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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
MGWM
2
Marks Group Wealth Management
Minnesota
$1.65M
3
RICHC
3
Renaissance Investment Consultants Holding Company
Pennsylvania
$1.07M
4
RJFSA
4
Raymond James Financial Services Advisors
Florida
$10.1M
5
GC
5
Guggenheim Capital
Illinois
$833K

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 Market Value Shares Shares
Change 		Shares
Change %
UBS Group
1
UBS Group
Switzerland
$18.4M 1,042,354 -28,107 -3%
Morgan Stanley
2
Morgan Stanley
New York
$12.6M 713,608 +5,520 +0.8%
Wells Fargo
3
Wells Fargo
California
$10.8M 612,846 -26,203 -4%
RJFSA
4
Raymond James Financial Services Advisors
Florida
$10.1M 571,758 +53,239 +10%
Invesco
5
Invesco
Georgia
$6.62M 374,727 -23,845 -6%
AAM
6
Advisors Asset Management
Colorado
$6.06M 343,386 -139,050 -29%
OA
7
Oxbow Advisors
Texas
$6.06M 343,050 -7,475 -2%
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$5.55M 314,343 -7,805 -2%
Bank of America
9
Bank of America
North Carolina
$4.88M 276,282 -29,644 -10%
RJA
10
Raymond James & Associates
Florida
$4M 226,267 +10,148 +5%
SFS
11
Shaker Financial Services
Virginia
$3.81M 215,792 +215,792 New
PAG
12
Private Advisor Group
New Jersey
$2.48M 140,499 +10,180 +8%
LPL Financial
13
LPL Financial
California
$2.34M 132,344 +5,935 +5%
MGWM
14
Marks Group Wealth Management
Minnesota
$1.65M 93,200 +93,200 New
SCM
15
Schnieders Capital Management
California
$1.59M 89,805 +4,950 +6%
ACP
16
Aviance Capital Partners
Florida
$1.51M 85,485 +420 +0.5%
LTFS
17
Ladenburg Thalmann Financial Services
Florida
$1.41M 80,041 -1,152 -1%
SDAM
18
Shulman DeMeo Asset Management
New York
$1.37M 77,537 -3,408 -4%
Commonwealth Equity Services
19
Commonwealth Equity Services
Massachusetts
$1.34M 76,133 +10,097 +15%
Ameriprise
20
Ameriprise
Minnesota
$1.18M 66,795 +9,572 +17%
RICHC
21
Renaissance Investment Consultants Holding Company
Pennsylvania
$1.07M 60,931 +60,931 New
DADC
22
D.A. Davidson & Co
Montana
$964K 54,581 -17,147 -24%
Northwestern Mutual Wealth Management
23
Northwestern Mutual Wealth Management
Wisconsin
$934K 52,861 +1,297 +3%
GC
24
Guggenheim Capital
Illinois
$833K 47,156 +47,156 New
SWP
25
Stratos Wealth Partners
Ohio
$790K 44,735 +18,000 +67%
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