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Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX

Overview Fund Activity

53 hedge funds and large institutions have $111M invested in Nuveen Dow 30SM Dynamic Overwrite Fund in 2016 Q2 according to their latest regulatory filings, with 6 funds opening new positions, 12 increasing their positions, 28 reducing their positions, and 7 closing their positions.

Holders
53
Holders Change
-1
Holders Change %
-1.85%
% of All Funds
1.42%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
6
Increased
12
Reduced
28
Closed
7
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
LTFS
1
Ladenburg Thalmann Financial Services
Florida
$3.56M
2
CIA
2
Capital Investment Advisors
Georgia
$1.16M
3
1CP
3
1607 Capital Partners
Virginia
$1.61M
4
UBS Group
4
UBS Group
Switzerland
$6.76M
5
Cohen & Steers
5
Cohen & Steers
New York
$1.62M

Top Sellers

1
LPL Financial
1
LPL Financial
California
$2.76M
2
PPA
2
Parametric Portfolio Associates
Washington
$14.2M
3
1832 Asset Management
3
1832 Asset Management
Ontario, Canada
$2.93M
4
Wells Fargo
4
Wells Fargo
California
$11.8M
5
KIM
5
Karpus Investment Management
New York
$13.6M
Name Market Value Shares Shares
Change 		Shares
Change %
PPA
1
Parametric Portfolio Associates
Washington
$14.2M 973,837 -99,813 -9%
KIM
2
Karpus Investment Management
New York
$13.6M 939,295 -43,055 -4%
Wells Fargo
3
Wells Fargo
California
$11.8M 811,665 -44,702 -5%
AAM
4
Advisors Asset Management
Colorado
$8.19M 563,718 -23,487 -4%
Invesco
5
Invesco
Georgia
$7.72M 530,996 -852 -0.2%
UBS Group
6
UBS Group
Switzerland
$6.76M 465,285 +57,513 +14%
GC
7
Guggenheim Capital
Illinois
$4.06M 279,529 +1,585 +0.6%
LTFS
8
Ladenburg Thalmann Financial Services
Florida
$3.56M 244,811 +181,096 +284%
Bank of America
9
Bank of America
North Carolina
$3.46M 238,065 -371 -0.2%
RJA
10
Raymond James & Associates
Florida
$3.19M 219,356 -7,229 -3%
BBPWM
11
Blue Bell Private Wealth Management
Pennsylvania
$3.07M 211,254 -15,802 -7%
1832 Asset Management
12
1832 Asset Management
Ontario, Canada
$2.93M 200,000 -64,299 -24%
RJFSA
13
Raymond James Financial Services Advisors
Florida
$2.87M 197,374 +13,135 +7%
LPL Financial
14
LPL Financial
California
$2.76M 192,411 -167,170 -46%
Morgan Stanley
15
Morgan Stanley
New York
$2.74M 188,531 -8,249 -4%
Royal Bank of Canada
16
Royal Bank of Canada
Ontario, Canada
$2.53M 173,787 -4,919 -3%
Cohen & Steers
17
Cohen & Steers
New York
$1.62M 111,185 +50,694 +84%
1CP
18
1607 Capital Partners
Virginia
$1.61M 110,943 +62,017 +127%
PAG
19
Private Advisor Group
New Jersey
$1.53M 106,516 -2,181 -2%
FAM
20
Formidable Asset Management
Ohio
$1.51M 102,596 -799 -0.8%
ACP
21
Aviance Capital Partners
Florida
$1.5M 103,525 -8,588 -8%
Bank of Nova Scotia
22
Bank of Nova Scotia
Ontario, Canada
$1.5M 103,177 +16,533 +19%
CIA
23
Capital Investment Advisors
Georgia
$1.16M 79,891 +79,891 New
PNC Financial Services Group
24
PNC Financial Services Group
Pennsylvania
$972K 66,850 -4,648 -7%
CWM
25
Concert Wealth Management
California
$948K 65,313 +5,748 +10%
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