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Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX

Overview Fund Activity

59 hedge funds and large institutions have $108M invested in Nuveen Dow 30SM Dynamic Overwrite Fund in 2017 Q3 according to their latest regulatory filings, with 5 funds opening new positions, 24 increasing their positions, 18 reducing their positions, and 5 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
59
Holders Change
-1
Holders Change %
-1.67%
% of All Funds
1.47%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
%
% of All Funds
0.02%
New
5
Increased
24
Reduced
18
Closed
5
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
SFS
1
Shaker Financial Services
Virginia
$5.96M
2
FAM
2
Formidable Asset Management
Ohio
$1.44M
3
Morgan Stanley
3
Morgan Stanley
New York
$5.89M
4
Bank of America
4
Bank of America
North Carolina
$5.12M
5
RJA
5
Raymond James & Associates
Florida
$4.48M

Top Sellers

1
PPA
1
Parametric Portfolio Associates
Washington
$0
2
CIA
2
Capital Investment Advisors
Georgia
$0
3
Cohen & Steers
3
Cohen & Steers
New York
$267K
4
CRC
4
Curi RMB Capital
Illinois
$0
5
UBS Group
5
UBS Group
Switzerland
$12.6M
Name Holding Trade Value Shares
Change 		Shares
Change %
AIA
26
Allegis Investment Advisors
Idaho
$517K +$49.1K +2,899 +10%
JPMPWA
27
J.P. Morgan Private Wealth Advisors
California
$504K +$105K +6,171 +26%
Northwestern Mutual Wealth Management
28
Northwestern Mutual Wealth Management
Wisconsin
$501K +$165K +9,711 +49%
NFG
29
Nations Financial Group
Iowa
$471K +$114K +6,700 +32%
RCM
30
Robinson Capital Management
Michigan
$429K -$169K -10,000 -28%
Cambridge Investment Research Advisors
31
Cambridge Investment Research Advisors
Iowa
$429K +$136 +8 +0%
Commonwealth Equity Services
32
Commonwealth Equity Services
Massachusetts
$423K +$13.3K +785 +3%
KeyBank National Association
33
KeyBank National Association
Ohio
$376K – – –
SWP
34
Stratos Wealth Partners
Ohio
$335K +$335K +19,725 New
LPL Financial
35
LPL Financial
California
$308K +$18.8K +1,109 +7%
PNC Financial Services Group
36
PNC Financial Services Group
Pennsylvania
$273K +$71.3K +4,219 +35%
Cohen & Steers
37
Cohen & Steers
New York
$267K -$1.43M -84,271 -84%
AG
38
Advisor Group
Arizona
$266K +$66.9K +3,950 +34%
PFGIA
39
Patriot Financial Group Insurance Agency
Massachusetts
$244K +$5.78K +338 +2%
DADC
40
D.A. Davidson & Co
Montana
$227K +$38.3K +2,264 +20%
Creative Planning
41
Creative Planning
Kansas
$223K +$33.7K +1,984 +18%
PA
42
Pinnacle Associates
New York
$221K – – –
DAS
43
Dynamic Advisor Solutions
Arizona
$196K -$22.5K -1,330 -10%
TYCC
44
Texas Yale Capital Corp
Florida
$176K – – –
Fifth Third Bancorp
45
Fifth Third Bancorp
Ohio
$150K – – –
IA
46
IFP Advisors
Florida
$141K +$4.4K +260 +3%
SPIA
47
Steward Partners Investment Advisory
New York
$115K +$891 +53 +0.8%
SNT
48
Security National Trust
West Virginia
$50K – – –
GWM
49
Geneos Wealth Management
Colorado
$45K -$28.8K -1,725 -39%
Bank of Montreal
50
Bank of Montreal
Ontario, Canada
$33K – – –
1
2
3