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 2023
Institutional positions in Nuveen Dow 30sm Dynamic Overwrite Fund as of Sep 30, 2023. 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
- 81
- +1 vs. Q2 2023
- Shares held
- 10.0M
- +822.4K (+8.9%) vs. Q2 2023
- Total value
- $137.6M
- +$7.46M (+5.7%) vs. Q2 2023
- New holders
- 7
- 31 more added
- Sold out
- 6
- 27 more reduced
2 institutions that held it in Q2 2023 haven't filed for Q3 2023 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q2 2023: 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 2023
Shares, value and share of portfolio for each institution holding Nuveen Dow 30sm Dynamic Overwrite Fund; share changes are against Q2 2023.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Morgan Stanley | 1,084,674 | $14.9M | 0.00% | +152,833+16.4% | Added |
| Bank of America Corp | 889,191 | $12.2M | 0.00% | +179,233+25.2% | Added |
| UBS Group AG | 815,489 | $11.2M | 0.01% | +17,342+2.2% | Added |
| Raymond James Financial Services Advisors, Inc. | 813,830 | $11.1M | 0.02% | +11,346+1.4% | Added |
| Wells Fargo & Company | 570,073 | $7.81M | 0.00% | −63,704−10.1% | Reduced |
| Guggenheim Capital LLC | 556,531 | $7.62M | 0.07% | +5,823+1.1% | Added |
| Invesco Ltd. | 555,808 | $7.61M | 0.00% | −12,051−2.1% | Reduced |
| Cornerstone Advisors, LLC | 402,988 | $5.52M | 0.26% | +208,118+106.8% | Added |
| 1607 Capital Partners, LLC | 386,293 | $5.29M | 0.40% | +368,542+2,076.2% | Added |
| Advisors Asset Management, Inc. | 332,446 | $4.55M | 0.10% | −55,925−14.4% | Reduced |
| Wolverine Asset Management LLC | 268,509 | $3.68M | 0.07% | +32,543+13.8% | Added |
| Shaker Financial Services, LLC | 218,897 | $3.10M | 1.44% | −210,861−49.1% | Reduced |
| CNH Partners LLC | 220,589 | $3.02M | 0.14% | +173,201+365.5% | Added |
| Thomas J. Herzfeld Advisors, Inc. | 176,694 | $2.42M | 0.94% | −10,353−5.5% | Reduced |
| Royal Bank of Canada | 175,852 | $2.41M | 0.00% | +6,385+3.8% | Added |
| Stifel Financial Corp | 173,865 | $2.38M | 0.00% | −4,653−2.6% | Reduced |
| Ameriprise Financial Inc | 168,142 | $2.30M | 0.00% | +12,099+7.8% | Added |
| LPL Financial LLC | 159,957 | $2.19M | 0.00% | +6,997+4.6% | Added |
| Ionic Capital Management LLC | 159,048 | $2.18M | 0.85% | +159,048 | New |
| Raymond James & Associates | 135,060 | $1.85M | 0.00% | −23,792−15.0% | Reduced |
| Advisor Group Holdings, Inc. | 126,709 | $1.74M | 0.00% | +8,745+7.4% | Added |
| D.A. Davidson & Co. | 119,526 | $1.64M | 0.02% | +625+0.5% | Added |
| Private Advisor Group, LLC | 110,672 | $1.52M | 0.01% | +868+0.8% | Added |
| Schnieders Capital Management LLC | 108,460 | $1.49M | 0.33% | −19,525−15.3% | Reduced |
| Integrated Wealth Concepts LLC | 94,888 | $1.30M | 0.02% | −2,512−2.6% | Reduced |
| Envestnet Asset Management Inc | 89,250 | $1.22M | 0.00% | +362+0.4% | Added |
| Park Avenue Securities LLC | 84,599 | $1.16M | 0.02% | +3,620+4.5% | Added |
| Formidable Asset Management, LLC | 68,861 | $943.4K | 0.21% | 00.0% | Unchanged |
| Shulman DeMeo Asset Management LLC | 61,188 | $838.3K | 0.28% | −30.0% | Reduced |
| Atria Wealth Solutions, Inc. | 51,075 | $714.4K | 0.01% | +470+0.9% | Added |
| Commonwealth Equity Services, LLC | 48,515 | $665.0K | 0.00% | −1,278−2.6% | Reduced |
| National Asset Management, Inc. | 44,924 | $628.3K | 0.02% | +1,339+3.1% | Added |
| Dynamic Advisor Solutions LLC | 45,385 | $621.8K | 0.03% | +26,825+144.5% | Added |
| MML Investors Services, LLC | 43,738 | $599.0K | 0.00% | −99,621−69.5% | Reduced |
| Cambridge Investment Research Advisors, Inc. | 39,909 | $547.0K | 0.00% | −18,509−31.7% | Reduced |
| Landscape Capital Management, L.L.C. | 37,970 | $520.2K | 0.07% | −20,228−34.8% | Reduced |
| Cetera Advisor Networks LLC | 37,575 | $514.8K | 0.00% | +257+0.7% | Added |
| Nations Financial Group Inc, | 35,267 | $483.2K | 0.05% | −10,686−23.3% | Reduced |
| Janney Montgomery Scott LLC | 33,405 | $458.0K | 0.00% | +1,100+3.4% | Added |
| Northwestern Mutual Wealth Management Co | 32,526 | $445.6K | 0.00% | −1,052−3.1% | Reduced |
| Institute for Wealth Management, LLC. | 32,204 | $441.2K | 0.08% | −60−0.2% | Reduced |
| Kingsview Wealth Management, LLC | 30,288 | $415.0K | 0.01% | −1,478−4.7% | Reduced |
| Stolper Co | 30,219 | $414.0K | 0.18% | −504−1.6% | Reduced |
| DFPG Investments, LLC | 28,625 | $379.3K | 0.04% | 00.0% | Unchanged |
| Wedbush Securities Inc | 26,811 | $367.0K | 0.02% | +2,100+8.5% | Added |
| NBC Securities, Inc. | 25,472 | $348.0K | 0.04% | +25,472 | New |
| Pinnacle Associates Ltd | 20,205 | $276.8K | 0.01% | −745−3.6% | Reduced |
| Kestra Advisory Services, LLC | 20,022 | $274.3K | 0.00% | +8,256+70.2% | Added |
| Raymond James Trust N.A. | 18,759 | $257.0K | 0.01% | −17,889−48.8% | Reduced |
| Blue Bell Private Wealth Management, LLC | 17,366 | $237.9K | 0.06% | +8,625+98.7% | Added |
| Elequin Capital LP | 16,958 | $232.3K | 0.05% | −3,224−16.0% | Reduced |
| Eudaimonia Partners, LLC | 14,897 | $204.1K | 0.05% | +276+1.9% | Added |
| 9258 Wealth Management, LLC | 14,830 | $203.2K | 0.04% | −1,373−8.5% | Reduced |
| Great Valley Advisor Group, Inc. | 13,640 | $186.9K | 0.01% | +950+7.5% | Added |
| Sheaff Brock Investment Advisors, LLC | 13,410 | $183.7K | 0.02% | 00.0% | Unchanged |
| Integrated Capital Management, Inc. | 12,532 | $171.7K | 0.15% | +721+6.1% | Added |
| Hennion & Walsh Asset Management, Inc. | 12,239 | $167.7K | 0.01% | −372−2.9% | Reduced |
| Truist Financial Corp | 11,706 | $160.4K | 0.00% | −2,392−17.0% | Reduced |
| Susquehanna International Group, LLP | 10,581 | $145.0K | 0.00% | +10,581 | New |
| NWF Advisory Services Inc. | 10,396 | $142.4K | 0.03% | +10,396 | New |
| Comerica Bank | 10,382 | $142.2K | 0.00% | +10,382 | New |
| JPMorgan Chase & Co | 9,934 | $136.1K | 0.00% | −5,168−34.2% | Reduced |
| Liberty One Investment Management, LLC | 7,062 | $96.8K | 0.01% | +60+0.9% | Added |
| The PNC Financial Services Group, Inc. | 6,750 | $92.5K | 0.00% | 00.0% | Unchanged |
| Fifth Third Bancorp | 6,359 | $87.1K | 0.00% | 00.0% | Unchanged |
| US Bancorp | 5,473 | $75.0K | 0.00% | 00.0% | Unchanged |
| Princeton Global Asset Management LLC | 5,370 | $73.6K | 0.02% | 00.0% | Unchanged |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 3,236 | $44.3K | 0.00% | +64+2.0% | Added |
| GPS Wealth Strategies Group, LLC | 3,212 | $44.0K | 0.01% | 00.0% | Unchanged |
| GWM Advisors LLC | 2,930 | $40.1K | 0.00% | 00.0% | Unchanged |
| FNY Investment Advisers, LLC | 2,800 | $38.0K | 0.02% | 00.0% | Unchanged |
| Private Trust Co NA | 2,000 | $27.4K | 0.00% | 00.0% | Unchanged |
| Sunbelt Securities, Inc. | 2,000 | $27.4K | 0.00% | 00.0% | Unchanged |
| Register Financial Advisors LLC | 1,380 | $18.9K | 0.01% | −4,766−77.5% | Reduced |
| Antonetti Capital Management LLC | 1,338 | $18.7K | 0.03% | 00.0% | Unchanged |
| Legacy Financial Group LLC | 1,296 | $17.8K | 0.00% | +1,296 | New |
| SOA Wealth Advisors, LLC. | 1,050 | $14.4K | 0.00% | +21+2.0% | Added |
| American National Bank | 941 | $12.9K | 0.00% | 00.0% | Unchanged |
| Coppell Advisory Solutions LLC | 335 | $5.20K | 0.00% | 00.0% | Unchanged |
| Wolff Wiese Magana LLC | 88 | $1.21K | 0.00% | 00.0% | Unchanged |
| Barrett & Company, Inc. | 81 | $1.11K | 0.00% | +81 | New |
| Keybank National Association | 0 | $0 | 0.00% | −20,000−100.0% | Sold out |
| AlphaStar Capital Management, LLC | 0 | $0 | 0.00% | −18,997−100.0% | Sold out |
| Baldwin Brothers Inc | 0 | $0 | 0.00% | −2,592−100.0% | Sold out |
| O'Dell Group, LLC | 0 | $0 | 0.00% | −313−100.0% | Sold out |
| FMR LLC | 0 | $0 | 0.00% | −1−100.0% | Sold out |
| CWM, LLC | 0 | $0 | 0.00% | −15−100.0% | Sold out |
| BFT Financial Group, LLC | – | – | – | – | Not filed |
| BDO Wealth Advisors, LLC | – | – | – | – | Not filed |