SWZ

Swiss Helvetia Fund
SWZ

Overview Fund Activity

55 hedge funds and large institutions have $172M invested in Swiss Helvetia Fund in 2016 Q3 according to their latest regulatory filings, with 6 funds opening new positions, 14 increasing their positions, 18 reducing their positions, and 6 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
55
Holders Change
-1
Holders Change %
-1.79%
% of All Funds
1.47%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.03%
New
6
Increased
14
Reduced
18
Closed
6
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
BI
Bulldog Investors
New Jersey
$18.2M
2
JGUA
John G. Ullman & Associates
New York
$2.32M
3
Wells Fargo
Wells Fargo
California
$42.7M
4
SFS
Shaker Financial Services
Virginia
$348K
5
IA
Icon Advisers
Colorado
$291K

Top Sellers

1
Lazard Asset Management
Lazard Asset Management
New York
$30.6M
2
GFM
Gramercy Funds Management
Connecticut
$2.83M
3
Citigroup
Citigroup
New York
$406K
4
LCM
Landscape Capital Management
New Jersey
$0
5
KIM
Karpus Investment Management
New York
$18.5M
Name Holding Trade Value Shares
Change 		Shares
Change %
BBHC
26
Brown Brothers Harriman & Co
New York
$267K – – –
SRC
27
Shufro Rose & Co
New York
$263K -$258K – –
Morgan Stanley
28
Morgan Stanley
New York
$220K -$162K -15,184 -42%
AA
29
AQR Arbitrage
Connecticut
$195K -$157K -14,663 -45%
AA
30
Ancora Advisors
Ohio
$189K +$53 +5 +0%
CT
31
CMT Trading
Illinois
$174K -$6.26K -584 -3%
TAM
32
Tocqueville Asset Management
New York
$167K – – –
SSWM
33
Smith Salley Wealth Management
North Carolina
$161K -$10.7K -1,002 -6%
RJA
34
Raymond James & Associates
Florida
$156K -$14.3K -1,338 -8%
LPL Financial
35
LPL Financial
California
$140K -$28.6K -2,677 -17%
SCM
36
SOL Capital Management
Maryland
$128K – – –
WSFS
37
Wilmington Savings Fund Society
Delaware
$126K – – –
UBS Group
38
UBS Group
Switzerland
$124K -$31.6K -2,970 -20%
Truist Financial
39
Truist Financial
North Carolina
$117K +$405 +38 +0.3%
MC
40
Matisse Capital
Oregon
$112K +$112K +10,500 New
M&T Bank
41
M&T Bank
New York
$109K +$109K +10,257 New
FNBT
42
FineMark National Bank & Trust
Florida
$107K – – –
KLI
43
Kelman-Lazarov Inc
Tennessee
$95.9K -$15.5K -1,442 -14%
ARMT
44
Amica Retiree Medical Trust
Rhode Island
$52K – – –
BBPWM
45
Blue Bell Private Wealth Management
Pennsylvania
$38K – – –
ST
46
Smithfield Trust
Pennsylvania
$30K – – –
TJHA
47
Thomas J. Herzfeld Advisors
Florida
$25K – – –
JPMorgan Chase & Co
48
JPMorgan Chase & Co
New York
$19K +$366 +34 +2%
AA
49
Apriem Advisors
California
$13K +$13K +1,200 New
Creative Planning
50
Creative Planning
Kansas
$12K +$100 +9 +0.8%
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