SWZ

Swiss Helvetia Fund
SWZ

Overview Fund Activity

50 hedge funds and large institutions have $164M invested in Swiss Helvetia Fund in 2015 Q3 according to their latest regulatory filings, with 5 funds opening new positions, 27 increasing their positions, 9 reducing their positions, and 5 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
50
Holders Change
–
Holders Change %
0%
% of All Funds
1.4%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
5
Increased
27
Reduced
9
Closed
5
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
BI
Bulldog Investors
New Jersey
$10.4M
2
Wells Fargo
Wells Fargo
California
$36.2M
3
KIM
Karpus Investment Management
New York
$19.8M
4
Commonwealth Equity Services
Commonwealth Equity Services
Massachusetts
$1.24M
5
1CP
1607 Capital Partners
Virginia
$39.9M

Top Sellers

1
Lazard Asset Management
Lazard Asset Management
New York
$36.1M
2
WAM
Weiss Asset Management
Massachusetts
$0
3
CA
Cornerstone Advisors
North Carolina
$2.06M
4
SFS
Shaker Financial Services
Virginia
$152K
5
DA
Doliver Advisors
Texas
$0
Name Holding Trade Value Shares
Change 		Shares
Change %
LCM
26
Landscape Capital Management
New Jersey
$290K -$35.3K -3,251 -11%
JGUA
27
John G. Ullman & Associates
New York
$246K -$31K -2,850 -11%
TAM
28
Tocqueville Asset Management
New York
$238K – – –
BBHC
29
Brown Brothers Harriman & Co
New York
$217K – – –
UBS Group
30
UBS Group
Switzerland
$203K +$56.1K +5,179 +38%
AA
31
Ancora Advisors
Ohio
$189K – – –
SSWM
32
Smith Salley Wealth Management
North Carolina
$167K +$8.21K +757 +5%
SFS
33
Shaker Financial Services
Virginia
$152K -$376K -34,556 -71%
SCM
34
SOL Capital Management
Maryland
$136K +$2.98K +274 +2%
WSFS
35
Wilmington Savings Fund Society
Delaware
$128K – – –
ALA
36
Atherton Lane Advisers
California
$117K -$29K -2,665 -20%
Truist Financial
37
Truist Financial
North Carolina
$114K +$2.57K +236 +2%
JPMPWA
38
J.P. Morgan Private Wealth Advisors
California
$111K +$2.51K +231 +2%
BBPWM
39
Blue Bell Private Wealth Management
Pennsylvania
$70K -$66.2K -6,100 -49%
BA
40
BlackRock Advisors
Delaware
$68K +$13.5K +1,240 +25%
ARMT
41
Amica Retiree Medical Trust
Rhode Island
$53K +$53K +4,874 New
Citigroup
42
Citigroup
New York
$47K +$1.05K +96 +2%
TJHA
43
Thomas J. Herzfeld Advisors
Florida
$25K – – –
CFSG
44
Community Financial Services Group
Vermont
$18K – – –
MA
45
MUFG Americas
New York
$17K +$379 +34 +2%
US Bancorp
46
US Bancorp
Minnesota
$11K – – –
Creative Planning
47
Creative Planning
Kansas
$11K +$11K +1,022 New
NSIM
48
North Star Investment Management
Illinois
$7K – – –
BC
49
Bartlett & Co
Ohio
$3K – – –
WAM
50
Weiss Asset Management
Massachusetts
– -$1.17M -100,005 Closed
1
2
3