Purchases and Sales Made in Q3 2023 in Nuveen Dow 30sm Dynamic Overwrite Fund (DIAX)
This table provides information about the institutional ownership of Nuveen Dow 30sm Dynamic Overwrite Fund (DIAX) during Q3 2023. The information is specifically focused on institutions that hold shares of Nuveen Dow 30sm Dynamic Overwrite Fund.
| Report Date | Institution (Fund) | Operation | Option | Shares change | Value Range | Shares Held | Trade History |
|---|---|---|---|---|---|---|---|
|
Nov 14, 2023
Q3 2023
|
1607 Capital Partners, LLC
Richmond, VA |
BUY
|
- |
369K+ 2076.18% |
$5.02M - $5.34M
|
386K
$5.79M
|
|
|
Nov 09, 2023
Q3 2023
|
Cornerstone Advisors, LLC
Asheville, NC |
BUY
|
- |
208K+ 106.8% |
$2.83M - $3.02M
|
403K
$6.04M
|
|
|
Nov 13, 2023
Q3 2023
|
Thomas J. Herzfeld Advisors, Inc.
Miami Beach, FL |
BUY
|
- |
177KNew |
$2.4M - $2.56M
|
177K
$2.65M
|
|
|
Nov 14, 2023
Q3 2023
|
Aqr Arbitrage LLC
Greenwich, CT |
BUY
|
- |
173K+ 365.5% |
$2.36M - $2.51M
|
221K
$3.31M
|
|
|
Nov 15, 2023
Q3 2023
|
Morgan Stanley
New York, NY |
BUY
|
- |
153K+ 16.4% |
$2.08M - $2.22M
|
1.08M
$16.3M
|
|
|
Nov 13, 2023
Q3 2023
|
Wolverine Asset Management LLC
|
BUY
|
- |
32.5K+ 13.79% |
$443K - $472K
|
269K
$4.03M
|
|
|
Oct 10, 2023
Q3 2023
|
Dynamic Advisor Solutions LLC
|
BUY
|
- |
26.8K+ 144.53% |
$365K - $389K
|
45.4K
$681K
|
|
|
Nov 03, 2023
Q3 2023
|
Nbc Securities, Inc.
Birmingham, AL |
BUY
|
- |
25.5KNew |
$347K - $369K
|
25.5K
$382K
|
|
|
Nov 09, 2023
Q3 2023
|
Ubs Group Ag
|
BUY
|
- |
17.3K+ 2.17% |
$236K - $251K
|
815K
$12.2M
|
|
|
Nov 14, 2023
Q3 2023
|
Ameriprise Financial Inc
Minneapolis, MN |
BUY
|
- |
12.1K+ 7.75% |
$165K - $175K
|
168K
$2.52M
|
|
|
Oct 24, 2023
Q3 2023
|
Raymond James Financial Services Advisors, Inc.
St. Petersburg, FL |
BUY
|
- |
11.3K+ 1.41% |
$154K - $165K
|
814K
$12.2M
|
|
|
Nov 14, 2023
Q3 2023
|
Susquehanna International Group, LLP
Bala Cynwyd, PA |
BUY
|
- |
10.6KNew |
$144K - $153K
|
10.6K
$159K
|
|
|
Nov 21, 2023
Q3 2023
|
Comerica Bank
|
BUY
|
- |
10.4KNew |
$141K - $151K
|
10.4K
$156K
|
|
|
Nov 13, 2023
Q3 2023
|
Advisor Group Holdings, Inc.
Phoenix, AZ |
BUY
|
- |
8.75K+ 7.41% |
$119K - $127K
|
127K
$1.9M
|
|
|
Oct 30, 2023
Q3 2023
|
Blue Bell Private Wealth Management, LLC
|
BUY
|
- |
8.63K+ 98.67% |
$117K - $125K
|
17.4K
$260K
|
|
|
Nov 09, 2023
Q3 2023
|
Kestra Advisory Services, LLC
|
BUY
|
- |
8.26K+ 70.17% |
$112K - $120K
|
20K
$300K
|
|
|
Nov 13, 2023
Q3 2023
|
Lpl Financial LLC
Fort Mill, SC |
BUY
|
- |
7K+ 4.57% |
$95.2K - $101K
|
160K
$2.4M
|
|
|
Nov 14, 2023
Q3 2023
|
Royal Bank Of Canada
Toronto, A6 |
BUY
|
- |
6.39K+ 3.77% |
$86.9K - $92.6K
|
176K
$2.64M
|
|
|
Nov 14, 2023
Q3 2023
|
Guggenheim Capital LLC
Chicago, IL |
BUY
|
- |
5.82K+ 1.06% |
$79.3K - $84.4K
|
557K
$8.35M
|
|
|
Oct 26, 2023
Q3 2023
|
Park Avenue Securities LLC
|
BUY
|
- |
3.62K+ 4.47% |
$49.3K - $52.5K
|
84.6K
$1.27M
|
|
|
Nov 14, 2023
Q3 2023
|
Wedbush Securities Inc
|
BUY
|
- |
2.1K+ 8.5% |
$28.6K - $30.5K
|
26.8K
$402K
|
|
|
Dec 01, 2023
Q3 2023
|
National Asset Management, Inc.
Boca Raton, FL |
BUY
|
- |
1.34K+ 3.07% |
$18.2K - $19.4K
|
44.9K
$674K
|
|
|
Oct 24, 2023
Q3 2023
|
Legacy Financial Group LLC
|
BUY
|
- |
1.3KNew |
$17.6K - $18.8K
|
1.3K
$19.4K
|
|
|
Nov 08, 2023
Q3 2023
|
Janney Montgomery Scott LLC
|
BUY
|
- |
1.1K+ 3.41% |
$15K - $16K
|
33.4K
$501K
|
|
|
Oct 04, 2023
Q3 2023
|
International Assets Investment Management, LLC
Orlando, FL |
BUY
|
- |
1.02KNew |
$13.9K - $14.8K
|
1.02K
$15.3K
|
|
|
Nov 06, 2023
Q3 2023
|
Great Valley Advisor Group, Inc.
|
BUY
|
- |
950+ 7.49% |
$12.9K - $13.8K
|
13.6K
$205K
|
|
|
Nov 02, 2023
Q3 2023
|
Private Advisor Group, LLC
|
BUY
|
- |
868+ 0.79% |
$11.8K - $12.6K
|
111K
$1.66M
|
|
|
Oct 10, 2023
Q3 2023
|
Integrated Capital Management, Inc.
|
BUY
|
- |
721+ 6.1% |
$9.81K - $10.5K
|
12.5K
$188K
|
|
|
Nov 08, 2023
Q3 2023
|
D.A. Davidson & Co.
|
BUY
|
- |
625+ 0.53% |
$8.51K - $9.06K
|
120K
$1.79M
|
|
|
Nov 08, 2023
Q3 2023
|
Atria Wealth Solutions, Inc.
New York, NY |
BUY
|
- |
470+ 0.93% |
$6.4K - $6.82K
|
51.1K
$766K
|
|
|
Nov 13, 2023
Q3 2023
|
Envestnet Asset Management Inc
|
BUY
|
- |
362+ 0.41% |
$4.93K - $5.25K
|
89.3K
$1.34M
|
|
|
Oct 24, 2023
Q3 2023
|
Eudaimonia Partners, LLC
Winchester, TN |
BUY
|
- |
276+ 1.89% |
$3.76K - $4K
|
14.9K
$223K
|
|
|
Nov 14, 2023
Q3 2023
|
Cetera Advisor Networks LLC
El Segundo, CA |
BUY
|
- |
257+ 0.69% |
$3.5K - $3.73K
|
37.6K
$564K
|
|
|
Oct 23, 2023
Q3 2023
|
Barrett & Company, Inc.
Providence, RI |
BUY
|
- |
81New |
$1.1K - $1.17K
|
81
$1.22K
|
|
|
Oct 17, 2023
Q3 2023
|
Nelson, Van Denburg & Campbell Wealth Management Group, LLC
Omaha, NE |
BUY
|
- |
64+ 2.02% |
$871 - $928
|
3.24K
$48.5K
|
|
|
Nov 03, 2023
Q3 2023
|
Liberty One Investment Management, LLC
|
BUY
|
- |
60+ 0.86% |
$817 - $870
|
7.06K
$106K
|
|
|
Oct 10, 2023
Q3 2023
|
Soa Wealth Advisors, Llc.
|
BUY
|
- |
21+ 2.04% |
$286 - $305
|
1.05K
$15.8K
|
|
|
Oct 25, 2023
Q3 2023
|
Concourse Financial Group Securities, Inc.
Birmingham, AL |
BUY
|
- |
0New |
$0 - $0
|
0
$0
|
|
|
Oct 30, 2023
Q3 2023
|
Concourse Financial Group Securities, Inc.
Birmingham, AL |
BUY
|
- |
0New |
$0 - $0
|
0
$0
|
|
|
Oct 19, 2023
Q3 2023
|
Shulman De Meo Asset Management LLC
|
SELL
|
- |
-3- -0.0% |
$40.8 - $43.5
|
61.2K
$918K
|
|
|
Oct 13, 2023
Q3 2023
|
Institute For Wealth Management, Llc.
|
SELL
|
- |
-60- 0.19% |
$817 - $870
|
32.2K
$483K
|
|
|
Oct 27, 2023
Q3 2023
|
Hennion & Walsh Asset Management, Inc.
|
SELL
|
- |
-372- 2.95% |
$5.06K - $5.39K
|
12.2K
$184K
|
|
|
Oct 10, 2023
Q3 2023
|
Stolper CO
|
SELL
|
- |
-504- 1.64% |
$6.86K - $7.31K
|
30.2K
$453K
|
|
|
Oct 23, 2023
Q3 2023
|
Pinnacle Associates LTD
|
SELL
|
- |
-745- 3.56% |
$10.1K - $10.8K
|
20.2K
$303K
|
|
|
Nov 14, 2023
Q3 2023
|
Northwestern Mutual Wealth Management CO
|
SELL
|
- |
-1.05K- 3.13% |
$14.3K - $15.3K
|
32.5K
$488K
|
|
|
Oct 23, 2023
Q3 2023
|
Commonwealth Equity Services, LLC
|
SELL
|
- |
-1.28K- 2.57% |
$17.4K - $18.5K
|
48.5K
$728K
|
|
|
Nov 08, 2023
Q3 2023
|
9258 Wealth Management, LLC
|
SELL
|
- |
-1.37K- 8.47% |
$18.7K - $19.9K
|
14.8K
$222K
|
|
|
Nov 07, 2023
Q3 2023
|
Kingsview Wealth Management, LLC
Grants Pass, OR |
SELL
|
- |
-1.48K- 4.65% |
$20.1K - $21.4K
|
30.3K
$454K
|
|
|
Nov 14, 2023
Q3 2023
|
Truist Financial Corp
|
SELL
|
- |
-2.39K- 16.97% |
$32.6K - $34.7K
|
11.7K
$176K
|
|
|
Nov 15, 2023
Q3 2023
|
Integrated Wealth Concepts LLC
|
SELL
|
- |
-2.51K- 2.58% |
$34.2K - $36.4K
|
94.9K
$1.42M
|