SWZ

Swiss Helvetia Fund
SWZ

Overview Fund Activity

53 hedge funds and large institutions have $165M invested in Swiss Helvetia Fund in 2015 Q4 according to their latest regulatory filings, with 7 funds opening new positions, 15 increasing their positions, 13 reducing their positions, and 4 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
53
Holders Change
+3
Holders Change %
+6%
% of All Funds
1.39%
Holding in Top 10
–
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-100%
% of All Funds
–
New
7
Increased
15
Reduced
13
Closed
4
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Wells Fargo
Wells Fargo
California
$40.2M
2
COLIM
City of London Investment Management
United Kingdom
$1.12M
3
GH
GAM Holding
Switzerland
$483K
4
1CP
1607 Capital Partners
Virginia
$39.3M
5
JGUA
John G. Ullman & Associates
New York
$602K

Top Sellers

1
BI
Bulldog Investors
New Jersey
$9.18M
2
CA
Cornerstone Advisors
North Carolina
$1.3M
3
RJA
Raymond James & Associates
Florida
$0
4
KIM
Karpus Investment Management
New York
$18.9M
5
Lazard Asset Management
Lazard Asset Management
New York
$35M
Name Holding Trade Value Shares
Change 		Shares
Change %
MIC
26
Meridian Investment Counsel
California
$315K -$43.2K -4,095 -12%
SG Americas Securities
27
SG Americas Securities
New York
$305K +$305K +28,844 New
LCM
28
Landscape Capital Management
New Jersey
$299K +$17.3K +1,637 +6%
SRC
29
Shufro Rose & Co
New York
$276K -$12.6K -1,194 -4%
BBHC
30
Brown Brothers Harriman & Co
New York
$263K +$52.7K +5,000 +25%
TAM
31
Tocqueville Asset Management
New York
$232K – – –
AA
32
Ancora Advisors
Ohio
$184K – – –
UBS Group
33
UBS Group
Switzerland
$177K -$20.4K -1,939 -10%
SSWM
34
Smith Salley Wealth Management
North Carolina
$167K +$4.29K +406 +3%
LPL Financial
35
LPL Financial
California
$155K +$155K +14,702 New
CRC
36
Curi RMB Capital
Illinois
$136K +$136K +12,877 New
SCM
37
SOL Capital Management
Maryland
$132K – – –
WSFS
38
Wilmington Savings Fund Society
Delaware
$124K – – –
ALA
39
Atherton Lane Advisers
California
$114K – – –
Truist Financial
40
Truist Financial
North Carolina
$110K – – –
Citigroup
41
Citigroup
New York
$55K +$8.84K +826 +19%
ARMT
42
Amica Retiree Medical Trust
Rhode Island
$51K – – –
BBPWM
43
Blue Bell Private Wealth Management
Pennsylvania
$50K -$17.9K -1,700 -26%
BA
44
BlackRock Advisors
Delaware
$35K -$31.7K -2,967 -48%
TJHA
45
Thomas J. Herzfeld Advisors
Florida
$24K – – –
WAM
46
Wolverine Asset Management
Illinois
$21K +$21K +2,000 New
JPMorgan Chase & Co
47
JPMorgan Chase & Co
New York
$17K +$17K +1,654 New
MA
48
MUFG Americas
New York
$16K – – –
Creative Planning
49
Creative Planning
Kansas
$11K – – –
Bank of Montreal
50
Bank of Montreal
Ontario, Canada
$11K +$11K +1,000 New
1
2
3