shares
Change 		Shares
Change %
RCM
26
Robinson Capital Management
Michigan
$601K -$212K -15,000 -26%
SCM
27
Schnieders Capital Management
California
$540K -$21.2K -1,500 -4%
BCA
28
Benchmark Capital Advisors
New York
$536K -$17.3K -1,228 -3%
ICAS
29
Investors Capital Advisory Services
Massachusetts
$495K +$4.23K +300 +0.9%
OC
30
Oppenheimer & Co
New York
$378K -$11K -780 -3%
Cambridge Investment Research Advisors
31
Cambridge Investment Research Advisors
Iowa
$364K -$18.8K -1,332 -5%
KeyBank National Association
32
KeyBank National Association
Ohio
$362K – – –
Commonwealth Equity Services
33
Commonwealth Equity Services
Massachusetts
$322K -$21.1K -1,494 -6%
Goldman Sachs
34
Goldman Sachs
New York
$248K +$28K +1,985 +13%
Northwestern Mutual Wealth Management
35
Northwestern Mutual Wealth Management
Wisconsin
$235K +$40.9K +2,895 +21%
DA
36
Doliver Advisors
Texas
$228K +$228K +16,190 New
SFS
37
Shaker Financial Services
Virginia
$207K +$207K +14,652 New
PA
38
Pinnacle Associates
New York
$201K -$36.4K -2,572 -15%
IA
39
IFP Advisors
Florida
$190K +$36K +2,000 +23%
MFS
40
MSI Financial Services
Massachusetts
$172K -$69.7K -4,926 -29%
SBIA
41
Sheaff Brock Investment Advisors
Indiana
$156K – – –
LCM
42
Landscape Capital Management
New Jersey
$150K -$283K -20,142 -65%
JPMPWA
43
J.P. Morgan Private Wealth Advisors
California
$150K -$47K -3,330 -24%
AIG
44
American International Group
New York
$126K -$49.9K -3,535 -28%
Fifth Third Bancorp
45
Fifth Third Bancorp
Ohio
$125K – – –
Creative Planning
46
Creative Planning
Kansas
$82K -$59.7K -4,206 -42%
NFG
47
Next Financial Group
Texas
$57K -$21.5K -1,545 -27%
Citigroup
48
Citigroup
New York
$55K – – –
SNT
49
Security National Trust
West Virginia
$42K – – –
GWM
50
Geneos Wealth Management
Colorado
$36K +$36K +2,545 New
1
2
3