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, Q3 2021
Institutional positions in Nuveen Dow 30sm Dynamic Overwrite Fund as of Sep 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
- 79
- −7 vs. Q2 2021
- Shares held
- 8.28M
- −503.3K (−5.7%) vs. Q2 2021
- Total value
- $138.8M
- −$10.8M (−7.2%) vs. Q2 2021
- New holders
- 6
- 32 more added
- Sold out
- 13
- 22 more reduced
3 institutions that held it in Q2 2021 haven't filed for Q3 2021 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q2 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, Q3 2021
Shares, value and share of portfolio for each institution holding Nuveen Dow 30sm Dynamic Overwrite Fund; share changes are against Q2 2021.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Morgan Stanley | 877,819 | $14.7M | 0.00% | −40,588−4.4% | Reduced |
| UBS Group AG | 718,933 | $12.0M | 0.01% | +23,508+3.4% | Added |
| Raymond James Financial Services Advisors, Inc. | 679,464 | $11.4M | 0.02% | +18,833+2.9% | Added |
| Guggenheim Capital LLC | 606,845 | $10.2M | 0.06% | +68,778+12.8% | Added |
| Invesco Ltd. | 589,867 | $9.88M | 0.00% | +23,697+4.2% | Added |
| Wells Fargo & Company | 573,330 | $9.60M | 0.00% | −1,038−0.2% | Reduced |
| Northwestern Mutual Wealth Management Co | 545,050 | $9.13M | 0.02% | +132,641+32.2% | Added |
| Oxbow Advisors, LLC | 394,409 | $6.61M | 0.67% | −6,047−1.5% | Reduced |
| 1607 Capital Partners, LLC | 298,610 | $5.00M | 0.25% | −40,775−12.0% | Reduced |
| Stifel Financial Corp | 287,906 | $4.82M | 0.01% | +15,748+5.8% | Added |
| Shaker Financial Services, LLC | 284,109 | $4.76M | 1.90% | +5,321+1.9% | Added |
| Bank of America Corp | 269,994 | $4.52M | 0.00% | −19,075−6.6% | Reduced |
| Advisors Asset Management, Inc. | 264,956 | $4.44M | 0.07% | +6,736+2.6% | Added |
| Royal Bank of Canada | 181,443 | $3.04M | 0.00% | +14,889+8.9% | Added |
| Schnieders Capital Management LLC | 101,230 | $1.70M | 0.46% | +700+0.7% | Added |
| Raymond James & Associates | 97,342 | $1.63M | 0.00% | −39,713−29.0% | Reduced |
| Ameriprise Financial Inc | 96,709 | $1.63M | 0.00% | +3,522+3.8% | Added |
| Advisor Group Holdings, Inc. | 93,243 | $1.56M | 0.00% | −1,297−1.4% | Reduced |
| Private Advisor Group, LLC | 88,199 | $1.48M | 0.01% | −695−0.8% | Reduced |
| Formidable Asset Management, LLC | 85,813 | $1.44M | 0.27% | −1,512−1.7% | Reduced |
| Aviance Capital Partners, LLC | 85,079 | $1.43M | 0.25% | +2,621+3.2% | Added |
| D.A. Davidson & Co. | 82,240 | $1.38M | 0.02% | +16,265+24.7% | Added |
| Envestnet Asset Management Inc | 76,437 | $1.28M | 0.00% | +6,436+9.2% | Added |
| Park Avenue Securities LLC | 72,040 | $1.21M | 0.02% | +5,652+8.5% | Added |
| LPL Financial LLC | 59,858 | $1.00M | 0.00% | −3,035−4.8% | Reduced |
| Commonwealth Equity Services, LLC | 49,803 | $834.0K | 0.00% | −1,059−2.1% | Reduced |
| Raymond James Trust N.A. | 45,685 | $765.0K | 0.03% | 00.0% | Unchanged |
| Cambridge Investment Research Advisors, Inc. | 43,401 | $727.0K | 0.00% | +321+0.7% | Added |
| Nations Financial Group Inc, | 38,675 | $648.0K | 0.10% | +400+1.0% | Added |
| Liberty One Investment Management, LLC | 38,123 | $639.0K | 0.11% | +409+1.1% | Added |
| Kingsview Wealth Management, LLC | 32,997 | $553.0K | 0.03% | +1,300+4.1% | Added |
| Institute for Wealth Management, LLC. | 32,852 | $550.0K | 0.10% | −120−0.4% | Reduced |
| Bank of Montreal | 31,112 | $549.0K | 0.00% | −8,698−21.8% | Reduced |
| BDO Wealth Advisors, LLC | 31,496 | $528.0K | 0.06% | −421−1.3% | Reduced |
| Rivernorth Capital Management, LLC | 30,764 | $518.0K | 0.03% | −472,002−93.9% | Reduced |
| Stolper Co | 28,403 | $476.0K | 0.23% | +1,921+7.3% | Added |
| Truist Financial Corp | 25,217 | $422.0K | 0.00% | +681+2.8% | Added |
| Walleye Capital LLC | 24,138 | $404.0K | 0.01% | −21,220−46.8% | Reduced |
| Dynamic Advisor Solutions LLC | 23,150 | $388.0K | 0.03% | +7,500+47.9% | Added |
| BFT Financial Group, LLC | 23,000 | $385.0K | 0.07% | 00.0% | Unchanged |
| Janney Montgomery Scott LLC | 22,396 | $375.0K | 0.00% | +3,385+17.8% | Added |
| 9258 Wealth Management, LLC | 20,945 | $351.0K | 0.09% | +11+0.1% | Added |
| Pinnacle Associates Ltd | 20,555 | $344.0K | 0.01% | −1,350−6.2% | Reduced |
| Keybank National Association | 20,368 | $341.0K | 0.00% | 00.0% | Unchanged |
| Wedbush Securities Inc | 19,572 | $328.0K | 0.02% | +175+0.9% | Added |
| Mirae Asset Global Investments Co., Ltd. | 19,333 | $324.0K | 0.00% | −38,399−66.5% | Reduced |
| Covington Capital Management | 14,554 | $244.0K | 0.01% | −2,400−14.2% | Reduced |
| Eudaimonia Partners, LLC | 13,674 | $229.0K | 0.04% | +209+1.6% | Added |
| AlphaStar Capital Management, LLC | 12,996 | $227.0K | 0.02% | 00.0% | Unchanged |
| Sheaff Brock Investment Advisors, LLC | 13,285 | $223.0K | 0.02% | +13,285 | New |
| Northern Trust Corp | 13,236 | $222.0K | 0.00% | 00.0% | Unchanged |
| Capital Wealth Alliance, LLC | 11,626 | $202.0K | 0.12% | +23+0.2% | Added |
| Integrated Capital Management, Inc. | 11,519 | $192.0K | 0.16% | +1,003+9.5% | Added |
| The PNC Financial Services Group, Inc. | 6,750 | $113.0K | 0.00% | 00.0% | Unchanged |
| Spire Wealth Management | 6,412 | $107.0K | 0.00% | −1,425−18.2% | Reduced |
| Fifth Third Bancorp | 6,359 | $107.0K | 0.00% | 00.0% | Unchanged |
| US Bancorp | 5,473 | $91.0K | 0.00% | 00.0% | Unchanged |
| Princeton Global Asset Management LLC | 5,355 | $90.0K | 0.03% | 00.0% | Unchanged |
| Citigroup Inc | 4,332 | $73.0K | 0.00% | −3,556−45.1% | Reduced |
| Rockefeller Capital Management L.P. | 4,043 | $67.0K | 0.00% | +18+0.4% | Added |
| Patriot Financial Group Insurance Agency, LLC | 3,392 | $57.0K | 0.01% | +28+0.8% | Added |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 2,800 | $46.0K | 0.00% | +2,800 | New |
| Baldwin Brothers Inc | 2,592 | $43.0K | 0.00% | 00.0% | Unchanged |
| American Portfolios Advisors | 1,944 | $32.6K | 0.00% | 00.0% | Unchanged |
| Antonetti Capital Management LLC | 1,338 | $22.0K | 0.02% | +1,338 | New |
| 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. | 909 | $15.0K | 0.00% | +14+1.6% | Added |
| Arkadios Wealth Advisors | 790 | $13.0K | 0.00% | −2,251−74.0% | Reduced |
| Proequities, Inc. | 750 | $13.0K | 0.00% | 00.0% | Unchanged |
| Liberty Wealth Management LLC | 771 | $13.0K | 0.00% | +13+1.7% | Added |
| NEXT Financial Group, Inc | 570 | $10.0K | 0.00% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 435 | $7.00K | 0.00% | 00.0% | Unchanged |
| Ellis Investment Partners, LLC | 448 | $7.00K | 0.00% | 00.0% | Unchanged |
| O'Dell Group, LLC | 313 | $5.00K | 0.00% | +313 | New |
| Harbour Investments, Inc. | 250 | $4.00K | 0.00% | 00.0% | Unchanged |
| Kowal Investment Group, LLC | 198 | $3.00K | 0.00% | +198 | New |
| Lake Point Wealth Management | 145 | $2.00K | 0.00% | +145 | New |
| Wolff Wiese Magana LLC | 88 | $1.00K | 0.00% | 00.0% | Unchanged |
| Shulman DeMeo Asset Management LLC | 0 | $0 | 0.00% | −67,224−100.0% | Sold out |
| Ionic Capital Management LLC | 0 | $0 | 0.00% | −40,635−100.0% | Sold out |
| Baird Financial Group, Inc. | 0 | $0 | 0.00% | −14,104−100.0% | Sold out |
| CNH Partners LLC | 0 | $0 | 0.00% | −13,128−100.0% | Sold out |
| Walleye Trading LLC | 0 | $0 | 0.00% | −11,326−100.0% | Sold out |
| Texas Yale Capital Corp. | 0 | $0 | 0.00% | −10,368−100.0% | Sold out |
| Parisi Gray Wealth Management | 0 | $0 | 0.00% | −6,000−100.0% | Sold out |
| FNY Investment Advisers, LLC | 0 | $0 | 0.00% | −5,000−100.0% | Sold out |
| Advisory Services Network, LLC | 0 | $0 | 0.00% | −4,296−100.0% | Sold out |
| Pinnacle Bancorp, Inc. | 0 | $0 | 0.00% | −2,181−100.0% | Sold out |
| TSFG, LLC | 0 | $0 | 0.00% | −1,725−100.0% | Sold out |
| Eaton Vance Management | 0 | $0 | 0.00% | −864−100.0% | Sold out |
| Sound Income Strategies, LLC | 0 | $0 | 0.00% | −609−100.0% | Sold out |
| CWM, LLC | – | – | – | – | Not filed |
| Horan Securities, Inc. | – | – | – | – | Not filed |
| San Francisco Sentry Investment Group (Ca) | – | – | – | – | Not filed |