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SWZ

Swiss Helvetia Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Wells Fargo
1
Wells Fargo
California
$66.2M +$3.56M +282,349 +6%
1CP
2
1607 Capital Partners
Virginia
$35.9M -$279K -22,100 -0.8%
Lazard Asset Management
3
Lazard Asset Management
New York
$29M -$290K -23,000 -1%
BI
4
Bulldog Investors
New Jersey
$25.7M +$1.21M +95,839 +5%
KIM
5
Karpus Investment Management
New York
$12.6M -$472K -37,398 -4%
COLIM
6
City of London Investment Management
United Kingdom
$4.04M +$1.48M +117,080 +59%
JGUA
7
John G. Ullman & Associates
New York
$3.22M +$103K +8,185 +3%
Bank of America
8
Bank of America
North Carolina
$2M +$9.5K +753 +0.5%
Commonwealth Equity Services
9
Commonwealth Equity Services
Massachusetts
$1.93M +$70.9K +5,621 +4%
UCI
10
Uncommon Cents Investing
Wisconsin
$787K +$779K +61,705 New
PNC Financial Services Group
11
PNC Financial Services Group
Pennsylvania
$716K
Citigroup
12
Citigroup
New York
$661K
CL
13
CSS LLC
Illinois
$574K
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$557K -$70.9K -5,620 -11%
PAM
15
Peak Asset Management
Colorado
$422K +$1.6K +127 +0.4%
CA
16
Cornerstone Advisors
North Carolina
$418K -$155K -12,319 -27%
BC
17
Brinker Capital
Pennsylvania
$417K -$141K -11,153 -25%
GH
18
GAM Holding
Switzerland
$410K
JMPWA
19
JP Morgan Private Wealth Advisors
California
$410K +$3.84K +304 +1%
SFS
20
Shaker Financial Services
Virginia
$396K +$60.6K +4,800 +18%
Morgan Stanley
21
Morgan Stanley
New York
$331K +$10.9K +861 +3%
MIC
22
Meridian Investment Counsel
California
$322K
MIG
23
Mariner Investment Group
New York
$315K
AA
24
Ancora Advisors
Ohio
$194K -$3.09K -245 -2%
UBS Group
25
UBS Group
Switzerland
$182K +$3.42K +271 +2%