Nuveen Dow 30sm Dynamic Overwrite Fund
DIAXDelisted Mar 30, 2026- SEC CIK
- 0001608742
Nuveen Dow 30sm Dynamic Overwrite Fund was delisted on Mar 30, 2026; its insiders filed their last Form 4 on Nov 30, 2021; 122 institutions reported holding it in 13F filings for Q4 2025, worth $189.9M in total; no superinvestor held it.
13F holders, Q2 2021
Institutional positions in Nuveen Dow 30sm Dynamic Overwrite Fund as of Jun 30, 2021. Investment managers with $100 million or more in US stocks report their long positions on Form 13F within 45 days after each quarter ends. How 13F works
- Institutional holders
- 89
- −5 vs. Q1 2021
- Shares held
- 8.79M
- −59.8K (−0.7%) vs. Q1 2021
- Total value
- $149.7M
- +$5.87M (+4.1%) vs. Q1 2021
- New holders
- 8
- 35 more added
- Sold out
- 13
- 24 more reduced
Compare with Q1 2021: new holders, sold out and not filed yet
Holders and value by quarter
Institutions reporting DIAX on Form 13F each quarter since Q1 2021, and the total value they reported. Values are as of each quarter end, so they also move with the share price.
| Quarter | Holders | Value |
|---|---|---|
| Q2 2026 | 0 | $0 |
| Q1 2026 | 3 | $10.7M |
| Q4 2025 | 122 | $189.9M |
| Q3 2025 | 109 | $178.3M |
| Q2 2025 | 104 | $169.8M |
| Q1 2025 | 101 | $163.8M |
| Q4 2024 | 90 | $174.8M |
| Q3 2024 | 86 | $170.3M |
| Q2 2024 | 86 | $159.1M |
| Q1 2024 | 82 | $165.4M |
| Q4 2023 | 82 | $150.9M |
| Q3 2023 | 81 | $137.6M |
| Q2 2023 | 82 | $130.7M |
| Q1 2023 | 83 | $126.5M |
| Q4 2022 | 80 | $125.9M |
| Q3 2022 | 73 | $109.9M |
| Q2 2022 | 80 | $126.5M |
| Q1 2022 | 76 | $130.1M |
| Q4 2021 | 77 | $139.0M |
| Q3 2021 | 79 | $138.8M |
| Q2 2021 | 89 | $149.7M |
| Q1 2021 | 94 | $143.9M |
Institutions, Q2 2021
Shares, value and share of portfolio for each institution holding Nuveen Dow 30sm Dynamic Overwrite Fund; share changes are against Q1 2021.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Morgan Stanley | 918,407 | $15.6M | 0.00% | −1,261−0.1% | Reduced |
| UBS Group AG | 695,425 | $11.8M | 0.00% | +39,963+6.1% | Added |
| Raymond James Financial Services Advisors, Inc. | 660,631 | $11.2M | 0.02% | +40,270+6.5% | Added |
| Wells Fargo & Company | 574,368 | $9.78M | 0.00% | +73,614+14.7% | Added |
| Invesco Ltd. | 566,170 | $9.64M | 0.00% | +74,810+15.2% | Added |
| Guggenheim Capital LLC | 538,067 | $9.16M | 0.05% | +178,378+49.6% | Added |
| Rivernorth Capital Management, LLC | 502,766 | $8.56M | 0.49% | −124,821−19.9% | Reduced |
| Northwestern Mutual Wealth Management Co | 412,409 | $7.02M | 0.01% | +19,804+5.0% | Added |
| Oxbow Advisors, LLC | 400,456 | $6.82M | 0.71% | +3,001+0.8% | Added |
| 1607 Capital Partners, LLC | 339,385 | $5.78M | 0.28% | −1,000−0.3% | Reduced |
| Bank of America Corp | 289,069 | $4.92M | 0.00% | −54,734−15.9% | Reduced |
| Shaker Financial Services, LLC | 278,788 | $4.75M | 1.76% | +6,202+2.3% | Added |
| Stifel Financial Corp | 272,158 | $4.63M | 0.01% | −9,658−3.4% | Reduced |
| Advisors Asset Management, Inc. | 258,220 | $4.39M | 0.06% | +20,081+8.4% | Added |
| Royal Bank of Canada | 166,554 | $2.83M | 0.00% | +15,815+10.5% | Added |
| Raymond James & Associates | 137,055 | $2.33M | 0.00% | −13,187−8.8% | Reduced |
| Schnieders Capital Management LLC | 100,530 | $1.71M | 0.47% | +5,550+5.8% | Added |
| Advisor Group Holdings, Inc. | 94,540 | $1.61M | 0.00% | +470+0.5% | Added |
| Ameriprise Financial Inc | 93,187 | $1.59M | 0.00% | +15,086+19.3% | Added |
| Private Advisor Group, LLC | 88,894 | $1.51M | 0.01% | +4,596+5.5% | Added |
| Formidable Asset Management, LLC | 87,325 | $1.50M | 0.32% | −4,968−5.4% | Reduced |
| Aviance Capital Partners, LLC | 82,458 | $1.40M | 0.25% | +11,661+16.5% | Added |
| Envestnet Asset Management Inc | 70,001 | $1.19M | 0.00% | +3,516+5.3% | Added |
| Shulman DeMeo Asset Management LLC | 67,224 | $1.14M | 0.44% | −796−1.2% | Reduced |
| Park Avenue Securities LLC | 66,388 | $1.13M | 0.02% | +2,809+4.4% | Added |
| D.A. Davidson & Co. | 65,975 | $1.12M | 0.01% | +2,375+3.7% | Added |
| LPL Financial LLC | 62,893 | $1.07M | 0.00% | +15,976+34.1% | Added |
| Mirae Asset Global Investments Co., Ltd. | 57,732 | $983.0K | 0.00% | +16,312+39.4% | Added |
| Commonwealth Equity Services, LLC | 50,862 | $865.0K | 0.00% | +6,544+14.8% | Added |
| Raymond James Trust N.A. | 45,685 | $778.0K | 0.03% | +4,695+11.5% | Added |
| Walleye Capital LLC | 45,358 | $772.0K | 0.03% | +20.0% | Added |
| Cambridge Investment Research Advisors, Inc. | 43,080 | $733.0K | 0.00% | +7,980+22.7% | Added |
| Bank of Montreal | 39,810 | $715.0K | 0.00% | +39,810 | New |
| Ionic Capital Management LLC | 40,635 | $692.0K | 0.08% | −255,916−86.3% | Reduced |
| Nations Financial Group Inc, | 38,275 | $651.0K | 0.11% | +1,400+3.8% | Added |
| Liberty One Investment Management, LLC | 37,714 | $642.0K | 0.11% | −5,045−11.8% | Reduced |
| Institute for Wealth Management, LLC. | 32,972 | $561.0K | 0.10% | −24−0.1% | Reduced |
| BDO Wealth Advisors, LLC | 31,917 | $543.0K | 0.06% | −163−0.5% | Reduced |
| Kingsview Wealth Management, LLC | 31,697 | $542.0K | 0.03% | +6,153+24.1% | Added |
| Stolper Co | 26,482 | $451.0K | 0.21% | +26,482 | New |
| Truist Financial Corp | 24,536 | $418.0K | 0.00% | +85+0.3% | Added |
| BFT Financial Group, LLC | 23,000 | $391.0K | 0.08% | 00.0% | Unchanged |
| Pinnacle Associates Ltd | 21,905 | $373.0K | 0.01% | −150−0.7% | Reduced |
| 9258 Wealth Management, LLC | 20,934 | $356.0K | 0.10% | −2,165−9.4% | Reduced |
| Keybank National Association | 20,368 | $347.0K | 0.00% | 00.0% | Unchanged |
| Wedbush Securities Inc | 19,397 | $330.0K | 0.02% | +1,475+8.2% | Added |
| Janney Montgomery Scott LLC | 19,011 | $324.0K | 0.00% | +570+3.1% | Added |
| Covington Capital Management | 16,954 | $289.0K | 0.01% | 00.0% | Unchanged |
| Dynamic Advisor Solutions LLC | 15,650 | $266.0K | 0.02% | +15,650 | New |
| Baird Financial Group, Inc. | 14,104 | $240.0K | 0.00% | +14,104 | New |
| Eudaimonia Partners, LLC | 13,465 | $229.0K | 0.04% | −778−5.5% | Reduced |
| Northern Trust Corp | 13,236 | $225.0K | 0.00% | −1,100−7.7% | Reduced |
| AlphaStar Capital Management, LLC | 12,996 | $225.0K | 0.03% | 00.0% | Unchanged |
| CNH Partners LLC | 13,128 | $223.0K | 0.01% | −38,952−74.8% | Reduced |
| Capital Wealth Alliance, LLC | 11,603 | $195.0K | 0.12% | +45+0.4% | Added |
| Walleye Trading LLC | 11,326 | $193.0K | 0.01% | −6,390−36.1% | Reduced |
| Integrated Capital Management, Inc. | 10,516 | $178.0K | 0.14% | +10,516 | New |
| Texas Yale Capital Corp. | 10,368 | $176.0K | 0.01% | 00.0% | Unchanged |
| CWM, LLC | 7,871 | $134.0K | 0.00% | 00.0% | Unchanged |
| Citigroup Inc | 7,888 | $134.0K | 0.00% | +1,079+15.8% | Added |
| Spire Wealth Management | 7,837 | $133.0K | 0.00% | 00.0% | Unchanged |
| The PNC Financial Services Group, Inc. | 6,750 | $115.0K | 0.00% | −222−3.2% | Reduced |
| Fifth Third Bancorp | 6,359 | $108.0K | 0.00% | 00.0% | Unchanged |
| Parisi Gray Wealth Management | 6,000 | $102.0K | 0.04% | +6,000 | New |
| US Bancorp | 5,473 | $93.0K | 0.00% | −1,363−19.9% | Reduced |
| Princeton Global Asset Management LLC | 5,355 | $91.0K | 0.03% | −1,886−26.0% | Reduced |
| FNY Investment Advisers, LLC | 5,000 | $85.0K | 0.03% | −1,883−27.4% | Reduced |
| Advisory Services Network, LLC | 4,296 | $73.0K | 0.00% | +4,296 | New |
| Rockefeller Capital Management L.P. | 4,025 | $68.0K | 0.00% | +19+0.5% | Added |
| Patriot Financial Group Insurance Agency, LLC | 3,364 | $57.0K | 0.01% | +29+0.9% | Added |
| Arkadios Wealth Advisors | 3,041 | $51.0K | 0.01% | +2,655+687.8% | Added |
| Baldwin Brothers Inc | 2,592 | $44.0K | 0.00% | 00.0% | Unchanged |
| Pinnacle Bancorp, Inc. | 2,181 | $37.0K | 0.02% | 00.0% | Unchanged |
| American Portfolios Advisors | 1,944 | $33.1K | 0.00% | 00.0% | Unchanged |
| TSFG, LLC | 1,725 | $29.0K | 0.01% | 00.0% | Unchanged |
| FourThought Financial, LLC | 1,156 | $19.0K | 0.00% | 00.0% | Unchanged |
| Security National Trust Co | 1,000 | $17.0K | 0.00% | 00.0% | Unchanged |
| SOA Wealth Advisors, LLC. | 895 | $15.0K | 0.00% | −303−25.3% | Reduced |
| Eaton Vance Management | 864 | $15.0K | 0.00% | +864 | New |
| Proequities, Inc. | 750 | $13.0K | 0.00% | 00.0% | Unchanged |
| Liberty Wealth Management LLC | 758 | $13.0K | 0.01% | +13+1.7% | Added |
| Sound Income Strategies, LLC | 609 | $10.0K | 0.00% | 00.0% | Unchanged |
| NEXT Financial Group, Inc | 570 | $10.0K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 435 | $7.00K | 0.00% | −78−15.2% | Reduced |
| Ellis Investment Partners, LLC | 448 | $7.00K | 0.00% | 00.0% | Unchanged |
| Harbour Investments, Inc. | 250 | $4.00K | 0.00% | 00.0% | Unchanged |
| Horan Securities, Inc. | 200 | $3.00K | 0.00% | 00.0% | Unchanged |
| San Francisco Sentry Investment Group (Ca) | 120 | $2.00K | 0.00% | 00.0% | Unchanged |
| Wolff Wiese Magana LLC | 88 | $1.00K | 0.00% | 00.0% | Unchanged |
| Cornerstone Advisors, LLC | 0 | $0 | 0.00% | −89,757−100.0% | Sold out |
| Landscape Capital Management, L.L.C. | 0 | $0 | 0.00% | −46,935−100.0% | Sold out |
| Hochman Cole Investment Advisors, Inc. | 0 | $0 | 0.00% | −42,812−100.0% | Sold out |
| Wolverine Asset Management LLC | 0 | $0 | 0.00% | −16,188−100.0% | Sold out |
| Harbor Financial Services, LLC | 0 | $0 | 0.00% | −11,647−100.0% | Sold out |
| Quantedge Capital Pte Ltd | 0 | $0 | 0.00% | −10,400−100.0% | Sold out |
| International Assets Investment Management, LLC | 0 | $0 | 0.00% | −6,702−100.0% | Sold out |
| Enterprise Financial Services Corp | 0 | $0 | 0.00% | −4,000−100.0% | Sold out |
| Heritage Wealth Management, LLC | 0 | $0 | 0.00% | −1,866−100.0% | Sold out |
| Sowell Financial Services LLC | 0 | $0 | 0.00% | −1,350−100.0% | Sold out |
| Steward Partners Investment Advisory, LLC | 0 | $0 | 0.00% | −850−100.0% | Sold out |