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SWZ

Swiss Helvetia Fund

Name Holding Trade Value Shares
Change
Change in
Stake
1CP
1
1607 Capital Partners
Virginia
$44.7M -$566K -51,800 -1%
Wells Fargo
2
Wells Fargo
California
$42.2M -$6.21M -567,932 -14%
Lazard Asset Management
3
Lazard Asset Management
New York
$34.4M +$5.96M +544,776 +23%
BI
4
Bulldog Investors
New Jersey
$24.7M +$3.78M +345,264 +19%
KIM
5
Karpus Investment Management
New York
$16.4M -$321K -29,354 -2%
IA
6
Icon Advisers
Colorado
$4.21M +$980K +89,659 +33%
JGUA
7
John G. Ullman & Associates
New York
$2.92M +$522K +47,700 +23%
Bank of America
8
Bank of America
North Carolina
$2.06M +$129K +11,763 +7%
Commonwealth Equity Services
9
Commonwealth Equity Services
Massachusetts
$1.69M -$3.73K -341 -0.2%
RCM
10
Rivernorth Capital Management
Florida
$1.41M
Royal Bank of Canada
11
Royal Bank of Canada
Ontario, Canada
$971K -$6.59K -603 -0.7%
PNC Financial Services Group
12
PNC Financial Services Group
Pennsylvania
$909K
CL
13
CSS LLC
Illinois
$868K
SI
14
SII Investments
Wisconsin
$819K +$24K +2,193 +3%
JMPWA
15
JP Morgan Private Wealth Advisors
California
$738K +$348K +31,818 +100%
BC
16
Brinker Capital
Pennsylvania
$703K +$663K +60,626 New
GH
17
GAM Holding
Switzerland
$563K
CCM
18
Cutler Capital Management
Massachusetts
$522K -$738K -67,489 -60%
GC
19
Guggenheim Capital
Illinois
$485K -$74.3K -6,798 -14%
AA
20
Ancora Advisors
Ohio
$460K
LCM
21
Landscape Capital Management
New Jersey
$425K
BFM
22
Boothbay Fund Management
New York
$369K +$348K +31,800 New
MIG
23
Mariner Investment Group
New York
$354K
MIC
24
Meridian Investment Counsel
California
$348K
PAM
25
Peak Asset Management
Colorado
$336K