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 %
Lazard Asset Management
1
Lazard Asset Management
New York
$46.8M -$731K -54,050 -2%
1CP
2
1607 Capital Partners
Virginia
$45.1M +$93.6K +6,918 +0.2%
Wells Fargo
3
Wells Fargo
California
$24M +$4.04M +298,769 +20%
KIM
4
Karpus Investment Management
New York
$18.2M +$5.13M +379,460 +39%
Grantham, Mayo, Van Otterloo & Co (GMO)
5
Grantham, Mayo, Van Otterloo & Co (GMO)
Massachusetts
$5.26M – – –
WAM
6
Wolverine Asset Management
Illinois
$2.98M +$667K +49,332 +29%
CCB
7
Cutter & Co Brokerage
Missouri
$1.58M -$19.1K -1,414 -1%
Bank of America
8
Bank of America
North Carolina
$1.54M +$98K +7,242 +7%
COLIM
9
City of London Investment Management
United Kingdom
$1.29M +$6.77K +500 +0.5%
Morgan Stanley
10
Morgan Stanley
New York
$1.24M +$73K +5,392 +6%
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$1.19M +$106K +7,840 +10%
GFM
12
Gramercy Funds Management
Connecticut
$1.09M +$1.01M +74,952 +1,405%
GRQ
13
Gardner Russo & Quinn
Pennsylvania
$962K – – –
CCM
14
Cutler Capital Management
Massachusetts
$901K +$31.3K +2,312 +4%
RJA
15
Raymond James & Associates
Florida
$860K -$1.93K -143 -0.2%
DA
16
Doliver Advisors
Texas
$817K +$255K +18,831 +45%
CL
17
CSS LLC
Illinois
$815K +$10.2K +751 +1%
BNP Paribas Financial Markets
18
BNP Paribas Financial Markets
France
$783K +$227K +16,800 +41%
PNC Financial Services Group
19
PNC Financial Services Group
Pennsylvania
$764K +$9.81K +725 +1%
CA
20
Cornerstone Advisors
North Carolina
$760K +$760K +56,152 New
ALA
21
Atherton Lane Advisers
California
$704K -$190K -14,058 -21%
SFS
22
Shaker Financial Services
Virginia
$553K -$138K -10,215 -20%
MWR
23
McAdams Wright Ragen
Washington
$480K +$480K +35,507 New
MIC
24
Meridian Investment Counsel
California
$456K +$8.73K +645 +2%
JGUA
25
John G. Ullman & Associates
New York
$428K -$210K -15,550 -33%
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