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 2022
Institutional positions in Nuveen Dow 30sm Dynamic Overwrite Fund as of Dec 31, 2022. 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
- 80
- +10 vs. Q3 2022
- Shares held
- 8.23M
- +110.2K (+1.4%) vs. Q3 2022
- Total value
- $125.9M
- +$16.2M (+14.8%) vs. Q3 2022
- New holders
- 14
- 28 more added
- Sold out
- 4
- 23 more reduced
3 institutions that held it in Q3 2022 haven't filed for Q4 2022 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 2022: 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 2022
Shares, value and share of portfolio for each institution holding Nuveen Dow 30sm Dynamic Overwrite Fund; share changes are against Q3 2022.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Morgan Stanley | 1,123,364 | $17.4M | 0.00% | +167,903+17.6% | Added |
| UBS Group AG | 770,253 | $11.9M | 0.01% | −1,938−0.3% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 764,559 | $11.9M | 0.02% | +32,445+4.4% | Added |
| Guggenheim Capital LLC | 628,905 | $9.75M | 0.09% | −6,246−1.0% | Reduced |
| Wells Fargo & Company | 628,636 | $9.75M | 0.00% | +56,643+9.9% | Added |
| MML Investors Services, LLC | 517,001 | $8.02M | 0.05% | +48,737+10.4% | Added |
| Bank of America Corp | 450,162 | $6.98M | 0.00% | +10,750+2.4% | Added |
| Advisors Asset Management, Inc. | 386,400 | $5.99M | 0.12% | +19,996+5.5% | Added |
| Invesco Ltd. | 351,050 | $5.44M | 0.00% | −74,331−17.5% | Reduced |
| Raymond James & Associates | 187,955 | $2.92M | 0.00% | −13,010−6.5% | Reduced |
| Stifel Financial Corp | 181,689 | $2.82M | 0.00% | +5,823+3.3% | Added |
| LPL Financial LLC | 168,076 | $2.61M | 0.00% | +11,808+7.6% | Added |
| Royal Bank of Canada | 152,158 | $2.36M | 0.00% | +7,765+5.4% | Added |
| Schnieders Capital Management LLC | 126,780 | $1.97M | 0.45% | +10,400+8.9% | Added |
| Ameriprise Financial Inc | 121,065 | $1.88M | 0.00% | +4,539+3.9% | Added |
| Advisor Group Holdings, Inc. | 116,581 | $1.81M | 0.00% | −5,536−4.5% | Reduced |
| Integrated Wealth Concepts LLC | 102,247 | $1.59M | 0.04% | −429−0.4% | Reduced |
| D.A. Davidson & Co. | 101,455 | $1.57M | 0.02% | +1,719+1.7% | Added |
| Shaker Financial Services, LLC | 94,159 | $1.46M | 0.68% | −141,168−60.0% | Reduced |
| Baird Financial Group, Inc. | 75,350 | $1.17M | 0.00% | +75,350 | New |
| Formidable Asset Management, LLC | 69,220 | $1.07M | 0.24% | 00.0% | Unchanged |
| Atria Wealth Solutions, Inc. | 64,302 | $997.3K | 0.02% | −1,358−2.1% | Reduced |
| Shulman DeMeo Asset Management LLC | 61,900 | $960.1K | 0.32% | −511−0.8% | Reduced |
| Northwestern Mutual Wealth Management Co | 57,640 | $894.0K | 0.00% | −148,507−72.0% | Reduced |
| Cambridge Investment Research Advisors, Inc. | 57,416 | $891.0K | 0.00% | +3,442+6.4% | Added |
| Commonwealth Equity Services, LLC | 53,564 | $830.0K | 0.00% | +2,957+5.8% | Added |
| Nations Financial Group Inc, | 45,588 | $707.1K | 0.08% | +6,123+15.5% | Added |
| Cetera Investment Advisers | 44,747 | $694.0K | 0.01% | +20,148+81.9% | Added |
| National Asset Management, Inc. | 36,687 | $569.0K | 0.02% | +12,440+51.3% | Added |
| Raymond James Trust N.A. | 36,648 | $568.0K | 0.02% | −25,241−40.8% | Reduced |
| Dynamic Advisor Solutions LLC | 36,460 | $565.5K | 0.04% | +2,710+8.0% | Added |
| Cetera Advisor Networks LLC | 33,925 | $526.2K | 0.00% | +3,078+10.0% | Added |
| Institute for Wealth Management, LLC. | 32,519 | $504.4K | 0.11% | 00.0% | Unchanged |
| Stolper Co | 32,248 | $500.0K | 0.22% | −1,647−4.9% | Reduced |
| Kingsview Wealth Management, LLC | 32,157 | $498.8K | 0.02% | −1,350−4.0% | Reduced |
| Money Concepts Capital Corp | 30,398 | $471.5K | 0.02% | +2,762+10.0% | Added |
| Janney Montgomery Scott LLC | 29,595 | $459.0K | 0.00% | +1,034+3.6% | Added |
| DFPG Investments, LLC | 28,625 | $451.7K | 0.07% | +28,625 | New |
| Wedbush Securities Inc | 24,499 | $380.0K | 0.02% | −2,445−9.1% | Reduced |
| BDO Wealth Advisors, LLC | 24,401 | $378.5K | 0.05% | −4,933−16.8% | Reduced |
| Liberty One Investment Management, LLC | 22,064 | $342.2K | 0.05% | −2,410−9.8% | Reduced |
| Truist Financial Corp | 21,378 | $331.6K | 0.00% | −40−0.2% | Reduced |
| Keybank National Association | 20,000 | $310.2K | 0.00% | −368−1.8% | Reduced |
| Pinnacle Associates Ltd | 19,569 | $303.5K | 0.01% | −36−0.2% | Reduced |
| 9258 Wealth Management, LLC | 18,117 | $281.0K | 0.06% | +110+0.6% | Added |
| AlphaStar Capital Management, LLC | 15,292 | $237.2K | 0.02% | 00.0% | Unchanged |
| Eudaimonia Partners, LLC | 14,859 | $230.5K | 0.06% | +532+3.7% | Added |
| Sheaff Brock Investment Advisors, LLC | 13,410 | $208.0K | 0.02% | +50.0% | Added |
| Hennion & Walsh Asset Management, Inc. | 12,756 | $198.0K | 0.01% | −175−1.4% | Reduced |
| Great Valley Advisor Group, Inc. | 10,200 | $158.2K | 0.01% | −1,475−12.6% | Reduced |
| IFP Advisors, Inc | 7,048 | $140.0K | 0.00% | −2,045−22.5% | Reduced |
| Princeton Global Asset Management LLC | 6,855 | $106.0K | 0.03% | 00.0% | Unchanged |
| The PNC Financial Services Group, Inc. | 6,750 | $104.7K | 0.00% | 00.0% | Unchanged |
| Fifth Third Bancorp | 6,359 | $98.6K | 0.00% | 00.0% | Unchanged |
| Register Financial Advisors LLC | 6,146 | $95.3K | 0.06% | +6,146 | New |
| US Bancorp | 5,473 | $84.9K | 0.00% | 00.0% | Unchanged |
| JPMorgan Chase & Co | 4,319 | $67.0K | 0.00% | +4,319 | New |
| Rockefeller Capital Management L.P. | 4,061 | $63.0K | 0.00% | 00.0% | Unchanged |
| Advisory Services Network, LLC | 3,740 | $58.0K | 0.00% | +3,740 | New |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 3,111 | $48.3K | 0.00% | +119+4.0% | Added |
| Baldwin Brothers Inc | 2,592 | $40.2K | 0.00% | 00.0% | Unchanged |
| Private Trust Co NA | 2,000 | $31.0K | 0.00% | 00.0% | Unchanged |
| Elequin Capital LP | 1,830 | $28.4K | 0.01% | +1,830 | New |
| Belpointe Asset Management LLC | 1,615 | $25.1K | 0.00% | +1,615 | New |
| Antonetti Capital Management LLC | 1,338 | $20.8K | 0.03% | 00.0% | Unchanged |
| American National Bank | 1,046 | $16.0K | 0.00% | −184−15.0% | Reduced |
| Accurate Wealth Management, LLC | 1,000 | $15.7K | 0.01% | +1,000 | New |
| SOA Wealth Advisors, LLC. | 991 | $15.4K | 0.00% | +20+2.1% | Added |
| Citigroup Inc | 793 | $12.3K | 0.00% | +32+4.2% | Added |
| Cary Street Partner Investment Advisory LLC | 500 | $7.75K | 0.00% | +500 | New |
| Coppell Advisory Solutions LLC | 335 | $5.20K | 0.00% | +335 | New |
| Coppell Advisory Solutions Corp. | 335 | $5.20K | 0.00% | +335 | New |
| Harbour Investments, Inc. | 250 | $3.88K | 0.00% | 00.0% | Unchanged |
| Horan Securities, Inc. | 200 | $3.10K | 0.00% | 00.0% | Unchanged |
| Private Advisor Group, LLC | 107,120 | $1.66K | 0.00% | +977+0.9% | Added |
| Wolff Wiese Magana LLC | 88 | $1.36K | 0.00% | 00.0% | Unchanged |
| Delta Asset Management LLC | 50 | $776 | 0.00% | +50 | New |
| GWM Advisors LLC | 7,403 | $115 | 0.00% | +7,403 | New |
| CWM, LLC | 10 | $0 | 0.00% | 00.0% | Unchanged |
| Bangor Savings Bank | 1 | $0 | 0.00% | +1 | New |
| OTA Financial Group L.P. | 0 | $0 | 0.00% | −17,026−100.0% | Sold out |
| FNY Investment Advisers, LLC | 0 | $0 | 0.00% | −2,800−100.0% | Sold out |
| Ellis Investment Partners, LLC | 0 | $0 | 0.00% | −448−100.0% | Sold out |
| MUFG Americas Holdings Corp | 0 | $0 | 0.00% | −400−100.0% | Sold out |
| Covington Capital Management | – | – | – | – | Not filed |
| American Portfolios Advisors | – | – | – | – | Not filed |
| FourThought Financial, LLC | – | – | – | – | Not filed |