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Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX

Overview Fund Activity

94 hedge funds and large institutions have $143M invested in Nuveen Dow 30SM Dynamic Overwrite Fund in 2021 Q1 according to their latest regulatory filings, with 13 funds opening new positions, 29 increasing their positions, 30 reducing their positions, and 10 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
94
Holders Change
+3
Holders Change %
+3.3%
% of All Funds
1.66%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.02%
New
13
Increased
29
Reduced
30
Closed
10
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
RCM
1
Rivernorth Capital Management
Florida
$10.2M
2
Morgan Stanley
2
Morgan Stanley
New York
$14.9M
3
Bank of America
3
Bank of America
North Carolina
$5.59M
4
CA
4
Cornerstone Advisors
North Carolina
$1.46M
5
ICM
5
Ionic Capital Management
New York
$4.82M

Top Sellers

1
LCM
1
Landscape Capital Management
New Jersey
$763K
2
Bank of Montreal
2
Bank of Montreal
Ontario, Canada
$0
3
AA
3
AQR Arbitrage
Connecticut
$846K
4
UBS Group
4
UBS Group
Switzerland
$10.7M
5
WAM
5
Wolverine Asset Management
Illinois
$263K
Name Holding Trade Value Shares
Change 		Shares
Change %
SFS
76
Sowell Financial Services
Arkansas
$23K – – –
SWA
77
SOA Wealth Advisors
New York
$19K – – –
FF
78
FourThought Financial
Florida
$18K – – –
SNT
79
Security National Trust
West Virginia
$16K -$31.6K -1,976 -66%
SPIA
80
Steward Partners Investment Advisory
New York
$13.8K +$13.8K +850 New
CFGS
81
Concourse Financial Group Securities
Alabama
$12K +$12K +750 New
LWM
82
Liberty Wealth Management
California
$11K – – –
WAP
83
Wealthcare Advisory Partners
Pennsylvania
$11K +$11K +661 New
SIS
84
Sound Income Strategies
Florida
$9.9K – – –
NFG
85
Next Financial Group
Texas
$9K -$7.9K -500 -47%
WP
86
WealthShield Partners
North Carolina
$9K +$9K +577 New
GWM
87
Geneos Wealth Management
Colorado
$8K – – –
EIP
88
Ellis Investment Partners
Pennsylvania
$7K – – –
AWA
89
Arkadios Wealth Advisors
Georgia
$6K -$1.52K -98 -20%
HI
90
Harbour Investments
Wisconsin
$4K +$4K +250 New
HS
91
Horan Securities
United States
$3K – – –
SFSIG
92
San Francisco Sentry Investment Group
California
$2K – – –
WWM
93
Wolff Wiese Magana
California
$1K – – –
Walleye Capital
94
Walleye Capital
New York
$737 +$258 +15,862 +54%
Bank of Montreal
95
Bank of Montreal
Ontario, Canada
– -$779K -51,727 Closed
COLIM
96
City of London Investment Management
United Kingdom
– -$256K -16,861 Closed
PPA
97
Parametric Portfolio Associates
Washington
– -$201K -13,221 Closed
VF
98
Virtu Financial
New York
– -$191K -12,543 Closed
Millennium Management
99
Millennium Management
New York
– -$178K -11,700 Closed
DAS
100
Dynamic Advisor Solutions
Arizona
– -$163K -10,750 Closed
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4
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