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 |
|---|---|---|---|---|---|
| Delta Asset Management LLC | 50 | $1.00K | 0.00% | +50 | New |
| Wolff Wiese Magana LLC | 88 | $2.00K | 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 |
| O'Dell Group, LLC | 313 | $6.00K | 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 |
| NEXT Financial Group, Inc | 570 | $10.0K | 0.00% | 00.0% | Unchanged |
| Future Financial Wealth Managment LLC | 564 | $10.0K | 0.01% | +564 | New |
| Chilton Capital Management LLC | 689 | $12.0K | 0.00% | +689 | New |
| Proequities, Inc. | 750 | $13.0K | 0.00% | 00.0% | Unchanged |
| SOA Wealth Advisors, LLC. | 923 | $16.0K | 0.00% | +14+1.5% | Added |
| FourThought Financial, LLC | 1,156 | $21.0K | 0.00% | 00.0% | Unchanged |
| Masso Torrence Wealth Management Inc. | 1,283 | $23.0K | 0.02% | +1,283 | New |
| Antonetti Capital Management LLC | 1,338 | $24.0K | 0.02% | 00.0% | Unchanged |
| Clearstead Advisors, LLC | 1,550 | $28.0K | 0.00% | +1,550 | New |
| Bessemer Group Inc | 1,610 | $29.0K | 0.00% | +1,610 | New |
| American Portfolios Advisors | 1,944 | $34.5K | 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 |
| Baldwin Brothers Inc | 2,592 | $46.0K | 0.00% | 00.0% | Unchanged |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 2,888 | $51.0K | 0.00% | +88+3.1% | Added |
| Patriot Financial Group Insurance Agency, LLC | 3,449 | $61.0K | 0.01% | +57+1.7% | Added |
| Spire Wealth Management | 3,597 | $64.0K | 0.00% | −2,815−43.9% | Reduced |
| Rockefeller Capital Management L.P. | 4,061 | $72.0K | 0.00% | +18+0.4% | Added |
| Princeton Global Asset Management LLC | 5,355 | $95.0K | 0.03% | 00.0% | Unchanged |
| US Bancorp | 5,473 | $97.0K | 0.00% | 00.0% | Unchanged |
| Belpointe Asset Management LLC | 5,630 | $100.0K | 0.01% | +5,630 | New |
| Fifth Third Bancorp | 6,359 | $113.0K | 0.00% | 00.0% | Unchanged |
| The PNC Financial Services Group, Inc. | 6,750 | $119.0K | 0.00% | 00.0% | Unchanged |
| CWM, LLC | 7,871 | $140.0K | 0.00% | +7,871 | New |
| Capital Wealth Alliance, LLC | 11,647 | $206.0K | 0.12% | +21+0.2% | Added |
| Integrated Capital Management, Inc. | 12,850 | $228.0K | 0.18% | +1,331+11.6% | Added |
| AlphaStar Capital Management, LLC | 12,996 | $232.0K | 0.02% | 00.0% | Unchanged |
| Northern Trust Corp | 13,236 | $235.0K | 0.00% | 00.0% | Unchanged |
| Sheaff Brock Investment Advisors, LLC | 13,385 | $238.0K | 0.02% | +100+0.8% | Added |
| Covington Capital Management | 14,554 | $259.0K | 0.01% | 00.0% | Unchanged |
| Pinnacle Associates Ltd | 20,105 | $357.0K | 0.01% | −450−2.2% | Reduced |
| Keybank National Association | 20,368 | $362.0K | 0.00% | 00.0% | Unchanged |
| 9258 Wealth Management, LLC | 20,560 | $365.0K | 0.08% | −385−1.8% | Reduced |
| Janney Montgomery Scott LLC | 23,696 | $421.0K | 0.00% | +1,300+5.8% | Added |
| Wedbush Securities Inc | 24,707 | $439.0K | 0.02% | +5,135+26.2% | Added |
| Dynamic Advisor Solutions LLC | 25,550 | $454.0K | 0.03% | +2,400+10.4% | Added |
| Truist Financial Corp | 26,890 | $478.0K | 0.00% | +1,673+6.6% | Added |
| BDO Wealth Advisors, LLC | 29,334 | $521.0K | 0.06% | −2,162−6.9% | Reduced |
| Stolper Co | 30,354 | $539.0K | 0.24% | +1,951+6.9% | Added |
| Institute for Wealth Management, LLC. | 32,804 | $583.0K | 0.09% | −48−0.1% | Reduced |
| Kingsview Wealth Management, LLC | 32,849 | $584.0K | 0.02% | −148−0.4% | Reduced |
| Liberty One Investment Management, LLC | 34,087 | $606.0K | 0.09% | −4,036−10.6% | Reduced |
| Bank of Montreal | 36,698 | $665.0K | 0.00% | +5,586+18.0% | Added |
| Nations Financial Group Inc, | 39,475 | $701.0K | 0.09% | +800+2.1% | Added |
| Cambridge Investment Research Advisors, Inc. | 42,091 | $748.0K | 0.00% | −1,310−3.0% | Reduced |
| Raymond James Trust N.A. | 44,000 | $782.0K | 0.02% | −1,685−3.7% | Reduced |
| Commonwealth Equity Services, LLC | 51,839 | $921.0K | 0.00% | +2,036+4.1% | Added |
| Shulman DeMeo Asset Management LLC | 63,797 | $1.13M | 0.30% | +63,797 | New |
| LPL Financial LLC | 76,230 | $1.35M | 0.00% | +16,372+27.4% | Added |
| Park Avenue Securities LLC | 78,934 | $1.40M | 0.02% | +6,894+9.6% | Added |
| D.A. Davidson & Co. | 82,240 | $1.46M | 0.02% | 00.0% | Unchanged |
| Envestnet Asset Management Inc | 82,995 | $1.48M | 0.00% | +6,558+8.6% | Added |
| Private Advisor Group, LLC | 88,939 | $1.58M | 0.01% | +740+0.8% | Added |
| Advisor Group Holdings, Inc. | 90,733 | $1.61M | 0.00% | −2,510−2.7% | Reduced |
| Ameriprise Financial Inc | 91,734 | $1.63M | 0.00% | −4,975−5.1% | Reduced |
| Schnieders Capital Management LLC | 108,880 | $1.94M | 0.45% | +7,650+7.6% | Added |
| Royal Bank of Canada | 123,051 | $2.19M | 0.00% | −58,392−32.2% | Reduced |
| Bank of America Corp | 242,764 | $4.31M | 0.00% | −27,230−10.1% | Reduced |
| Raymond James & Associates | 258,943 | $4.60M | 0.00% | +161,601+166.0% | Added |
| 1607 Capital Partners, LLC | 276,835 | $4.92M | 0.26% | −21,775−7.3% | Reduced |
| Stifel Financial Corp | 298,374 | $5.30M | 0.01% | +10,468+3.6% | Added |
| Advisors Asset Management, Inc. | 336,911 | $5.99M | 0.09% | +71,955+27.2% | Added |
| Shaker Financial Services, LLC | 417,799 | $7.42M | 2.62% | +133,690+47.1% | Added |
| Wells Fargo & Company | 454,771 | $8.08M | 0.00% | −118,559−20.7% | Reduced |
| Invesco Ltd. | 558,844 | $9.93M | 0.00% | −31,023−5.3% | Reduced |
| Northwestern Mutual Wealth Management Co | 622,500 | $11.1M | 0.02% | +77,450+14.2% | Added |
| Guggenheim Capital LLC | 672,993 | $12.0M | 0.06% | +66,148+10.9% | Added |
| Raymond James Financial Services Advisors, Inc. | 693,402 | $12.3M | 0.02% | +13,938+2.1% | Added |
| Morgan Stanley | 702,523 | $12.5M | 0.00% | −175,296−20.0% | Reduced |
| UBS Group AG | 711,745 | $12.6M | 0.00% | −7,188−1.0% | Reduced |
| 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 |