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SWZ

Swiss Helvetia Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Wells Fargo
1
Wells Fargo
California
$42M -$4.02M -330,298 -9%
1CP
2
1607 Capital Partners
Virginia
$41.1M -$7.51M -615,910 -16%
Lazard Asset Management
3
Lazard Asset Management
New York
$31.1M -$6.25M -512,597 -17%
BI
4
Bulldog Investors
New Jersey
$24.4M -$2.54M -208,618 -10%
KIM
5
Karpus Investment Management
New York
$14.4M -$3.37M -276,356 -20%
RCM
6
Rivernorth Capital Management
Florida
$6.34M +$4.6M +377,235 +310%
IA
7
Icon Advisers
Colorado
$3.39M -$1.17M -96,189 -27%
JGUA
8
John G. Ullman & Associates
New York
$3.15M -$48K -3,940 -2%
Bank of America
9
Bank of America
North Carolina
$2.01M -$244K -19,984 -11%
Commonwealth Equity Services
10
Commonwealth Equity Services
Massachusetts
$1.87M +$23.1K +1,893 +1%
PNC Financial Services Group
11
PNC Financial Services Group
Pennsylvania
$969K -$25.9K -2,122 -3%
SI
12
SII Investments
Wisconsin
$896K
Royal Bank of Canada
13
Royal Bank of Canada
Ontario, Canada
$697K -$352K -28,858 -34%
BC
14
Brinker Capital
Pennsylvania
$644K -$121K -9,934 -16%
WAM
15
Wolverine Asset Management
Illinois
$602K +$578K +47,437 New
CL
16
CSS LLC
Illinois
$572K -$364K -29,842 -40%
CA
17
Cornerstone Advisors
North Carolina
$490K +$220K +18,039 +88%
COLIM
18
City of London Investment Management
United Kingdom
$429K +$411K +33,768 New
PAM
19
Peak Asset Management
Colorado
$418K +$48.7K +4,000 +14%
GH
20
GAM Holding
Switzerland
$407K -$200K -16,425 -34%
JMPWA
21
JP Morgan Private Wealth Advisors
California
$404K -$388K -31,818 -50%
MIC
22
Meridian Investment Counsel
California
$320K -$57.7K -4,736 -16%
BBHC
23
Brown Brothers Harriman & Co
New York
$317K
MIG
24
Mariner Investment Group
New York
$314K -$71.2K -5,845 -19%
SRC
25
Shufro Rose & Co
New York
$304K