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SWZ

Swiss Helvetia Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Wells Fargo
1
Wells Fargo
California
$42.9M +$2.17M +211,131 +5%
1CP
2
1607 Capital Partners
Virginia
$39.9M +$833K +81,208 +2%
Lazard Asset Management
3
Lazard Asset Management
New York
$24.7M -$4.56M -444,447 -16%
BI
4
Bulldog Investors
New Jersey
$18.2M +$826K +80,479 +5%
KIM
5
Karpus Investment Management
New York
$14.7M -$2.95M -287,612 -17%
IA
6
Icon Advisers
Colorado
$2.79M +$2.53M +246,080 +904%
JGUA
7
John G. Ullman & Associates
New York
$2.08M -$137K -13,375 -6%
Bank of America
8
Bank of America
North Carolina
$1.7M -$112K -10,939 -6%
Commonwealth Equity Services
9
Commonwealth Equity Services
Massachusetts
$1.49M +$63.8K +6,219 +4%
RCM
10
Rivernorth Capital Management
Florida
$1.24M +$1.25M +121,835 New
ICM
11
Ionic Capital Management
New York
$1.22M +$1.22M +119,200 New
CCM
12
Cutler Capital Management
Massachusetts
$1.15M -$117K -11,376 -9%
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$862K +$90.9K +8,858 +12%
PNC Financial Services Group
14
PNC Financial Services Group
Pennsylvania
$801K -$278K -27,077 -26%
CL
15
CSS LLC
Illinois
$764K
CA
16
Cornerstone Advisors
North Carolina
$736K +$106K +10,364 +17%
AMI
17
Amica Mutual Insurance
Rhode Island
$705K +$42.7K +4,160 +6%
SI
18
SII Investments
Wisconsin
$697K
GC
19
Guggenheim Capital
Illinois
$496K +$29.7K +2,891 +6%
GH
20
GAM Holding
Switzerland
$495K
SFS
21
Shaker Financial Services
Virginia
$491K +$160K +15,544 +48%
AGM
22
Alpine Global Management
New York
$428K +$430K +41,929 New
LCM
23
Landscape Capital Management
New Jersey
$425K +$427K +41,609 New
AA
24
Ancora Advisors
Ohio
$406K +$226K +22,000 +124%
JMPWA
25
JP Morgan Private Wealth Advisors
California
$325K