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 2023
Institutional positions in Nuveen Dow 30sm Dynamic Overwrite Fund as of Dec 31, 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
- 82
- +2 vs. Q3 2023
- Shares held
- 10.8M
- +743.9K (+7.4%) vs. Q3 2023
- Total value
- $150.9M
- +$13.3M (+9.7%) vs. Q3 2023
- New holders
- 12
- 32 more added
- Sold out
- 10
- 27 more reduced
1 institution that held it in Q3 2023 haven't filed for Q4 2023 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 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, Q4 2023
Shares, value and share of portfolio for each institution holding Nuveen Dow 30sm Dynamic Overwrite Fund; share changes are against Q3 2023.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Morgan Stanley | 1,108,941 | $15.5M | 0.00% | +24,267+2.2% | Added |
| Bank of America Corp | 1,042,207 | $14.6M | 0.00% | +153,016+17.2% | Added |
| UBS Group AG | 772,792 | $10.8M | 0.00% | −42,697−5.2% | Reduced |
| Raymond James Financial Services Advisors, Inc. | 706,016 | $9.88M | 0.02% | −107,814−13.2% | Reduced |
| Wells Fargo & Company | 653,131 | $9.14M | 0.00% | +83,058+14.6% | Added |
| Cornerstone Advisors, LLC | 588,335 | $8.24M | 0.36% | +185,347+46.0% | Added |
| Invesco Ltd. | 548,191 | $7.67M | 0.00% | −7,617−1.4% | Reduced |
| 1607 Capital Partners, LLC | 539,894 | $7.56M | 0.53% | +153,601+39.8% | Added |
| Guggenheim Capital LLC | 537,771 | $7.53M | 0.06% | −18,760−3.4% | Reduced |
| Advisors Asset Management, Inc. | 354,587 | $4.96M | 0.10% | +22,141+6.7% | Added |
| CNH Partners LLC | 313,989 | $4.40M | 0.18% | +93,400+42.3% | Added |
| Wolverine Asset Management LLC | 265,423 | $3.72M | 0.06% | −3,086−1.1% | Reduced |
| Shaker Financial Services, LLC | 237,225 | $3.32M | 1.36% | +18,328+8.4% | Added |
| Thomas J. Herzfeld Advisors, Inc. | 221,729 | $3.10M | 1.14% | +45,035+25.5% | Added |
| Ionic Capital Management LLC | 194,754 | $2.73M | 1.30% | +35,706+22.4% | Added |
| Stifel Financial Corp | 179,738 | $2.52M | 0.00% | +5,873+3.4% | Added |
| Royal Bank of Canada | 154,359 | $2.16M | 0.00% | −21,493−12.2% | Reduced |
| LPL Financial LLC | 130,087 | $1.82M | 0.00% | −29,870−18.7% | Reduced |
| Landscape Capital Management, L.L.C. | 126,519 | $1.77M | 0.16% | +88,549+233.2% | Added |
| Ameriprise Financial Inc | 126,414 | $1.77M | 0.00% | −41,728−24.8% | Reduced |
| Schnieders Capital Management LLC | 108,860 | $1.52M | 0.34% | +400+0.4% | Added |
| Advisor Group Holdings, Inc. | 107,348 | $1.50M | 0.00% | −19,361−15.3% | Reduced |
| Raymond James & Associates | 106,607 | $1.49M | 0.00% | −28,453−21.1% | Reduced |
| Private Advisor Group, LLC | 103,184 | $1.44M | 0.01% | −7,488−6.8% | Reduced |
| Envestnet Asset Management Inc | 90,420 | $1.27M | 0.00% | +1,170+1.3% | Added |
| MML Investors Services, LLC | 87,078 | $1.22M | 0.01% | +43,340+99.1% | Added |
| Park Avenue Securities LLC | 85,625 | $1.20M | 0.02% | +1,026+1.2% | Added |
| Integrated Wealth Concepts LLC | 84,660 | $1.19M | 0.02% | −10,228−10.8% | Reduced |
| D.A. Davidson & Co. | 73,573 | $1.03M | 0.01% | −45,953−38.4% | Reduced |
| Logan Stone Capital, LLC | 71,040 | $994.6K | 0.20% | +71,040 | New |
| Formidable Asset Management, LLC | 68,861 | $964.1K | 0.21% | 00.0% | Unchanged |
| Shulman DeMeo Asset Management LLC | 60,960 | $853.4K | 0.24% | −228−0.4% | Reduced |
| Atria Wealth Solutions, Inc. | 53,998 | $756.0K | 0.01% | +2,923+5.7% | Added |
| National Asset Management, Inc. | 51,325 | $718.5K | 0.02% | +6,401+14.2% | Added |
| Commonwealth Equity Services, LLC | 50,682 | $710.0K | 0.00% | +2,167+4.5% | Added |
| Cambridge Investment Research Advisors, Inc. | 41,913 | $587.0K | 0.00% | +2,004+5.0% | Added |
| Dynamic Advisor Solutions LLC | 39,564 | $560.6K | 0.02% | −5,821−12.8% | Reduced |
| Cetera Advisor Networks LLC | 39,470 | $552.6K | 0.00% | +1,895+5.0% | Added |
| Janney Montgomery Scott LLC | 37,637 | $527.0K | 0.00% | +4,232+12.7% | Added |
| Nations Financial Group Inc, | 35,267 | $493.7K | 0.05% | 00.0% | Unchanged |
| Weiss Asset Management LP | 32,607 | $456.5K | 0.03% | +32,607 | New |
| Northwestern Mutual Wealth Management Co | 31,479 | $440.7K | 0.00% | −1,047−3.2% | Reduced |
| Stolper Co | 31,174 | $436.0K | 0.18% | +955+3.2% | Added |
| Kingsview Wealth Management, LLC | 29,992 | $419.9K | 0.01% | −296−1.0% | Reduced |
| Elequin Capital LP | 29,152 | $408.1K | 0.12% | +12,194+71.9% | Added |
| Institute for Wealth Management, LLC. | 28,806 | $403.3K | 0.07% | −3,398−10.6% | Reduced |
| DFPG Investments, LLC | 28,091 | $393.3K | 0.03% | −534−1.9% | Reduced |
| Wedbush Securities Inc | 27,050 | $379.0K | 0.02% | +239+0.9% | Added |
| NBC Securities, Inc. | 24,843 | $347.0K | 0.03% | −629−2.5% | Reduced |
| Leo Wealth, LLC | 23,000 | $322.0K | 0.03% | +23,000 | New |
| Pinnacle Associates Ltd | 19,417 | $271.8K | 0.00% | −788−3.9% | Reduced |
| GWM Advisors LLC | 17,863 | $255.9K | 0.00% | +14,933+509.7% | Added |
| Raymond James Trust N.A. | 18,264 | $255.7K | 0.01% | −495−2.6% | Reduced |
| AlphaStar Capital Management, LLC | 17,942 | $251.2K | 0.02% | +17,942 | New |
| Blue Bell Private Wealth Management, LLC | 17,366 | $243.1K | 0.06% | 00.0% | Unchanged |
| Two Sigma Securities, LLC | 17,226 | $241.2K | 0.01% | +17,226 | New |
| Virtu Financial LLC | 15,211 | $213.0K | 0.02% | +15,211 | New |
| Great Valley Advisor Group, Inc. | 13,640 | $191.0K | 0.01% | 00.0% | Unchanged |
| Sheaff Brock Investment Advisors, LLC | 13,410 | $187.7K | 0.02% | 00.0% | Unchanged |
| Quantedge Capital Pte Ltd | 12,600 | $176.4K | 0.09% | +12,600 | New |
| Integrated Capital Management, Inc. | 12,500 | $175.0K | 0.15% | −32−0.3% | Reduced |
| Truist Financial Corp | 11,714 | $164.0K | 0.00% | +8+0.1% | Added |
| Hennion & Walsh Asset Management, Inc. | 11,625 | $162.8K | 0.01% | −614−5.0% | Reduced |
| Kestra Advisory Services, LLC | 11,405 | $159.7K | 0.00% | −8,617−43.0% | Reduced |
| Mercer Global Advisors Inc | 11,072 | $155.0K | 0.00% | +11,072 | New |
| NWF Advisory Services Inc. | 10,396 | $145.5K | 0.03% | 00.0% | Unchanged |
| Comerica Bank | 8,143 | $114.0K | 0.00% | −2,239−21.6% | Reduced |
| Liberty One Investment Management, LLC | 7,290 | $102.1K | 0.01% | +228+3.2% | Added |
| The PNC Financial Services Group, Inc. | 6,750 | $94.5K | 0.00% | 00.0% | Unchanged |
| PFS Partners, LLC | 6,700 | $93.8K | 0.06% | +6,700 | New |
| US Bancorp | 5,473 | $76.6K | 0.00% | 00.0% | Unchanged |
| Private Trust Co NA | 5,200 | $72.8K | 0.01% | +3,200+160.0% | Added |
| Allworth Financial LP | 4,320 | $60.5K | 0.00% | +4,320 | New |
| Nelson, Van Denburg & Campbell Wealth Management Group, LLC | 3,637 | $50.9K | 0.00% | +401+12.4% | Added |
| TD Private Client Wealth LLC | 3,540 | $49.6K | 0.00% | +3,540 | New |
| GPS Wealth Strategies Group, LLC | 2,926 | $41.0K | 0.01% | −286−8.9% | Reduced |
| Sunbelt Securities, Inc. | 2,000 | $28.0K | 0.00% | 00.0% | Unchanged |
| SOA Wealth Advisors, LLC. | 1,072 | $15.0K | 0.00% | +22+2.1% | Added |
| Advisory Services Network, LLC | 500 | $7.00K | 0.00% | +500 | New |
| Coppell Advisory Solutions LLC | 335 | $4.69K | 0.00% | 00.0% | Unchanged |
| Wolff Wiese Magana LLC | 88 | $1.23K | 0.00% | 00.0% | Unchanged |
| Barrett & Company, Inc. | 85 | $1.18K | 0.00% | +4+4.9% | Added |
| Eudaimonia Partners, LLC | 0 | $0 | 0.00% | −14,897−100.0% | Sold out |
| 9258 Wealth Management, LLC | 0 | $0 | 0.00% | −14,830−100.0% | Sold out |
| Susquehanna International Group, LLP | 0 | $0 | 0.00% | −10,581−100.0% | Sold out |
| JPMorgan Chase & Co | 0 | $0 | 0.00% | −9,934−100.0% | Sold out |
| Fifth Third Bancorp | 0 | $0 | 0.00% | −6,359−100.0% | Sold out |
| Princeton Global Asset Management LLC | 0 | $0 | 0.00% | −5,370−100.0% | Sold out |
| FNY Investment Advisers, LLC | 0 | $0 | 0.00% | −2,800−100.0% | Sold out |
| Register Financial Advisors LLC | 0 | $0 | 0.00% | −1,380−100.0% | Sold out |
| Legacy Financial Group LLC | 0 | $0 | 0.00% | −1,296−100.0% | Sold out |
| American National Bank | 0 | $0 | 0.00% | −941−100.0% | Sold out |
| Antonetti Capital Management LLC | – | – | – | – | Not filed |