SWZ

Swiss Helvetia Fund
SWZ

Overview Fund Activity

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
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

1
RCM
Rivernorth Capital Management
Florida
$2.84M
2
WAM
Wolverine Asset Management
Illinois
$2.49M
3
KIM
Karpus Investment Management
New York
$14M
4
ALA
Atherton Lane Advisers
California
$963K
5
1CP
1607 Capital Partners
Virginia
$48.5M

Top Sellers

1
Lazard Asset Management
Lazard Asset Management
New York
$51.2M
2
Susquehanna International Group
Susquehanna International Group
Pennsylvania
$0
3
JPMorgan Chase & Co
JPMorgan Chase & Co
New York
$0
4
YCM
Yakira Capital Management
Connecticut
$211K
5
BC
Bartlett & Co
Ohio
$162K
Name Holding Trade Value Shares
Change 		Shares
Change %
TAM
26
Tocqueville Asset Management
New York
$334K +$334K +22,908 New
U
27
UBS
Switzerland
$328K +$20K +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 +$204 +14 +0.1%
AA
31
Ancora Advisors
Ohio
$254K – – –
SI
32
SII Investments
Wisconsin
$247K +$247K +16,982 New
LPL Financial
33
LPL Financial
California
$214K -$13.1K -900 -6%
YCM
34
Yakira Capital Management
Connecticut
$211K -$143K -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 +$106K +7,272 +172%
BC
41
Bartlett & Co
Ohio
$162K -$123K -8,452 -43%
LCM
42
Landscape Capital Management
New Jersey
$152K +$152K +10,442 New
CT
43
CMT Trading
Illinois
$149K – – –
GFM
44
Gramercy Funds Management
Connecticut
$78K – – –
Citigroup
45
Citigroup
New York
$59K -$98.2K -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
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