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 %
Wells Fargo
1
Wells Fargo
California
$62.7M +$20.4M +1,600,509 +48%
1CP
2
1607 Capital Partners
Virginia
$36.2M -$5.14M -402,775 -12%
Lazard Asset Management
3
Lazard Asset Management
New York
$29.2M -$1.94M -152,160 -6%
BI
4
Bulldog Investors
New Jersey
$24.5M – – –
KIM
5
Karpus Investment Management
New York
$13.1M -$1.39M -108,766 -10%
JGUA
6
John G. Ullman & Associates
New York
$3.12M -$45.9K -3,593 -1%
COLIM
7
City of London Investment Management
United Kingdom
$2.54M +$2.11M +164,987 +489%
Bank of America
8
Bank of America
North Carolina
$2M -$20.8K -1,627 -1%
Commonwealth Equity Services
9
Commonwealth Equity Services
Massachusetts
$1.86M -$23.3K -1,829 -1%
SI
10
SII Investments
Wisconsin
$869K -$30.1K -2,364 -3%
PNC Financial Services Group
11
PNC Financial Services Group
Pennsylvania
$718K -$258K -20,200 -26%
IA
12
Icon Advisers
Colorado
$710K -$2.7M -211,180 -79%
Citigroup
13
Citigroup
New York
$659K +$659K +51,827 New
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$630K -$72.3K -5,651 -10%
CL
15
CSS LLC
Illinois
$575K – – –
CA
16
Cornerstone Advisors
North Carolina
$574K +$82.8K +6,507 +17%
BC
17
Brinker Capital
Pennsylvania
$560K -$87.7K -6,862 -14%
PAM
18
Peak Asset Management
Colorado
$421K +$140 +11 +0%
GH
19
GAM Holding
Switzerland
$408K +$318 +25 +0.1%
JPMPWA
20
J.P. Morgan Private Wealth Advisors
California
$407K +$332 +26 +0.1%
SFS
21
Shaker Financial Services
Virginia
$335K +$335K +26,211 New
MIC
22
Meridian Investment Counsel
California
$322K – – –
Morgan Stanley
23
Morgan Stanley
New York
$320K +$21.9K +1,718 +7%
MIG
24
Mariner Investment Group
New York
$315K – – –
SRC
25
Shufro Rose & Co
New York
$305K -$304K -23,921 Closed
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