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 |
|---|---|---|---|---|---|
| CWM, LLC | 10 | $0 | 0.00% | 00.0% | Unchanged |
| Bangor Savings Bank | 1 | $0 | 0.00% | +1 | New |
| GWM Advisors LLC | 7,403 | $115 | 0.00% | +7,403 | New |
| Delta Asset Management LLC | 50 | $776 | 0.00% | +50 | New |
| Wolff Wiese Magana LLC | 88 | $1.36K | 0.00% | 00.0% | Unchanged |
| Private Advisor Group, LLC | 107,120 | $1.66K | 0.00% | +977+0.9% | Added |
| Horan Securities, Inc. | 200 | $3.10K | 0.00% | 00.0% | Unchanged |
| Harbour Investments, Inc. | 250 | $3.88K | 0.00% | 00.0% | Unchanged |
| Coppell Advisory Solutions LLC | 335 | $5.20K | 0.00% | +335 | New |
| Coppell Advisory Solutions Corp. | 335 | $5.20K | 0.00% | +335 | New |
| Cary Street Partner Investment Advisory LLC | 500 | $7.75K | 0.00% | +500 | New |
| Citigroup Inc | 793 | $12.3K | 0.00% | +32+4.2% | Added |
| SOA Wealth Advisors, LLC. | 991 | $15.4K | 0.00% | +20+2.1% | Added |
| Accurate Wealth Management, LLC | 1,000 | $15.7K | 0.01% | +1,000 | New |
| American National Bank | 1,046 | $16.0K | 0.00% | −184−15.0% | Reduced |
| Antonetti Capital Management LLC | 1,338 | $20.8K | 0.03% | 00.0% | Unchanged |
| Belpointe Asset Management LLC | 1,615 | $25.1K | 0.00% | +1,615 | New |
| Elequin Capital LP | 1,830 | $28.4K | 0.01% | +1,830 | New |
| Private Trust Co NA | 2,000 | $31.0K | 0.00% | 00.0% | Unchanged |
| Baldwin Brothers Inc | 2,592 | $40.2K | 0.00% | 00.0% | Unchanged |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 3,111 | $48.3K | 0.00% | +119+4.0% | Added |
| Advisory Services Network, LLC | 3,740 | $58.0K | 0.00% | +3,740 | New |
| Rockefeller Capital Management L.P. | 4,061 | $63.0K | 0.00% | 00.0% | Unchanged |
| JPMorgan Chase & Co | 4,319 | $67.0K | 0.00% | +4,319 | New |
| US Bancorp | 5,473 | $84.9K | 0.00% | 00.0% | Unchanged |
| Register Financial Advisors LLC | 6,146 | $95.3K | 0.06% | +6,146 | New |
| Fifth Third Bancorp | 6,359 | $98.6K | 0.00% | 00.0% | Unchanged |
| The PNC Financial Services Group, Inc. | 6,750 | $104.7K | 0.00% | 00.0% | Unchanged |
| Princeton Global Asset Management LLC | 6,855 | $106.0K | 0.03% | 00.0% | Unchanged |
| IFP Advisors, Inc | 7,048 | $140.0K | 0.00% | −2,045−22.5% | Reduced |
| Great Valley Advisor Group, Inc. | 10,200 | $158.2K | 0.01% | −1,475−12.6% | Reduced |
| Hennion & Walsh Asset Management, Inc. | 12,756 | $198.0K | 0.01% | −175−1.4% | Reduced |
| Sheaff Brock Investment Advisors, LLC | 13,410 | $208.0K | 0.02% | +50.0% | Added |
| Eudaimonia Partners, LLC | 14,859 | $230.5K | 0.06% | +532+3.7% | Added |
| AlphaStar Capital Management, LLC | 15,292 | $237.2K | 0.02% | 00.0% | Unchanged |
| 9258 Wealth Management, LLC | 18,117 | $281.0K | 0.06% | +110+0.6% | Added |
| Pinnacle Associates Ltd | 19,569 | $303.5K | 0.01% | −36−0.2% | Reduced |
| Keybank National Association | 20,000 | $310.2K | 0.00% | −368−1.8% | Reduced |
| Truist Financial Corp | 21,378 | $331.6K | 0.00% | −40−0.2% | Reduced |
| Liberty One Investment Management, LLC | 22,064 | $342.2K | 0.05% | −2,410−9.8% | Reduced |
| BDO Wealth Advisors, LLC | 24,401 | $378.5K | 0.05% | −4,933−16.8% | Reduced |
| Wedbush Securities Inc | 24,499 | $380.0K | 0.02% | −2,445−9.1% | Reduced |
| DFPG Investments, LLC | 28,625 | $451.7K | 0.07% | +28,625 | New |
| Janney Montgomery Scott LLC | 29,595 | $459.0K | 0.00% | +1,034+3.6% | Added |
| Money Concepts Capital Corp | 30,398 | $471.5K | 0.02% | +2,762+10.0% | Added |
| Kingsview Wealth Management, LLC | 32,157 | $498.8K | 0.02% | −1,350−4.0% | Reduced |
| Stolper Co | 32,248 | $500.0K | 0.22% | −1,647−4.9% | Reduced |
| Institute for Wealth Management, LLC. | 32,519 | $504.4K | 0.11% | 00.0% | Unchanged |
| Cetera Advisor Networks LLC | 33,925 | $526.2K | 0.00% | +3,078+10.0% | Added |
| Dynamic Advisor Solutions LLC | 36,460 | $565.5K | 0.04% | +2,710+8.0% | Added |
| Raymond James Trust N.A. | 36,648 | $568.0K | 0.02% | −25,241−40.8% | Reduced |
| National Asset Management, Inc. | 36,687 | $569.0K | 0.02% | +12,440+51.3% | Added |
| Cetera Investment Advisers | 44,747 | $694.0K | 0.01% | +20,148+81.9% | Added |
| Nations Financial Group Inc, | 45,588 | $707.1K | 0.08% | +6,123+15.5% | Added |
| Commonwealth Equity Services, LLC | 53,564 | $830.0K | 0.00% | +2,957+5.8% | Added |
| Cambridge Investment Research Advisors, Inc. | 57,416 | $891.0K | 0.00% | +3,442+6.4% | Added |
| Northwestern Mutual Wealth Management Co | 57,640 | $894.0K | 0.00% | −148,507−72.0% | Reduced |
| Shulman DeMeo Asset Management LLC | 61,900 | $960.1K | 0.32% | −511−0.8% | Reduced |
| Atria Wealth Solutions, Inc. | 64,302 | $997.3K | 0.02% | −1,358−2.1% | Reduced |
| Formidable Asset Management, LLC | 69,220 | $1.07M | 0.24% | 00.0% | Unchanged |
| Baird Financial Group, Inc. | 75,350 | $1.17M | 0.00% | +75,350 | New |
| Shaker Financial Services, LLC | 94,159 | $1.46M | 0.68% | −141,168−60.0% | Reduced |
| D.A. Davidson & Co. | 101,455 | $1.57M | 0.02% | +1,719+1.7% | Added |
| Integrated Wealth Concepts LLC | 102,247 | $1.59M | 0.04% | −429−0.4% | Reduced |
| Advisor Group Holdings, Inc. | 116,581 | $1.81M | 0.00% | −5,536−4.5% | Reduced |
| Ameriprise Financial Inc | 121,065 | $1.88M | 0.00% | +4,539+3.9% | Added |
| Schnieders Capital Management LLC | 126,780 | $1.97M | 0.45% | +10,400+8.9% | Added |
| Royal Bank of Canada | 152,158 | $2.36M | 0.00% | +7,765+5.4% | Added |
| LPL Financial LLC | 168,076 | $2.61M | 0.00% | +11,808+7.6% | Added |
| Stifel Financial Corp | 181,689 | $2.82M | 0.00% | +5,823+3.3% | Added |
| Raymond James & Associates | 187,955 | $2.92M | 0.00% | −13,010−6.5% | Reduced |
| Invesco Ltd. | 351,050 | $5.44M | 0.00% | −74,331−17.5% | Reduced |
| Advisors Asset Management, Inc. | 386,400 | $5.99M | 0.12% | +19,996+5.5% | Added |
| Bank of America Corp | 450,162 | $6.98M | 0.00% | +10,750+2.4% | Added |
| MML Investors Services, LLC | 517,001 | $8.02M | 0.05% | +48,737+10.4% | Added |
| Wells Fargo & Company | 628,636 | $9.75M | 0.00% | +56,643+9.9% | Added |
| Guggenheim Capital LLC | 628,905 | $9.75M | 0.09% | −6,246−1.0% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 764,559 | $11.9M | 0.02% | +32,445+4.4% | Added |
| UBS Group AG | 770,253 | $11.9M | 0.01% | −1,938−0.3% | Reduced |
| Morgan Stanley | 1,123,364 | $17.4M | 0.00% | +167,903+17.6% | Added |
| 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 |