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SWZ

Swiss Helvetia Fund

Name Holding Trade Value Shares
Change
Change in
Stake
PNC Financial Services Group
26
PNC Financial Services Group
Pennsylvania
$255K +$259K +20,679 New
BC
27
Bartlett & Co
Ohio
$241K +$244K +19,551 New
Bank of New York Mellon
28
Bank of New York Mellon
New York
$214K +$218K +17,405 New
Truist Financial
29
Truist Financial
North Carolina
$203K +$206K +16,495 New
TAM
30
Tocqueville Asset Management
New York
$188K +$190K +15,229 New
GCAC
31
Guardian Capital Advisors (Canada)
Ontario, Canada
$165K +$176K +14,091 New
KCG
32
Knight Capital Group
$156K +$158K +12,668 New
CAN
33
Cetera Advisor Networks
California
$154K +$156K +12,487 New
AP
34
Advisor Partners
California
$149K +$151K +12,059 New
WSFS
35
Wilmington Savings Fund Society
Delaware
$145K +$147K +11,771 New
SCM
36
SOL Capital Management
Maryland
$141K +$144K +11,477 New
SSWM
37
Smith Salley Wealth Management
North Carolina
$137K +$139K +11,083 New
LPL Financial
38
LPL Financial
California
$133K +$135K +10,830 New
First Manhattan
39
First Manhattan
New York
$125K +$124K +9,909 New
GFM
40
Gramercy Funds Management
Connecticut
$86K +$87.5K +7,000 New
Barclays
41
Barclays
United Kingdom
$67K +$68.4K +5,466 New
Citigroup
42
Citigroup
New York
$42K +$42.5K +3,396 New
TJHA
43
Thomas J. Herzfeld Advisors
Florida
$30K +$30K +2,402 New
Ameriprise
44
Ameriprise
Minnesota
$23K +$23.8K +1,901 New
CFSG
45
Community Financial Services Group
Vermont
$20K +$20.5K +1,640 New
DBT
46
Dubuque Bank & Trust
Iowa
$15K +$15.1K +1,211 New
US Bancorp
47
US Bancorp
Minnesota
$9K +$9.09K +727 New
TF
48
Tompkins Financial
New York
$4K +$3.75K +300 New
TRCT
49
Tower Research Capital (TRC)
New York
$2K +$1.59K +127 New