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Swiss Helvetia Fund

Name Holding Trade Value Shares
Change
Change in
Stake
AA
26
Ancora Advisors
Ohio
$319K – – –
BNP Paribas Financial Markets
27
BNP Paribas Financial Markets
France
$308K +$314K +22,100 New
BC
28
Bartlett & Co
Ohio
$273K – – –
Truist Financial
29
Truist Financial
North Carolina
$230K – – –
TC
30
TFS Capital
Pennsylvania
$225K +$229K +16,115 New
CAN
31
Cetera Advisor Networks
California
$186K +$10.9K +769 +6%
CAM
32
CMT Asset Management
Illinois
$185K +$188K +13,228 New
YCM
33
Yakira Capital Management
Connecticut
$182K +$185K +13,012 New
U
34
UBS
Switzerland
$181K -$18.8K -1,323 -9%
SSWM
35
Smith Salley Wealth Management
North Carolina
$174K – – –
AP
36
Advisor Partners
California
$168K – – –
WSFS
37
Wilmington Savings Fund Society
Delaware
$164K – – –
SCM
38
SOL Capital Management
Maryland
$160K – – –
First Manhattan
39
First Manhattan
New York
$138K – – –
Barclays
40
Barclays
United Kingdom
$128K +$12.4K +870 +10%
GFM
41
Gramercy Funds Management
Connecticut
$98K – – –
BBPWM
42
Blue Bell Private Wealth Management
Pennsylvania
$75K +$77K +5,411 New
Citigroup
43
Citigroup
New York
$46K +$313 +22 +0.7%
TJHA
44
Thomas J. Herzfeld Advisors
Florida
$34K – – –
WA
45
WFG Advisors
Texas
$25K – – –
DBT
46
Dubuque Bank & Trust
Iowa
$17K – – –
Ameriprise
47
Ameriprise
Minnesota
$14K -$12.5K -879 -46%
US Bancorp
48
US Bancorp
Minnesota
$10K – – –
TF
49
Tompkins Financial
New York
$4K – – –
TAM
50
Tocqueville Asset Management
New York
– -$217K -15,229 Closed