SWZ

Swiss Helvetia Fund
SWZ

Overview Fund Activity

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
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

1
Grantham, Mayo, Van Otterloo & Co (GMO)
1
Grantham, Mayo, Van Otterloo & Co (GMO)
Massachusetts
$5.14M
2
DMAM
2
Del Mar Asset Management
New York
$2.67M
3
Susquehanna International Group
3
Susquehanna International Group
Pennsylvania
$2.25M
4
COLIM
4
City of London Investment Management
United Kingdom
$1.61M
5
PNC Financial Services Group
5
PNC Financial Services Group
Pennsylvania
$684K

Top Sellers

1
CA
1
Cornerstone Advisors
North Carolina
$521K
2
WAM
2
Wolverine Asset Management
Illinois
$954K
3
Lazard Asset Management
3
Lazard Asset Management
New York
$79.7M
4
1CP
4
1607 Capital Partners
Virginia
$61.9M
5
DT
5
Diversified Trust
Tennessee
$4.42M
Name Holding Trade Value Shares
Change 		Shares
Change %
BNP Paribas Financial Markets
26
BNP Paribas Financial Markets
France
$308K +$308K +22,100 New
BC
27
Bartlett & Co
Ohio
$273K – – –
Truist Financial
28
Truist Financial
North Carolina
$230K – – –
TC
29
TFS Capital
Pennsylvania
$225K +$225K +16,115 New
CAN
30
Cetera Advisor Networks
California
$186K +$10.8K +769 +6%
CAM
31
CMT Asset Management
Illinois
$185K +$185K +13,228 New
YCM
32
Yakira Capital Management
Connecticut
$182K +$182K +13,012 New
U
33
UBS
Switzerland
$181K -$18.4K -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 +$11.3K +870 +10%
GFM
40
Gramercy Funds Management
Connecticut
$98K – – –
BBPWM
41
Blue Bell Private Wealth Management
Pennsylvania
$75K +$75K +5,411 New
Citigroup
42
Citigroup
New York
$46K +$308 +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 -$12K -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