SWZ

Swiss Helvetia Fund
SWZ

Overview Fund Activity

44 hedge funds and large institutions have $209M invested in Swiss Helvetia Fund in 2013 Q3 according to their latest regulatory filings, with 6 funds opening new positions, 11 increasing their positions, 9 reducing their positions, and 10 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
44
Holders Change
-5
Holders Change %
-10.2%
% of All Funds
1.43%
Holding in Top 10
1
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-50%
% of All Funds
0.03%
New
6
Increased
11
Reduced
9
Closed
10
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Lazard Asset Management
1
Lazard Asset Management
New York
$81.8M
2
Wells Fargo
2
Wells Fargo
California
$24.6M
3
KIM
3
Karpus Investment Management
New York
$17.8M
4
Grantham, Mayo, Van Otterloo & Co (GMO)
4
Grantham, Mayo, Van Otterloo & Co (GMO)
Massachusetts
$1.15M
5
DT
5
Diversified Trust
Tennessee
$4.87M

Top Sellers

1
BI
1
Bulldog Investors
New Jersey
$0
2
BlackRock
2
BlackRock
New York
$0
3
SFS
3
Shaker Financial Services
Virginia
$0
4
1CP
4
1607 Capital Partners
Virginia
$63.5M
5
JPMorgan Chase & Co
5
JPMorgan Chase & Co
New York
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
CAN
26
Cetera Advisor Networks
California
$178K – – –
SSWM
27
Smith Salley Wealth Management
North Carolina
$177K +$19.6K +1,380 +12%
AP
28
Advisor Partners
California
$171K – – –
WSFS
29
Wilmington Savings Fund Society
Delaware
$167K – – –
SCM
30
SOL Capital Management
Maryland
$163K – – –
First Manhattan
31
First Manhattan
New York
$140K – – –
Barclays
32
Barclays
United Kingdom
$126K +$49.4K +3,524 +64%
GFM
33
Gramercy Funds Management
Connecticut
$100K – – –
Citigroup
34
Citigroup
New York
$46K -$1.79K -127 -4%
TJHA
35
Thomas J. Herzfeld Advisors
Florida
$34K – – –
Ameriprise
36
Ameriprise
Minnesota
$27K – – –
WA
37
WFG Advisors
Texas
$26K +$26K +1,801 New
CFSG
38
Community Financial Services Group
Vermont
$23K – – –
DBT
39
Dubuque Bank & Trust
Iowa
$17K – – –
OIA
40
Optimum Investment Advisors
Illinois
$12K +$12K +844 New
US Bancorp
41
US Bancorp
Minnesota
$10K – – –
WF
42
WealthTrust Fairport
Ohio
$7K +$7K +499 New
TF
43
Tompkins Financial
New York
$4K – – –
Creative Planning
44
Creative Planning
Kansas
$3K +$3K +200 New
BI
45
Bulldog Investors
New Jersey
– -$13.7M -1,111,606 Closed
BlackRock
46
BlackRock
New York
– -$2.64M -214,600 Closed
SFS
47
Shaker Financial Services
Virginia
– -$1.95M -158,442 Closed
JPMorgan Chase & Co
48
JPMorgan Chase & Co
New York
– -$1.03M -83,754 Closed
TC
49
TFS Capital
Pennsylvania
– -$797K -64,694 Closed
DA
50
Doliver Advisors
Texas
– -$607K -49,271 Closed
1
2
3