SWZ

Swiss Helvetia Fund
SWZ

Overview Fund Activity

52 hedge funds and large institutions have $163M invested in Swiss Helvetia Fund in 2014 Q3 according to their latest regulatory filings, with 4 funds opening new positions, 24 increasing their positions, 10 reducing their positions, and 8 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
52
Holders Change
-4
Holders Change %
-7.14%
% of All Funds
1.51%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
4
Increased
24
Reduced
10
Closed
8
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
KIM
Karpus Investment Management
New York
$18.2M
2
Wells Fargo
Wells Fargo
California
$24M
3
GFM
Gramercy Funds Management
Connecticut
$1.09M
4
CA
Cornerstone Advisors
North Carolina
$760K
5
WAM
Wolverine Asset Management
Illinois
$2.98M

Top Sellers

1
RCM
Rivernorth Capital Management
Florida
$0
2
Lazard Asset Management
Lazard Asset Management
New York
$46.8M
3
TC
TFS Capital
Pennsylvania
$0
4
TAM
Tocqueville Asset Management
New York
$0
5
JGUA
John G. Ullman & Associates
New York
$428K
Name Holding Trade Value Shares
Change 		Shares
Change %
GC
26
Guggenheim Capital
Illinois
$397K +$104K +7,673 +35%
SRC
27
Shufro Rose & Co
New York
$390K -$3.38K -250 -0.9%
BBHC
28
Brown Brothers Harriman & Co
New York
$270K – – –
SI
29
SII Investments
Wisconsin
$261K +$30K +2,203 +13%
U
30
UBS
Switzerland
$256K -$49K -3,615 -16%
Truist Financial
31
Truist Financial
North Carolina
$242K +$2.81K +208 +1%
AA
32
Ancora Advisors
Ohio
$236K – – –
BBPWM
33
Blue Bell Private Wealth Management
Pennsylvania
$223K +$67.6K +5,000 +44%
LPL Financial
34
LPL Financial
California
$206K +$9.39K +702 +5%
YCM
35
Yakira Capital Management
Connecticut
$196K +$743 +55 +0.4%
SSWM
36
Smith Salley Wealth Management
North Carolina
$189K +$4.36K +323 +2%
SCM
37
SOL Capital Management
Maryland
$165K – – –
AP
38
Advisor Partners
California
$163K – – –
WSFS
39
Wilmington Savings Fund Society
Delaware
$159K – – –
CT
40
CMT Trading
Illinois
$138K – – –
Citigroup
41
Citigroup
New York
$48K -$7.02K -518 -13%
First Manhattan
42
First Manhattan
New York
$39K – – –
TJHA
43
Thomas J. Herzfeld Advisors
Florida
$35K +$19K +1,400 +119%
WA
44
WFG Advisors
Texas
$26K – – –
CFSG
45
Community Financial Services Group
Vermont
$22K – – –
TRCT
46
Tower Research Capital (TRC)
New York
$20K +$1.22K +91 +7%
MA
47
MUFG Americas
New York
$14K +$14K +1,000 New
Ameriprise
48
Ameriprise
Minnesota
$12K – – –
US Bancorp
49
US Bancorp
Minnesota
$10K – – –
NSIM
50
North Star Investment Management
Illinois
$8K – – –
1
2
3