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SWZ

Swiss Helvetia Fund
SWZ

48 hedge funds and large institutions have $214M invested in Swiss Helvetia Fund in 2013 Q4 according to their latest regulatory filings, with 10 funds opening new positions, 8 increasing their positions, 14 reducing their positions, and 6 closing their positions.

New
Increased
Maintained
Reduced
Closed

100% more funds holding in top 10

Funds holding in top 10: 1 → 2 (+1)

67% more first-time investments, than exits

New positions opened: 10 | Existing positions closed: 6

9% more funds holding

Funds holding: 44 → 48 (+4)

2.07% more ownership

Funds ownership: 47.46% → 49.52% (+2.1%)

2% more capital invested

Capital invested by funds: $209M → $214M (+$4.95M)

43% less repeat investments, than reductions

Existing positions increased: 8 | Existing positions reduced: 14

Holders
48
Holders Change
+4
Holders Change %
+9.09%
% of All Funds
1.39%
Holding in Top 10
2
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+100%
% of All Funds
0.06%
New
10
Increased
8
Reduced
14
Closed
6
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Grantham, Mayo, Van Otterloo & Co (GMO)
Grantham, Mayo, Van Otterloo & Co (GMO)
Massachusetts
+$4.09M
2
DMAM
Del Mar Asset Management
New York
+$2.72M
3
Susquehanna International Group
Susquehanna International Group
Pennsylvania
+$2.29M
4
COLIM
City of London Investment Management
United Kingdom
+$823K
5
PNC Financial Services Group
PNC Financial Services Group
Pennsylvania
+$433K

Top Sellers

Rank Fund Capital Flow
1
CA
Cornerstone Advisors
North Carolina
-$854K
2
WAM
Wolverine Asset Management
Illinois
-$779K
3
Lazard Asset Management
Lazard Asset Management
New York
-$534K
4
1CP
1607 Capital Partners
Virginia
-$421K
5
DT
Diversified Trust
Tennessee
-$367K
Name Holding Trade Value Shares
Change 		Change in
Stake
BNP Paribas Financial Markets
26
BNP Paribas Financial Markets
France
$308K +$314K +22,100 New
BC
27
Bartlett & Co
Ohio
$273K – – –
Truist Financial
28
Truist Financial
North Carolina
$230K – – –
TC
29
TFS Capital
Pennsylvania
$225K +$229K +16,115 New
CAN
30
Cetera Advisor Networks
California
$186K +$10.9K +769 +6%
CAM
31
CMT Asset Management
Illinois
$185K +$188K +13,228 New
YCM
32
Yakira Capital Management
Connecticut
$182K +$185K +13,012 New
U
33
UBS
Switzerland
$181K -$18.8K -1,323 -9%
SSWM
34
Smith Salley Wealth Management
North Carolina
$174K – – –
AP
35
Advisor Partners
California
$168K – – –
WSFS
36
Wilmington Savings Fund Society
Delaware
$164K – – –
SCM
37
SOL Capital Management
Maryland
$160K – – –
First Manhattan
38
First Manhattan
New York
$138K – – –
Barclays
39
Barclays
United Kingdom
$128K +$12.4K +870 +10%
GFM
40
Gramercy Funds Management
Connecticut
$98K – – –
BBPWM
41
Blue Bell Private Wealth Management
Pennsylvania
$75K +$77K +5,411 New
Citigroup
42
Citigroup
New York
$46K +$313 +22 +0.7%
TJHA
43
Thomas J. Herzfeld Advisors
Florida
$34K – – –
WA
44
WFG Advisors
Texas
$25K – – –
DBT
45
Dubuque Bank & Trust
Iowa
$17K – – –
Ameriprise
46
Ameriprise
Minnesota
$14K -$12.5K -879 -46%
US Bancorp
47
US Bancorp
Minnesota
$10K – – –
TF
48
Tompkins Financial
New York
$4K – – –
TAM
49
Tocqueville Asset Management
New York
– -$217K -15,229 Closed
Bank of New York Mellon
50
Bank of New York Mellon
New York
– -$214K -15,061 Closed
1
2
3

SWZ Hedge Fund Activity: Q4 2013 in Review

48 of the 3,446 institutional investors tracked by Wall St. Rank reported a position in Swiss Helvetia Fund (SWZ) for Q4 2013, worth a combined $214M — up 2.4% from $209M a quarter earlier.

Buyers outnumbered sellers: 10 funds opened new SWZ positions and 6 closed out — a net gain of 4 holders — while 8 added to existing stakes and 14 trimmed.

The largest buyer was Grantham, Mayo, Van Otterloo & Co (GMO), adding an estimated $4.09M. The largest seller was Cornerstone Advisors, cutting an estimated $854K.

  • 48 institutional investors held Swiss Helvetia Fund (SWZ) as of Q4 2013, up from 44 in Q3 2013.
  • Funds reported $214M of Swiss Helvetia Fund stock for Q4 2013, up 2.4% quarter-over-quarter.
  • 10 funds opened new Swiss Helvetia Fund positions in Q4 2013 and 6 closed out, a net change of +4 holders.
  • The largest Swiss Helvetia Fund buyer in Q4 2013 was Grantham, Mayo, Van Otterloo & Co (GMO), an estimated $4.09M added.
  • The largest Swiss Helvetia Fund seller in Q4 2013 was Cornerstone Advisors, an estimated $854K sold.

Based on aggregated 13F filings for Q4 2013.