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 |
|---|---|---|---|---|---|
| Wolff Wiese Magana LLC | 88 | $1.00K | 0.00% | 00.0% | Unchanged |
| Lake Point Wealth Management | 145 | $2.00K | 0.00% | +145 | New |
| Kowal Investment Group, LLC | 198 | $3.00K | 0.00% | +198 | New |
| Harbour Investments, Inc. | 250 | $4.00K | 0.00% | 00.0% | Unchanged |
| O'Dell Group, LLC | 313 | $5.00K | 0.00% | +313 | New |
| Geneos Wealth Management Inc. | 435 | $7.00K | 0.00% | 00.0% | Unchanged |
| Ellis Investment Partners, LLC | 448 | $7.00K | 0.00% | 00.0% | Unchanged |
| NEXT Financial Group, Inc | 570 | $10.0K | 0.00% | 00.0% | Unchanged |
| 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 |
| SOA Wealth Advisors, LLC. | 909 | $15.0K | 0.00% | +14+1.6% | Added |
| Security National Trust Co | 1,000 | $17.0K | 0.00% | 00.0% | Unchanged |
| FourThought Financial, LLC | 1,156 | $19.0K | 0.00% | 00.0% | Unchanged |
| Antonetti Capital Management LLC | 1,338 | $22.0K | 0.02% | +1,338 | New |
| American Portfolios Advisors | 1,944 | $32.6K | 0.00% | 00.0% | Unchanged |
| Baldwin Brothers Inc | 2,592 | $43.0K | 0.00% | 00.0% | Unchanged |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 2,800 | $46.0K | 0.00% | +2,800 | New |
| Patriot Financial Group Insurance Agency, LLC | 3,392 | $57.0K | 0.01% | +28+0.8% | Added |
| Rockefeller Capital Management L.P. | 4,043 | $67.0K | 0.00% | +18+0.4% | Added |
| Citigroup Inc | 4,332 | $73.0K | 0.00% | −3,556−45.1% | Reduced |
| Princeton Global Asset Management LLC | 5,355 | $90.0K | 0.03% | 00.0% | Unchanged |
| US Bancorp | 5,473 | $91.0K | 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 |
| The PNC Financial Services Group, Inc. | 6,750 | $113.0K | 0.00% | 00.0% | Unchanged |
| Integrated Capital Management, Inc. | 11,519 | $192.0K | 0.16% | +1,003+9.5% | Added |
| Capital Wealth Alliance, LLC | 11,626 | $202.0K | 0.12% | +23+0.2% | Added |
| Northern Trust Corp | 13,236 | $222.0K | 0.00% | 00.0% | Unchanged |
| Sheaff Brock Investment Advisors, LLC | 13,285 | $223.0K | 0.02% | +13,285 | New |
| AlphaStar Capital Management, LLC | 12,996 | $227.0K | 0.02% | 00.0% | Unchanged |
| Eudaimonia Partners, LLC | 13,674 | $229.0K | 0.04% | +209+1.6% | Added |
| Covington Capital Management | 14,554 | $244.0K | 0.01% | −2,400−14.2% | Reduced |
| Mirae Asset Global Investments Co., Ltd. | 19,333 | $324.0K | 0.00% | −38,399−66.5% | Reduced |
| Wedbush Securities Inc | 19,572 | $328.0K | 0.02% | +175+0.9% | Added |
| Keybank National Association | 20,368 | $341.0K | 0.00% | 00.0% | Unchanged |
| Pinnacle Associates Ltd | 20,555 | $344.0K | 0.01% | −1,350−6.2% | Reduced |
| 9258 Wealth Management, LLC | 20,945 | $351.0K | 0.09% | +11+0.1% | Added |
| Janney Montgomery Scott LLC | 22,396 | $375.0K | 0.00% | +3,385+17.8% | Added |
| BFT Financial Group, LLC | 23,000 | $385.0K | 0.07% | 00.0% | Unchanged |
| Dynamic Advisor Solutions LLC | 23,150 | $388.0K | 0.03% | +7,500+47.9% | Added |
| Walleye Capital LLC | 24,138 | $404.0K | 0.01% | −21,220−46.8% | Reduced |
| Truist Financial Corp | 25,217 | $422.0K | 0.00% | +681+2.8% | Added |
| Stolper Co | 28,403 | $476.0K | 0.23% | +1,921+7.3% | Added |
| Rivernorth Capital Management, LLC | 30,764 | $518.0K | 0.03% | −472,002−93.9% | Reduced |
| BDO Wealth Advisors, LLC | 31,496 | $528.0K | 0.06% | −421−1.3% | Reduced |
| Bank of Montreal | 31,112 | $549.0K | 0.00% | −8,698−21.8% | Reduced |
| Institute for Wealth Management, LLC. | 32,852 | $550.0K | 0.10% | −120−0.4% | Reduced |
| Kingsview Wealth Management, LLC | 32,997 | $553.0K | 0.03% | +1,300+4.1% | Added |
| Liberty One Investment Management, LLC | 38,123 | $639.0K | 0.11% | +409+1.1% | Added |
| Nations Financial Group Inc, | 38,675 | $648.0K | 0.10% | +400+1.0% | Added |
| Cambridge Investment Research Advisors, Inc. | 43,401 | $727.0K | 0.00% | +321+0.7% | Added |
| Raymond James Trust N.A. | 45,685 | $765.0K | 0.03% | 00.0% | Unchanged |
| Commonwealth Equity Services, LLC | 49,803 | $834.0K | 0.00% | −1,059−2.1% | Reduced |
| LPL Financial LLC | 59,858 | $1.00M | 0.00% | −3,035−4.8% | Reduced |
| Park Avenue Securities LLC | 72,040 | $1.21M | 0.02% | +5,652+8.5% | Added |
| Envestnet Asset Management Inc | 76,437 | $1.28M | 0.00% | +6,436+9.2% | Added |
| D.A. Davidson & Co. | 82,240 | $1.38M | 0.02% | +16,265+24.7% | Added |
| Aviance Capital Partners, LLC | 85,079 | $1.43M | 0.25% | +2,621+3.2% | Added |
| Formidable Asset Management, LLC | 85,813 | $1.44M | 0.27% | −1,512−1.7% | Reduced |
| Private Advisor Group, LLC | 88,199 | $1.48M | 0.01% | −695−0.8% | Reduced |
| Advisor Group Holdings, Inc. | 93,243 | $1.56M | 0.00% | −1,297−1.4% | Reduced |
| 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 |
| Schnieders Capital Management LLC | 101,230 | $1.70M | 0.46% | +700+0.7% | Added |
| Royal Bank of Canada | 181,443 | $3.04M | 0.00% | +14,889+8.9% | Added |
| Advisors Asset Management, Inc. | 264,956 | $4.44M | 0.07% | +6,736+2.6% | Added |
| Bank of America Corp | 269,994 | $4.52M | 0.00% | −19,075−6.6% | Reduced |
| Shaker Financial Services, LLC | 284,109 | $4.76M | 1.90% | +5,321+1.9% | Added |
| Stifel Financial Corp | 287,906 | $4.82M | 0.01% | +15,748+5.8% | Added |
| 1607 Capital Partners, LLC | 298,610 | $5.00M | 0.25% | −40,775−12.0% | Reduced |
| Oxbow Advisors, LLC | 394,409 | $6.61M | 0.67% | −6,047−1.5% | Reduced |
| Northwestern Mutual Wealth Management Co | 545,050 | $9.13M | 0.02% | +132,641+32.2% | Added |
| Wells Fargo & Company | 573,330 | $9.60M | 0.00% | −1,038−0.2% | Reduced |
| Invesco Ltd. | 589,867 | $9.88M | 0.00% | +23,697+4.2% | Added |
| Guggenheim Capital LLC | 606,845 | $10.2M | 0.06% | +68,778+12.8% | Added |
| Raymond James Financial Services Advisors, Inc. | 679,464 | $11.4M | 0.02% | +18,833+2.9% | Added |
| UBS Group AG | 718,933 | $12.0M | 0.01% | +23,508+3.4% | Added |
| Morgan Stanley | 877,819 | $14.7M | 0.00% | −40,588−4.4% | Reduced |
| 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 |