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SWZ

Swiss Helvetia Fund
SWZ

56 hedge funds and large institutions have $167M invested in Swiss Helvetia Fund in 2014 Q2 according to their latest regulatory filings, with 7 funds opening new positions, 15 increasing their positions, 13 reducing their positions, and 2 closing their positions.

New
Increased
Maintained
Reduced
Closed

250% more first-time investments, than exits

New positions opened: 7 | Existing positions closed: 2

15% more repeat investments, than reductions

Existing positions increased: 15 | Existing positions reduced: 13

10% more funds holding

Funds holding: 51 → 56 (+5)

4.78% more ownership

Funds ownership: 38.41% → 43.19% (+4.8%)

0% more funds holding in top 10

Funds holding in top 10: 1 → 1 (0)

1% less capital invested

Capital invested by funds: $169M → $167M (-$1.51M)

Holders
56
Holders Change
+5
Holders Change %
+9.8%
% of All Funds
1.61%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
7
Increased
15
Reduced
13
Closed
2
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
RCM
Rivernorth Capital Management
Florida
+$2.8M
2
WAM
Wolverine Asset Management
Illinois
+$1.8M
3
KIM
Karpus Investment Management
New York
+$1.14M
4
ALA
Atherton Lane Advisers
California
+$950K
5
1CP
1607 Capital Partners
Virginia
+$860K

Top Sellers

Rank Fund Capital Flow
1
Lazard Asset Management
Lazard Asset Management
New York
-$8.6M
2
Susquehanna International Group
Susquehanna International Group
Pennsylvania
-$2.08M
3
JP Morgan Chase
JP Morgan Chase
New York
-$1.68M
4
YCM
Yakira Capital Management
Connecticut
-$141K
5
BC
Bartlett & Co
Ohio
-$121K
Name Holding Trade Value Shares
Change 		Change in
Stake
TAM
26
Tocqueville Asset Management
New York
$334K +$329K +22,908 New
U
27
UBS
Switzerland
$328K +$19.8K +1,374 +7%
GC
28
Guggenheim Capital
Illinois
$316K – – –
BBHC
29
Brown Brothers Harriman & Co
New York
$291K – – –
Truist Financial
30
Truist Financial
North Carolina
$258K +$201 +14 +0.1%
AA
31
Ancora Advisors
Ohio
$254K – – –
SI
32
SII Investments
Wisconsin
$247K +$244K +16,982 New
LPL Financial
33
LPL Financial
California
$214K -$12.9K -900 -6%
YCM
34
Yakira Capital Management
Connecticut
$211K -$141K -9,787 -40%
SSWM
35
Smith Salley Wealth Management
North Carolina
$199K – – –
SCM
36
SOL Capital Management
Maryland
$178K – – –
AP
37
Advisor Partners
California
$176K – – –
WSFS
38
Wilmington Savings Fund Society
Delaware
$172K – – –
CAN
39
Cetera Advisor Networks
California
$171K – – –
BBPWM
40
Blue Bell Private Wealth Management
Pennsylvania
$167K +$105K +7,272 +172%
BC
41
Bartlett & Co
Ohio
$162K -$121K -8,452 -43%
LCM
42
Landscape Capital Management
New Jersey
$152K +$150K +10,442 New
CT
43
CMT Trading
Illinois
$149K – – –
GFM
44
Gramercy Funds Management
Connecticut
$78K – – –
Citigroup
45
Citigroup
New York
$59K -$97.2K -6,760 -62%
First Manhattan
46
First Manhattan
New York
$42K – – –
WA
47
WFG Advisors
Texas
$28K – – –
CFSG
48
Community Financial Services Group
Vermont
$24K – – –
TRCT
49
Tower Research Capital (TRC)
New York
$20K -$10.3K -718 -34%
TJHA
50
Thomas J. Herzfeld Advisors
Florida
$17K – – –
1
2
3

SWZ Hedge Fund Activity: Q2 2014 in Review

56 of the 3,480 institutional investors tracked by Wall St. Rank reported a position in Swiss Helvetia Fund (SWZ) for Q2 2014, worth a combined $167M — down 0.9% from $169M a quarter earlier.

Buyers outnumbered sellers: 7 funds opened new SWZ positions and 2 closed out — a net gain of 5 holders — while 15 added to existing stakes and 13 trimmed.

The largest buyer was Rivernorth Capital Management, opening a new position worth an estimated $2.8M. The largest seller was Lazard Asset Management, cutting an estimated $8.6M.

  • 56 institutional investors held Swiss Helvetia Fund (SWZ) as of Q2 2014, up from 51 in Q1 2014.
  • Funds reported $167M of Swiss Helvetia Fund stock for Q2 2014, down 0.9% quarter-over-quarter.
  • 7 funds opened new Swiss Helvetia Fund positions in Q2 2014 and 2 closed out, a net change of +5 holders.
  • The largest Swiss Helvetia Fund buyer in Q2 2014 was Rivernorth Capital Management, an estimated $2.8M added.
  • The largest Swiss Helvetia Fund seller in Q2 2014 was Lazard Asset Management, an estimated $8.6M sold.

Based on aggregated 13F filings for Q2 2014.