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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.

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 %
TYCC
51
Texas Yale Capital Corp
Florida
$183K – – –
DI
52
DFPG Investments
Utah
$179K +$179K +10,027 New
SPIA
53
Steward Partners Investment Advisory
New York
$137K -$19.7K -1,120 -13%
Carson Wealth (CWM LLC)
54
Carson Wealth (CWM LLC)
Nebraska
$134K – – –
PNC Financial Services Group
55
PNC Financial Services Group
Pennsylvania
$128K – – –
GWM
56
Geneos Wealth Management
Colorado
$113K – – –
Fifth Third Bancorp
57
Fifth Third Bancorp
Ohio
$112K – – –
PFGIA
58
Patriot Financial Group Insurance Agency
Massachusetts
$71K +$618 +35 +0.9%
US Bancorp
59
US Bancorp
Minnesota
$64K +$14.1K +800 +28%
SNT
60
Security National Trust
West Virginia
$53K – – –
Citigroup
61
Citigroup
New York
$52K +$17.5K +1,000 +51%
BWP
62
Baldwin Wealth Partners
Massachusetts
$46K – – –
PB
63
Pinnacle Bancorp
Nebraska
$39K – – –
APA
64
American Portfolios Advisors
New York
$34.3K – – –
LWM
65
Liberty Wealth Management
California
$33K +$383 +22 +1%
TFGT
66
TS Financial Group (TSFG)
Illinois
$30K – – –
CFA
67
Carroll Financial Associates
North Carolina
$26K – – –
SFS
68
Sowell Financial Services
Arkansas
$25K – – –
RFM
69
Royal Fund Management
Florida
$25K – – –
NFG
70
Next Financial Group
Texas
$19K +$10.1K +570 +114%
ASN
71
Advisory Services Network
Georgia
$18K – – –
CFGS
72
Concourse Financial Group Securities
Alabama
$18K +$18K +1,000 New
GRP
73
Global Retirement Partners
California
$17K – – –
WAP
74
Wealthcare Advisory Partners
Pennsylvania
$12K +$200 +11 +2%
SIS
75
Sound Income Strategies
Florida
$11K – – –
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3
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