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 |
|---|---|---|---|---|---|
| Barrett & Company, Inc. | 81 | $1.11K | 0.00% | +81 | New |
| Wolff Wiese Magana LLC | 88 | $1.21K | 0.00% | 00.0% | Unchanged |
| Coppell Advisory Solutions LLC | 335 | $5.20K | 0.00% | 00.0% | Unchanged |
| American National Bank | 941 | $12.9K | 0.00% | 00.0% | Unchanged |
| SOA Wealth Advisors, LLC. | 1,050 | $14.4K | 0.00% | +21+2.0% | Added |
| Legacy Financial Group LLC | 1,296 | $17.8K | 0.00% | +1,296 | New |
| Antonetti Capital Management LLC | 1,338 | $18.7K | 0.03% | 00.0% | Unchanged |
| Register Financial Advisors LLC | 1,380 | $18.9K | 0.01% | −4,766−77.5% | Reduced |
| 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 |
| FNY Investment Advisers, LLC | 2,800 | $38.0K | 0.02% | 00.0% | Unchanged |
| GWM Advisors LLC | 2,930 | $40.1K | 0.00% | 00.0% | Unchanged |
| GPS Wealth Strategies Group, LLC | 3,212 | $44.0K | 0.01% | 00.0% | Unchanged |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 3,236 | $44.3K | 0.00% | +64+2.0% | Added |
| Princeton Global Asset Management LLC | 5,370 | $73.6K | 0.02% | 00.0% | Unchanged |
| US Bancorp | 5,473 | $75.0K | 0.00% | 00.0% | Unchanged |
| Fifth Third Bancorp | 6,359 | $87.1K | 0.00% | 00.0% | Unchanged |
| The PNC Financial Services Group, Inc. | 6,750 | $92.5K | 0.00% | 00.0% | Unchanged |
| Liberty One Investment Management, LLC | 7,062 | $96.8K | 0.01% | +60+0.9% | Added |
| JPMorgan Chase & Co | 9,934 | $136.1K | 0.00% | −5,168−34.2% | Reduced |
| Comerica Bank | 10,382 | $142.2K | 0.00% | +10,382 | New |
| NWF Advisory Services Inc. | 10,396 | $142.4K | 0.03% | +10,396 | New |
| Susquehanna International Group, LLP | 10,581 | $145.0K | 0.00% | +10,581 | New |
| Truist Financial Corp | 11,706 | $160.4K | 0.00% | −2,392−17.0% | Reduced |
| Hennion & Walsh Asset Management, Inc. | 12,239 | $167.7K | 0.01% | −372−2.9% | Reduced |
| Integrated Capital Management, Inc. | 12,532 | $171.7K | 0.15% | +721+6.1% | Added |
| Sheaff Brock Investment Advisors, LLC | 13,410 | $183.7K | 0.02% | 00.0% | Unchanged |
| Great Valley Advisor Group, Inc. | 13,640 | $186.9K | 0.01% | +950+7.5% | Added |
| 9258 Wealth Management, LLC | 14,830 | $203.2K | 0.04% | −1,373−8.5% | Reduced |
| Eudaimonia Partners, LLC | 14,897 | $204.1K | 0.05% | +276+1.9% | Added |
| Elequin Capital LP | 16,958 | $232.3K | 0.05% | −3,224−16.0% | Reduced |
| Blue Bell Private Wealth Management, LLC | 17,366 | $237.9K | 0.06% | +8,625+98.7% | Added |
| Raymond James Trust N.A. | 18,759 | $257.0K | 0.01% | −17,889−48.8% | Reduced |
| Kestra Advisory Services, LLC | 20,022 | $274.3K | 0.00% | +8,256+70.2% | Added |
| Pinnacle Associates Ltd | 20,205 | $276.8K | 0.01% | −745−3.6% | Reduced |
| NBC Securities, Inc. | 25,472 | $348.0K | 0.04% | +25,472 | New |
| Wedbush Securities Inc | 26,811 | $367.0K | 0.02% | +2,100+8.5% | Added |
| DFPG Investments, LLC | 28,625 | $379.3K | 0.04% | 00.0% | Unchanged |
| Stolper Co | 30,219 | $414.0K | 0.18% | −504−1.6% | Reduced |
| Kingsview Wealth Management, LLC | 30,288 | $415.0K | 0.01% | −1,478−4.7% | Reduced |
| Institute for Wealth Management, LLC. | 32,204 | $441.2K | 0.08% | −60−0.2% | Reduced |
| Northwestern Mutual Wealth Management Co | 32,526 | $445.6K | 0.00% | −1,052−3.1% | Reduced |
| Janney Montgomery Scott LLC | 33,405 | $458.0K | 0.00% | +1,100+3.4% | Added |
| Nations Financial Group Inc, | 35,267 | $483.2K | 0.05% | −10,686−23.3% | Reduced |
| Cetera Advisor Networks LLC | 37,575 | $514.8K | 0.00% | +257+0.7% | Added |
| Landscape Capital Management, L.L.C. | 37,970 | $520.2K | 0.07% | −20,228−34.8% | Reduced |
| Cambridge Investment Research Advisors, Inc. | 39,909 | $547.0K | 0.00% | −18,509−31.7% | Reduced |
| MML Investors Services, LLC | 43,738 | $599.0K | 0.00% | −99,621−69.5% | Reduced |
| Dynamic Advisor Solutions LLC | 45,385 | $621.8K | 0.03% | +26,825+144.5% | Added |
| National Asset Management, Inc. | 44,924 | $628.3K | 0.02% | +1,339+3.1% | Added |
| Commonwealth Equity Services, LLC | 48,515 | $665.0K | 0.00% | −1,278−2.6% | Reduced |
| Atria Wealth Solutions, Inc. | 51,075 | $714.4K | 0.01% | +470+0.9% | Added |
| Shulman DeMeo Asset Management LLC | 61,188 | $838.3K | 0.28% | −30.0% | Reduced |
| Formidable Asset Management, LLC | 68,861 | $943.4K | 0.21% | 00.0% | Unchanged |
| Park Avenue Securities LLC | 84,599 | $1.16M | 0.02% | +3,620+4.5% | Added |
| Envestnet Asset Management Inc | 89,250 | $1.22M | 0.00% | +362+0.4% | Added |
| Integrated Wealth Concepts LLC | 94,888 | $1.30M | 0.02% | −2,512−2.6% | Reduced |
| Schnieders Capital Management LLC | 108,460 | $1.49M | 0.33% | −19,525−15.3% | Reduced |
| Private Advisor Group, LLC | 110,672 | $1.52M | 0.01% | +868+0.8% | Added |
| D.A. Davidson & Co. | 119,526 | $1.64M | 0.02% | +625+0.5% | Added |
| Advisor Group Holdings, Inc. | 126,709 | $1.74M | 0.00% | +8,745+7.4% | Added |
| Raymond James & Associates | 135,060 | $1.85M | 0.00% | −23,792−15.0% | Reduced |
| Ionic Capital Management LLC | 159,048 | $2.18M | 0.85% | +159,048 | New |
| LPL Financial LLC | 159,957 | $2.19M | 0.00% | +6,997+4.6% | Added |
| Ameriprise Financial Inc | 168,142 | $2.30M | 0.00% | +12,099+7.8% | Added |
| Stifel Financial Corp | 173,865 | $2.38M | 0.00% | −4,653−2.6% | Reduced |
| Royal Bank of Canada | 175,852 | $2.41M | 0.00% | +6,385+3.8% | Added |
| Thomas J. Herzfeld Advisors, Inc. | 176,694 | $2.42M | 0.94% | −10,353−5.5% | Reduced |
| CNH Partners LLC | 220,589 | $3.02M | 0.14% | +173,201+365.5% | Added |
| Shaker Financial Services, LLC | 218,897 | $3.10M | 1.44% | −210,861−49.1% | Reduced |
| Wolverine Asset Management LLC | 268,509 | $3.68M | 0.07% | +32,543+13.8% | Added |
| Advisors Asset Management, Inc. | 332,446 | $4.55M | 0.10% | −55,925−14.4% | Reduced |
| 1607 Capital Partners, LLC | 386,293 | $5.29M | 0.40% | +368,542+2,076.2% | Added |
| Cornerstone Advisors, LLC | 402,988 | $5.52M | 0.26% | +208,118+106.8% | Added |
| Invesco Ltd. | 555,808 | $7.61M | 0.00% | −12,051−2.1% | Reduced |
| Guggenheim Capital LLC | 556,531 | $7.62M | 0.07% | +5,823+1.1% | Added |
| Wells Fargo & Company | 570,073 | $7.81M | 0.00% | −63,704−10.1% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 813,830 | $11.1M | 0.02% | +11,346+1.4% | Added |
| UBS Group AG | 815,489 | $11.2M | 0.01% | +17,342+2.2% | Added |
| Bank of America Corp | 889,191 | $12.2M | 0.00% | +179,233+25.2% | Added |
| Morgan Stanley | 1,084,674 | $14.9M | 0.00% | +152,833+16.4% | Added |
| 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 |