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Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX

Overview Fund Activity

62 hedge funds and large institutions have $120M invested in Nuveen Dow 30SM Dynamic Overwrite Fund in 2017 Q1 according to their latest regulatory filings, with 8 funds opening new positions, 25 increasing their positions, 18 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
62
Holders Change
+3
Holders Change %
+5.08%
% of All Funds
1.55%
Holding in Top 10
–
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-100%
% of All Funds
–
New
8
Increased
25
Reduced
18
Closed
3
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
FSA
1
Financial Sense Advisors
California
$1.3M
2
Wells Fargo
2
Wells Fargo
California
$8.29M
3
SFS
3
Shaker Financial Services
Virginia
$1.21M
4
RJFSA
4
Raymond James Financial Services Advisors
Florida
$4.71M
5
AAM
5
Advisors Asset Management
Colorado
$6.8M

Top Sellers

1
KIM
1
Karpus Investment Management
New York
$4.95M
2
1832 Asset Management
2
1832 Asset Management
Ontario, Canada
$3.19M
3
Citigroup
3
Citigroup
New York
$54K
4
TJHA
4
Thomas J. Herzfeld Advisors
Florida
$5K
5
BBPWM
5
Blue Bell Private Wealth Management
Pennsylvania
$3.17M
Name Holding Trade Value Shares
Change 		Shares
Change %
SFS
26
Shaker Financial Services
Virginia
$1.21M +$1.03M +66,021 +600%
Bank of Nova Scotia
27
Bank of Nova Scotia
Ontario, Canada
$899K -$146K -9,351 -14%
CWM
28
Concert Wealth Management
California
$875K +$875K +58,195 New
BC
29
Brinker Capital
Pennsylvania
$842K +$842K +53,767 New
SCM
30
Schnieders Capital Management
California
$608K -$6.65K -425 -1%
BCA
31
Benchmark Capital Advisors
New York
$569K -$47.3K -3,024 -8%
RCM
32
Robinson Capital Management
Michigan
$553K – – –
PNC Financial Services Group
33
PNC Financial Services Group
Pennsylvania
$538K -$183K -11,684 -25%
AIA
34
Allegis Investment Advisors
Idaho
$435K +$94.7K +6,046 +28%
Cambridge Investment Research Advisors
35
Cambridge Investment Research Advisors
Iowa
$395K +$5.19K +332 +1%
Commonwealth Equity Services
36
Commonwealth Equity Services
Massachusetts
$372K +$12.9K +821 +4%
KeyBank National Association
37
KeyBank National Association
Ohio
$360K -$13.5K -864 -4%
Bank of New York Mellon
38
Bank of New York Mellon
New York
$240K +$46.2K +2,948 +24%
PFGIA
39
Patriot Financial Group Insurance Agency
Massachusetts
$220K – – –
FHA
40
Flagship Harbor Advisors
Massachusetts
$209K -$3.96K -250 -2%
PA
41
Pinnacle Associates
New York
$204K -$6.76K -432 -3%
Creative Planning
42
Creative Planning
Kansas
$188K +$1.22K +78 +0.7%
DAS
43
Dynamic Advisor Solutions
Arizona
$187K +$187K +11,960 New
AG
44
Advisor Group
Arizona
$174K +$53.1K +3,400 +44%
SBIA
45
Sheaff Brock Investment Advisors
Indiana
$162K -$9.37K -600 -5%
TYCC
46
Texas Yale Capital Corp
Florida
$162K +$162K +10,368 New
Fifth Third Bancorp
47
Fifth Third Bancorp
Ohio
$138K – – –
IA
48
IFP Advisors
Florida
$117K +$38.5K +2,455 +49%
Northwestern Mutual Wealth Management
49
Northwestern Mutual Wealth Management
Wisconsin
$107K – – –
SPIA
50
Steward Partners Investment Advisory
New York
$105K +$81.4K +5,219 +345%
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