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Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX

Overview Fund Activity

74 hedge funds and large institutions have $116M invested in Nuveen Dow 30SM Dynamic Overwrite Fund in 2019 Q3 according to their latest regulatory filings, with 9 funds opening new positions, 21 increasing their positions, 19 reducing their positions, and 10 closing their positions.

Holders
74
Holders Change
-1
Holders Change %
-1.33%
% of All Funds
1.63%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
9
Increased
21
Reduced
19
Closed
10
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
FAM
1
Formidable Asset Management
Ohio
$1.37M
2
UBS Group
2
UBS Group
Switzerland
$19.1M
3
RJFSA
3
Raymond James Financial Services Advisors
Florida
$9.24M
4
Bank of Montreal
4
Bank of Montreal
Ontario, Canada
$556K
5
AAM
5
Advisors Asset Management
Colorado
$8.6M

Top Sellers

1
SFS
1
Shaker Financial Services
Virginia
$0
2
Bank of America
2
Bank of America
North Carolina
$5.45M
3
WAM
3
Wolverine Asset Management
Illinois
$0
4
Millennium Management
4
Millennium Management
New York
$0
5
Invesco
5
Invesco
Georgia
$7.1M
Name Market Value Shares Shares
Change 		Shares
Change %
UBS Group
1
UBS Group
Switzerland
$19.1M 1,070,461 +54,508 +5%
Morgan Stanley
2
Morgan Stanley
New York
$12.6M 708,088 -24,496 -3%
Wells Fargo
3
Wells Fargo
California
$11.4M 639,049 -16,035 -2%
RJFSA
4
Raymond James Financial Services Advisors
Florida
$9.24M 518,519 +33,823 +7%
AAM
5
Advisors Asset Management
Colorado
$8.6M 482,436 +20,319 +4%
Invesco
6
Invesco
Georgia
$7.1M 398,572 -27,957 -7%
OA
7
Oxbow Advisors
Texas
$6.25M 350,525 -14,425 -4%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$5.74M 322,148 +17,392 +6%
Bank of America
9
Bank of America
North Carolina
$5.45M 305,926 -50,407 -14%
RJA
10
Raymond James & Associates
Florida
$3.85M 216,119 +12,000 +6%
PAG
11
Private Advisor Group
New Jersey
$2.32M 130,319 +9,518 +8%
LPL Financial
12
LPL Financial
California
$2.25M 126,409 +4,088 +3%
ACP
13
Aviance Capital Partners
Florida
$1.52M 85,065 +2,296 +3%
SCM
14
Schnieders Capital Management
California
$1.51M 84,855 +1,709 +2%
LTFS
15
Ladenburg Thalmann Financial Services
Florida
$1.45M 81,193 -169 -0.2%
SDAM
16
Shulman DeMeo Asset Management
New York
$1.44M 80,945 -254 -0.3%
FAM
17
Formidable Asset Management
Ohio
$1.37M 77,989 +77,989 New
DADC
18
D.A. Davidson & Co
Montana
$1.28M 71,728 -160 -0.2%
Janney Montgomery Scott
19
Janney Montgomery Scott
Pennsylvania
$1.24M 69,571 -5,025 -7%
Commonwealth Equity Services
20
Commonwealth Equity Services
Massachusetts
$1.18M 66,036 +18,884 +40%
Ameriprise
21
Ameriprise
Minnesota
$1.02M 57,223 -17,711 -24%
Northwestern Mutual Wealth Management
22
Northwestern Mutual Wealth Management
Wisconsin
$919K 51,564 +2,434 +5%
9WM
23
9258 Wealth Management
Ohio
$792K 44,421 -2,391 -5%
IFWM
24
Institute for Wealth Management
Colorado
$771K 43,292 – –
NFG
25
Nations Financial Group
Iowa
$624K 35,425 +1,500 +4%
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