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, Q4 2021
Institutional positions in Nuveen Dow 30sm Dynamic Overwrite Fund as of Dec 31, 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
- 77
- +1 vs. Q3 2021
- Shares held
- 7.82M
- −422.5K (−5.1%) vs. Q3 2021
- Total value
- $139.0M
- +$857.9K (+0.6%) vs. Q3 2021
- New holders
- 11
- 27 more added
- Sold out
- 10
- 19 more reduced
3 institutions that held it in Q3 2021 haven't filed for Q4 2021 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 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, Q4 2021
Shares, value and share of portfolio for each institution holding Nuveen Dow 30sm Dynamic Overwrite Fund; share changes are against Q3 2021.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| UBS Group AG | 711,745 | $12.6M | 0.00% | −7,188−1.0% | Reduced |
| Morgan Stanley | 702,523 | $12.5M | 0.00% | −175,296−20.0% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 693,402 | $12.3M | 0.02% | +13,938+2.1% | Added |
| Guggenheim Capital LLC | 672,993 | $12.0M | 0.06% | +66,148+10.9% | Added |
| Northwestern Mutual Wealth Management Co | 622,500 | $11.1M | 0.02% | +77,450+14.2% | Added |
| Invesco Ltd. | 558,844 | $9.93M | 0.00% | −31,023−5.3% | Reduced |
| Wells Fargo & Company | 454,771 | $8.08M | 0.00% | −118,559−20.7% | Reduced |
| Shaker Financial Services, LLC | 417,799 | $7.42M | 2.62% | +133,690+47.1% | Added |
| Advisors Asset Management, Inc. | 336,911 | $5.99M | 0.09% | +71,955+27.2% | Added |
| Stifel Financial Corp | 298,374 | $5.30M | 0.01% | +10,468+3.6% | Added |
| 1607 Capital Partners, LLC | 276,835 | $4.92M | 0.26% | −21,775−7.3% | Reduced |
| Raymond James & Associates | 258,943 | $4.60M | 0.00% | +161,601+166.0% | Added |
| Bank of America Corp | 242,764 | $4.31M | 0.00% | −27,230−10.1% | Reduced |
| Royal Bank of Canada | 123,051 | $2.19M | 0.00% | −58,392−32.2% | Reduced |
| Schnieders Capital Management LLC | 108,880 | $1.94M | 0.45% | +7,650+7.6% | Added |
| Ameriprise Financial Inc | 91,734 | $1.63M | 0.00% | −4,975−5.1% | Reduced |
| Advisor Group Holdings, Inc. | 90,733 | $1.61M | 0.00% | −2,510−2.7% | Reduced |
| Private Advisor Group, LLC | 88,939 | $1.58M | 0.01% | +740+0.8% | Added |
| Envestnet Asset Management Inc | 82,995 | $1.48M | 0.00% | +6,558+8.6% | Added |
| D.A. Davidson & Co. | 82,240 | $1.46M | 0.02% | 00.0% | Unchanged |
| Park Avenue Securities LLC | 78,934 | $1.40M | 0.02% | +6,894+9.6% | Added |
| LPL Financial LLC | 76,230 | $1.35M | 0.00% | +16,372+27.4% | Added |
| Shulman DeMeo Asset Management LLC | 63,797 | $1.13M | 0.30% | +63,797 | New |
| Commonwealth Equity Services, LLC | 51,839 | $921.0K | 0.00% | +2,036+4.1% | Added |
| Raymond James Trust N.A. | 44,000 | $782.0K | 0.02% | −1,685−3.7% | Reduced |
| Cambridge Investment Research Advisors, Inc. | 42,091 | $748.0K | 0.00% | −1,310−3.0% | Reduced |
| Nations Financial Group Inc, | 39,475 | $701.0K | 0.09% | +800+2.1% | Added |
| Bank of Montreal | 36,698 | $665.0K | 0.00% | +5,586+18.0% | Added |
| Liberty One Investment Management, LLC | 34,087 | $606.0K | 0.09% | −4,036−10.6% | Reduced |
| Kingsview Wealth Management, LLC | 32,849 | $584.0K | 0.02% | −148−0.4% | Reduced |
| Institute for Wealth Management, LLC. | 32,804 | $583.0K | 0.09% | −48−0.1% | Reduced |
| Stolper Co | 30,354 | $539.0K | 0.24% | +1,951+6.9% | Added |
| BDO Wealth Advisors, LLC | 29,334 | $521.0K | 0.06% | −2,162−6.9% | Reduced |
| Truist Financial Corp | 26,890 | $478.0K | 0.00% | +1,673+6.6% | Added |
| Dynamic Advisor Solutions LLC | 25,550 | $454.0K | 0.03% | +2,400+10.4% | Added |
| Wedbush Securities Inc | 24,707 | $439.0K | 0.02% | +5,135+26.2% | Added |
| Janney Montgomery Scott LLC | 23,696 | $421.0K | 0.00% | +1,300+5.8% | Added |
| 9258 Wealth Management, LLC | 20,560 | $365.0K | 0.08% | −385−1.8% | Reduced |
| Keybank National Association | 20,368 | $362.0K | 0.00% | 00.0% | Unchanged |
| Pinnacle Associates Ltd | 20,105 | $357.0K | 0.01% | −450−2.2% | Reduced |
| Covington Capital Management | 14,554 | $259.0K | 0.01% | 00.0% | Unchanged |
| Sheaff Brock Investment Advisors, LLC | 13,385 | $238.0K | 0.02% | +100+0.8% | Added |
| Northern Trust Corp | 13,236 | $235.0K | 0.00% | 00.0% | Unchanged |
| AlphaStar Capital Management, LLC | 12,996 | $232.0K | 0.02% | 00.0% | Unchanged |
| Integrated Capital Management, Inc. | 12,850 | $228.0K | 0.18% | +1,331+11.6% | Added |
| Capital Wealth Alliance, LLC | 11,647 | $206.0K | 0.12% | +21+0.2% | Added |
| CWM, LLC | 7,871 | $140.0K | 0.00% | +7,871 | New |
| The PNC Financial Services Group, Inc. | 6,750 | $119.0K | 0.00% | 00.0% | Unchanged |
| Fifth Third Bancorp | 6,359 | $113.0K | 0.00% | 00.0% | Unchanged |
| Belpointe Asset Management LLC | 5,630 | $100.0K | 0.01% | +5,630 | New |
| US Bancorp | 5,473 | $97.0K | 0.00% | 00.0% | Unchanged |
| Princeton Global Asset Management LLC | 5,355 | $95.0K | 0.03% | 00.0% | Unchanged |
| Rockefeller Capital Management L.P. | 4,061 | $72.0K | 0.00% | +18+0.4% | Added |
| Spire Wealth Management | 3,597 | $64.0K | 0.00% | −2,815−43.9% | Reduced |
| Patriot Financial Group Insurance Agency, LLC | 3,449 | $61.0K | 0.01% | +57+1.7% | Added |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 2,888 | $51.0K | 0.00% | +88+3.1% | Added |
| Baldwin Brothers Inc | 2,592 | $46.0K | 0.00% | 00.0% | Unchanged |
| Citigroup Inc | 2,038 | $36.0K | 0.00% | −2,294−53.0% | Reduced |
| American National Bank | 2,000 | $36.0K | 0.01% | +2,000 | New |
| American Portfolios Advisors | 1,944 | $34.5K | 0.00% | 00.0% | Unchanged |
| Bessemer Group Inc | 1,610 | $29.0K | 0.00% | +1,610 | New |
| Clearstead Advisors, LLC | 1,550 | $28.0K | 0.00% | +1,550 | New |
| Antonetti Capital Management LLC | 1,338 | $24.0K | 0.02% | 00.0% | Unchanged |
| Masso Torrence Wealth Management Inc. | 1,283 | $23.0K | 0.02% | +1,283 | New |
| FourThought Financial, LLC | 1,156 | $21.0K | 0.00% | 00.0% | Unchanged |
| SOA Wealth Advisors, LLC. | 923 | $16.0K | 0.00% | +14+1.5% | Added |
| Proequities, Inc. | 750 | $13.0K | 0.00% | 00.0% | Unchanged |
| Chilton Capital Management LLC | 689 | $12.0K | 0.00% | +689 | New |
| NEXT Financial Group, Inc | 570 | $10.0K | 0.00% | 00.0% | Unchanged |
| Future Financial Wealth Managment LLC | 564 | $10.0K | 0.01% | +564 | 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 |
| O'Dell Group, LLC | 313 | $6.00K | 0.00% | 00.0% | Unchanged |
| Harbour Investments, Inc. | 250 | $4.00K | 0.00% | 00.0% | Unchanged |
| Horan Securities, Inc. | 200 | $4.00K | 0.00% | +200 | New |
| Wolff Wiese Magana LLC | 88 | $2.00K | 0.00% | 00.0% | Unchanged |
| Delta Asset Management LLC | 50 | $1.00K | 0.00% | +50 | New |
| Oxbow Advisors, LLC | 0 | $0 | 0.00% | −394,409−100.0% | Sold out |
| Formidable Asset Management, LLC | 0 | $0 | 0.00% | −85,813−100.0% | Sold out |
| Aviance Capital Partners, LLC | 0 | $0 | 0.00% | −85,079−100.0% | Sold out |
| Rivernorth Capital Management, LLC | 0 | $0 | 0.00% | −30,764−100.0% | Sold out |
| Walleye Capital LLC | 0 | $0 | 0.00% | −24,138−100.0% | Sold out |
| Mirae Asset Global Investments Co., Ltd. | 0 | $0 | 0.00% | −19,333−100.0% | Sold out |
| Liberty Wealth Management LLC | 0 | $0 | 0.00% | −771−100.0% | Sold out |
| Arkadios Wealth Advisors | 0 | $0 | 0.00% | −790−100.0% | Sold out |
| Kowal Investment Group, LLC | 0 | $0 | 0.00% | −198−100.0% | Sold out |
| Lake Point Wealth Management | 0 | $0 | 0.00% | −145−100.0% | Sold out |
| BFT Financial Group, LLC | – | – | – | – | Not filed |
| Eudaimonia Partners, LLC | – | – | – | – | Not filed |
| Security National Trust Co | – | – | – | – | Not filed |