SWZ

Swiss Helvetia Fund
SWZ

Overview Fund Activity

43 hedge funds and large institutions have $185M invested in Swiss Helvetia Fund in 2017 Q3 according to their latest regulatory filings, with 3 funds opening new positions, 8 increasing their positions, 16 reducing their positions, and 9 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
43
Holders Change
-7
Holders Change %
-14%
% of All Funds
1.07%
Holding in Top 10
1
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.02%
New
3
Increased
8
Reduced
16
Closed
9
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
Wells Fargo
Wells Fargo
California
$62.7M
2
COLIM
City of London Investment Management
United Kingdom
$2.54M
3
Citigroup
Citigroup
New York
$659K
4
SFS
Shaker Financial Services
Virginia
$335K
5
CA
Cornerstone Advisors
North Carolina
$574K

Top Sellers

1
RCM
Rivernorth Capital Management
Florida
$0
2
1CP
1607 Capital Partners
Virginia
$36.2M
3
IA
Icon Advisers
Colorado
$710K
4
Lazard Asset Management
Lazard Asset Management
New York
$29.2M
5
KIM
Karpus Investment Management
New York
$13.1M
Name Holding Trade Value Shares
Change 		Shares
Change %
BBHC
26
Brown Brothers Harriman & Co
New York
$267K -$50.3K -3,957 -16%
WAM
27
Wolverine Asset Management
Illinois
$253K -$351K -27,551 -58%
AA
28
Ancora Advisors
Ohio
$198K – – –
UBS Group
29
UBS Group
Switzerland
$179K +$29.4K +2,295 +20%
SSWM
30
Smith Salley Wealth Management
North Carolina
$177K – – –
DA
31
Doliver Advisors
Texas
$163K -$28.7K -2,250 -15%
RJA
32
Raymond James & Associates
Florida
$162K -$36.4K -2,854 -18%
FNBT
33
FineMark National Bank & Trust
Florida
$128K – – –
BBPWM
34
Blue Bell Private Wealth Management
Pennsylvania
$72K -$3.96K -312 -5%
Bank of Montreal
35
Bank of Montreal
Ontario, Canada
$49K – – –
BF
36
BOK Financial
Oklahoma
$38K +$38K +2,947 New
ST
37
Smithfield Trust
Pennsylvania
$35K – – –
TJHA
38
Thomas J. Herzfeld Advisors
Florida
$25K – – –
JPMorgan Chase & Co
39
JPMorgan Chase & Co
New York
$22K – – –
FDCDDQ
40
Federation des caisses Desjardins du Quebec
Quebec, Canada
$14.3K – – –
NSIM
41
North Star Investment Management
Illinois
$13K – – –
TF
42
Tompkins Financial
New York
$6K – – –
US Bancorp
43
US Bancorp
Minnesota
$4K – – –
BC
44
Bartlett & Co
Ohio
$3K – – –
RCM
45
Rivernorth Capital Management
Florida
– -$6.34M -499,070 Closed
GC
46
Guggenheim Capital
Illinois
– -$281K -22,130 Closed
AGM
47
Alpine Global Management
New York
– -$162K -12,756 Closed
SCM
48
SOL Capital Management
Maryland
– -$143K -11,265 Closed
Barclays
49
Barclays
United Kingdom
– -$13K -1,000 Closed
Creative Planning
50
Creative Planning
Kansas
– -$10K -775 Closed
1
2
3