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SWZ

Swiss Helvetia Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Wells Fargo
1
Wells Fargo
California
$5.18M -$847K -106,333 -14%
Lazard Asset Management
2
Lazard Asset Management
New York
$4.14M +$1.48M +185,373 +56%
CL
3
CSS LLC
Illinois
$3.98M +$789K +99,050 +25%
RCM
4
Rivernorth Capital Management
Florida
$3.91M +$3.88M +486,441 New
1CP
5
1607 Capital Partners
Virginia
$3.11M +$128K +16,113 +4%
Geode Capital Management
6
Geode Capital Management
Massachusetts
$2.12M
Commonwealth Equity Services
7
Commonwealth Equity Services
Massachusetts
$1.63M -$30K -3,761 -2%
MC
8
Matisse Capital
Oregon
$1.57M +$182K +22,898 +13%
BI
9
Bulldog Investors
New Jersey
$1.25M
WAM
10
Wolverine Asset Management
Illinois
$1.05M -$549K -68,879 -34%
UCI
11
Uncommon Cents Investing
Wisconsin
$722K
LCM
12
Landscape Capital Management
New Jersey
$428K -$233K -29,275 -35%
KIM
13
Karpus Investment Management
New York
$420K +$258K +32,429 +163%
Susquehanna International Group
14
Susquehanna International Group
Pennsylvania
$319K +$55.3K +6,938 +21%
COLIM
15
City of London Investment Management
United Kingdom
$277K
Morgan Stanley
16
Morgan Stanley
New York
$272K -$8.28K -1,039 -3%
SFS
17
Shaker Financial Services
Virginia
$264K +$170K +21,399 +186%
CRC
18
Curi RMB Capital
Illinois
$242K -$125K -15,677 -34%
SSWM
19
Smith Salley Wealth Management
North Carolina
$171K
Walleye Trading
20
Walleye Trading
New York
$159K
AP
21
Advisor Partners
California
$142K
GI
22
GAMCO Investors
Connecticut
$128K +$127K +15,993 New
CICI
23
Capital Investment Counsel Inc
North Carolina
$120K
Royal Bank of Canada
24
Royal Bank of Canada
Ontario, Canada
$80K +$7.56K +949 +11%
PNC Financial Services Group
25
PNC Financial Services Group
Pennsylvania
$76K