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Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX

Overview Fund Activity

80 hedge funds and large institutions have $120M invested in Nuveen Dow 30SM Dynamic Overwrite Fund in 2019 Q4 according to their latest regulatory filings, with 16 funds opening new positions, 25 increasing their positions, 18 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
80
Holders Change
+6
Holders Change %
+8.11%
% of All Funds
1.58%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
16
Increased
25
Reduced
18
Closed
9
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
SFS
1
Shaker Financial Services
Virginia
$3.81M
2
RJFSA
2
Raymond James Financial Services Advisors
Florida
$10.1M
3
GC
3
Guggenheim Capital
Illinois
$833K
4
LFAS
4
Level Four Advisory Services
Texas
$780K
5
LCM
5
Landscape Capital Management
New Jersey
$434K

Top Sellers

1
AAM
1
Advisors Asset Management
Colorado
$6.06M
2
FAM
2
Formidable Asset Management
Ohio
$0
3
Janney Montgomery Scott
3
Janney Montgomery Scott
Pennsylvania
$350K
4
Bank of Montreal
4
Bank of Montreal
Ontario, Canada
$0
5
Bank of America
5
Bank of America
North Carolina
$4.88M
Name Holding Trade Value Shares
Change 		Shares
Change %
9WM
26
9258 Wealth Management
Ohio
$780K -$4.01K -227 -0.5%
LFAS
27
Level Four Advisory Services
Texas
$780K +$780K +8,304 New
IFWM
28
Institute for Wealth Management
Colorado
$765K – – –
NFG
29
Nations Financial Group
Iowa
$640K +$14.1K +800 +2%
Cambridge Investment Research Advisors
30
Cambridge Investment Research Advisors
Iowa
$590K +$4.72K +267 +0.8%
LOIM
31
Liberty One Investment Management
Illinois
$499K +$499K +28,254 New
AG
32
Advisor Group
Arizona
$494K +$5.93K +336 +1%
PA
33
Pinnacle Associates
New York
$465K -$17.1K -967 -4%
AWM
34
Adams Wealth Management
Utah
$438K +$438K +24,786 New
LCM
35
Landscape Capital Management
New Jersey
$434K +$434K +24,585 New
WAM
36
Wolverine Asset Management
Illinois
$431K +$431K +24,461 New
KeyBank National Association
37
KeyBank National Association
Ohio
$360K – – –
Janney Montgomery Scott
38
Janney Montgomery Scott
Pennsylvania
$350K -$877K -49,730 -71%
DAS
39
Dynamic Advisor Solutions
Arizona
$340K +$4.99K +283 +1%
Stifel Financial
40
Stifel Financial
Missouri
$338K -$80.2K -4,518 -19%
Truist Financial
41
Truist Financial
North Carolina
$246K +$246K +13,942 New
CWA
42
Capital Wealth Alliance
Arizona
$244K +$244K +13,909 New
WS
43
Wedbush Securities
California
$238K -$11.7K -661 -5%
FHA
44
Flagship Harbor Advisors
Massachusetts
$231K -$2.72K -154 -1%
MML Investors Services
45
MML Investors Services
Massachusetts
$227K +$26.3K +1,493 +13%
MA
46
Montag & Associates
Georgia
$208K -$4.17K -236 -2%
KWM
47
Kingsview Wealth Management
Oregon
$199K +$199K +11,271 New
VFA
48
Valeo Financial Advisors
Indiana
$191K – – –
RJT
49
Raymond James Trust
Florida
$190K +$9.78K +555 +5%
EFSCE
50
Enterprise Financial Services Corp (EFSC)
Missouri
$185K +$4.41K +250 +2%
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