SWZ on NYSE

Total Return Securities Fund

Total Return Securities Fund is an American company, incorporated in Maryland, listed on NYSE (SWZ).¹ It is headquartered in Cincinnati, Ohio.¹

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Last updated Oct 20, 2026.

Overview

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TickerSWZ on NYSE¹
HeadquartersCincinnati, Ohio¹
Incorporated inMD²
Business addressUltimus Fund Solutions, 225 Pictoria Drive, Suite 450, Cincinnati, Oh 45246²

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Corporate structure

Total Return Securities Fund sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of Total Return Securities Fund

Bank of America Filed SCHEDULE 13G on Total Return Securities Fund, latest Aug 3, 2026
Allspring Global Investments Holdings, LLC Filed SCHEDULE 13G/A on Total Return Securities Fund, latest Jul 31, 2026 (10 filings since Jan 19, 2022)
CSS LLC/IL Filed SCHEDULE 13G/A on Total Return Securities Fund, latest Apr 17, 2026 (4 filings since Dec 3, 2025)
RIVERNORTH CAPITAL MANAGEMENT, LLC Filed SCHEDULE 13G/A on Total Return Securities Fund, latest Nov 14, 2025 (2 filings since Aug 14, 2025)
LAZARD ASSET MANAGEMENT LLC Filed SCHEDULE 13G/A on Total Return Securities Fund, latest Aug 14, 2025 (7 filings since Feb 11, 2022)
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD Filed SC 13G/A on Total Return Securities Fund, latest Aug 10, 2022 (2 filings since Feb 11, 2022)
Wells Fargo Filed SC 13G/A on Total Return Securities Fund, latest Dec 8, 2021

Total Return Securities Fund Cincinnati, Ohio

Built from major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

Leadership

Who has led Total Return Securities Fund, and when. Pick a name to see everywhere that person has worked.

Chief executive

President

Chief financial officer

2010201520202025

Chief executive officerAndrew Dakos Mar 3, 2020 to now³
Chief executive officerMillisits Rudolf Hottinger Feb 22, 2011 to Jul 3, 2014⁴
PresidentAndrew Dakos Mar 3, 2020 to now³
PresidentRodolphe Hottinger Jul 3, 2007 to Mar 12, 2008⁵
Chief financial officerThomas Antonucci Feb 1, 2019 to Feb 1, 2019⁶
Chief financial officerPhilippe Comby Jul 3, 2014 to Jul 3, 2014⁷

Board members and other officers (41)

SecretaryPhillip Goldstein Mar 5, 2026 to now⁸
SecretaryRajeev P. Das Feb 1, 2019 to now⁹
Chief Compliance OfficerStephanie Darling Feb 1, 2019 to Feb 1, 2019¹⁰
Chf. Legal Officer & SecretaryAbby L. Ingber Mar 23, 2017 to Mar 23, 2017¹¹
Chf. Legal Officer & SecretaryReid B. Adams Mar 29, 2017 to Mar 29, 2017¹²
Chief Compliance OfficerShanak Patnaik Jan 22, 2016 to Jan 22, 2016¹³
Treas. & Princ. Fin. OfficerAlan M. Mandel Jul 10, 2014 to Mar 23, 2017¹⁴
Assistant SecretaryAngel Lanier Jul 10, 2014 to Jul 10, 2014¹⁵
Vice PresidentCarin F. Muhlbaum Jul 10, 2014 to Jul 10, 2014¹⁶
Pres. & Princ. Exec. OfficerMark A. Hemenetz Jul 10, 2014 to Jul 10, 2014¹⁷
Chief Compliance OfficerStephen M. Detore Jul 10, 2014 to Jul 10, 2014¹⁸
Vice PresidentWilliam P. Sauer Jul 10, 2014 to Jul 10, 2014¹⁹
SecretaryDowney James Oct 20, 2011 to Oct 20, 2011²⁰
Chief Compliance OfficerPatrick J. Keniston Dec 12, 2008 to Dec 12, 2008²¹
Secretary of Swiss HelvetiaEdward J. Veilleux Jul 3, 2007 to Oct 6, 2011²²
Sr. Vice PresidentMillisits Rudolf Hottinger Jul 3, 2007 to Mar 12, 2008²³
Vice PresidentPhilippe Comby Jul 3, 2007 to Jul 3, 2007²⁴
Chief Compliance OfficerPeter Roserio Guarino Mar 10, 2006 to Mar 10, 2006²⁵
Board memberBen H. Harris Apr 1, 2026 to now²⁶
Board memberPhillip Goldstein Jul 6, 2018 to now²⁷
Board memberGerald Hellerman Jul 9, 2018 to now²⁸
Board memberRichard Dayan Jul 27, 2018 to Jul 27, 2018²⁹
Board memberFred J. Ricciardi Apr 19, 2017 to Jul 19, 2017³⁰
Board memberMoritz A. Sell Jul 18, 2017 to now³¹
Board memberJean Hoysradt Jul 20, 2017 to Jul 3, 2018³²
Board memberAndrew Dakos Aug 24, 2017 to now³³
Board memberMargaret M. Cannella Jun 29, 2016 to Dec 6, 2016³⁴
Board memberJoseph S. Calhoun Iii. Dec 7, 2016 to Jul 20, 2018³⁵
Board memberBrian A. Berris Jun 25, 2012 to Jul 3, 2018³⁶
Board memberRichard Brealey Dec 8, 2009 to Jun 28, 2017³⁷
Board memberClaus Helbig Sep 11, 2008 to Aug 24, 2017³⁸
Board memberFrey Claude Jan 10, 2007 to Oct 14, 2008³⁹
Board memberR. Clark Hooper May 30, 2007 to Jul 7, 2016⁴⁰
Board memberAlexandre Takacsy Jul 3, 2007 to Jul 3, 2007⁴¹
Board memberPaul Brenner Jul 3, 2007 to Jul 3, 2007⁴²
Board memberPineau Didier Valencienne Jul 3, 2007 to Jul 3, 2007⁴³
Board memberSamuel B. Witt Jul 3, 2007 to Sep 22, 2017⁴⁴
Board memberStephen K. West Jul 3, 2007 to Sep 18, 2012⁴⁵
Board memberJean-Marc Boillat Feb 22, 2006 to Apr 19, 2017⁴⁶
Board memberMichael Kraynak Jr. Jun 21, 2006 to Aug 31, 2012⁴⁷
General counselAbby L. Ingber Jul 10, 2014 to Jul 10, 2014⁴⁸

Former names

SWISS HELVETIA FUND, INC.Jan 6, 2005 to Apr 3, 2025²
SWISS HELVETIA FUND INCAug 31, 1995 to May 24, 2005²

Timeline

Oct 11, 20248-K Regulation FD disclosure⁴⁹
Sep 13, 20238-K Financial statements and exhibits⁵⁰
Sep 14, 20228-K Financial statements and exhibits⁵¹
Mar 3, 2020New chief executive Andrew Dakos becomes CEO³
Feb 22, 2011New chief executive Millisits Rudolf Hottinger becomes CEO⁴

Filings

155 filings to the SEC since October 2021: 3 major events, 58 insider forms, 27 large holders, 67 other. The latest 20:

Oct 13, 20264 EDGAR
Sep 30, 20264 EDGAR
Sep 29, 20264 EDGAR
Sep 4, 2026N-CSRS CERTIFIED SEMI-ANNUAL SHAREHOLDER REPORT EDGAR
Sep 1, 20264 EDGAR
Aug 31, 2026NPORT-P EDGAR
Aug 25, 20264 EDGAR
Aug 20, 2026N-PX EDGAR
Aug 12, 20264 EDGAR
Aug 3, 2026SCHEDULE 13G EDGAR
Jul 31, 2026SCHEDULE 13G/A EDGAR
Jul 24, 20264 EDGAR
Jul 22, 20264 EDGAR
Jul 8, 20264 EDGAR
Jul 7, 20264 EDGAR
Jun 30, 20264 EDGAR
Jun 22, 20264 EDGAR
Jun 17, 20264 EDGAR
Jun 1, 20264 EDGAR
Jun 1, 2026NPORT-P EDGAR

The 155 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

71 open-market trades by officers, directors and large owners since October 2021: 62 buys and 9 sales. Grants, option exercises and gifts are left out.

Date	Who	Trade	Shares	Price	Value	Filing
Sep 28, 2026	SELL MORITZ ADirector	Buy	2,000	$5.77	$11.5K	Form 4
Sep 28, 2026	Dakos AndrewPresident and CEO	Buy	10,000	$5.77	$57.7K	Form 4
Sep 25, 2026	Dakos AndrewPresident and CEO	Buy	10,000	$5.81	$58.1K	Form 4
Aug 31, 2026	SELL MORITZ ADirector	Buy	3,000	$5.98	$17.9K	Form 4
Aug 24, 2026	Das Rajeev PSecretary	Buy	1,366	$5.93	$8.1K	Form 4
Aug 21, 2026	Das Rajeev PSecretary	Buy	1,700	$5.93	$10.1K	Form 4
Aug 10, 2026	SELL MORITZ ADirector	Buy	1,000	$5.91	$5.9K	Form 4
Jul 23, 2026	SELL MORITZ ADirector	Buy	2,000	$5.86	$11.7K	Form 4
Jul 22, 2026	SELL MORITZ ADirector	Buy	517	$5.90	$3.0K	Form 4
Jul 21, 2026	SELL MORITZ ADirector	Buy	483	$5.90	$2.9K	Form 4
Jul 20, 2026	SELL MORITZ ADirector	Buy	1,000	$5.93	$5.9K	Form 4
Jul 6, 2026	GOLDSTEIN PHILLIPSecretary	Buy	5,980	$5.95	$35.6K	Form 4
Jul 2, 2026	Dakos AndrewPresident and CEO	Buy	5,000	$5.92	$29.6K	Form 4
Jun 29, 2026	SELL MORITZ ADirector	Buy	2,000	$5.93	$11.9K	Form 4
Jun 26, 2026	SELL MORITZ ADirector	Buy	2,091	$5.89	$12.3K	Form 4
Jun 18, 2026	SELL MORITZ ADirector	Buy	1,853	$5.91	$11.0K	Form 4
Jun 17, 2026	SELL MORITZ ADirector	Buy	147	$5.91	$869	Form 4
Jun 16, 2026	SELL MORITZ ADirector	Buy	2,000	$5.96	$11.9K	Form 4
Jun 15, 2026	SELL MORITZ ADirector	Buy	155	$5.95	$922	Form 4
May 29, 2026	SELL MORITZ ADirector	Buy	1,000	$6.01	$6.0K	Form 4

All 71 trades can be filtered by person here when JavaScript is on.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

Bank of AmericaSCHEDULE 13G, 1 filing Aug 3, 2026⁵²
Allspring Global Investments Holdings, LLCSCHEDULE 13G/A, 10 filings Jan 19, 2022 to Jul 31, 2026⁵³
CSS LLC/ILSCHEDULE 13G/A, 4 filings Dec 3, 2025 to Apr 17, 2026⁵⁴
RIVERNORTH CAPITAL MANAGEMENT, LLCSCHEDULE 13G/A, 2 filings Aug 14, 2025 to Nov 14, 2025⁵⁵
LAZARD ASSET MANAGEMENT LLCSCHEDULE 13G/A, 7 filings Feb 11, 2022 to Aug 14, 2025⁵⁶
CITY OF LONDON INVESTMENT MANAGEMENT CO LTDSC 13G/A, 2 filings Feb 11, 2022 to Aug 10, 2022⁵⁷
Wells FargoSC 13G/A, 1 filing Dec 8, 2021⁵⁸

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 41. Change is in shares since the quarter before.

Fund	Shares	Value	Share of the fund	Change
Css Llc/il	1,040,190	$6.2M	0.5%	+19,643
Bank Of America Corp /de/	867,363	$5.2M	0.0%	New
Matisse Capital	609,000	$3.6M	1.4%	+201,731
Icon Advisers Inc/co	446,220	$2.7M	0.5%	−54,074
Saba Capital Management, L.P.	404,080	$2.4M	0.1%	No change
Shaker Financial Services, LLC	393,170	$2.3M	0.7%	+70,775
Logan Stone Capital, LLC	198,157	$1.2M	0.2%	+170,346
Blue Bell Private Wealth Management, LLC	168,610	$1.0M	0.1%	+80,336
Evolve Private Wealth, LLC	139,192	$826.8K	0.1%	−7,098
Yakira Capital Management, Inc.	125,557	$745.8K	0.2%	No change
Almitas Capital LLC	115,581	$686.6K	0.2%	+69,127
Landscape Capital Management, L.l.c.	97,847	$581.2K	0.0%	+61,938
Gardner Russo & Quinn LLC	97,667	$580.1K	0.0%	No change
Uncommon Cents Investing LLC	85,036	$505.1K	0.1%	+664
Alpine Global Management, LLC	58,859	$349.6K	0.1%	−22,415
Private Management Group Inc	10,545	$333.4K	0.0%	No change
Commonwealth Equity Services, LLC	56,071	$333.1K	0.0%	−6,074
Morgan Stanley	46,500	$276.2K	0.0%	−5,024
Noble Wealth Management PBC	42,882	$254.7K	0.1%	−26,497
Bulldog Investors, LLP	40,334	$239.6K	0.1%	+547
Susquehanna International Group, Llp	37,029	$220.0K	0.0%	New
Cutler Capital Management, LLC	35,921	$213.4K	0.1%	New
Osaic Holdings, Inc.	35,011	$207.9K	0.0%	+11,668
Gamco Investors, Inc. Et Al	32,096	$190.7K	0.0%	No change
XTX Topco Ltd	24,851	$147.6K	0.0%	+4,887

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How Total Return Securities Fund is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

Name on EDGARTotal Return Securities Fund¹
CIK0000813623
Incorporated inMaryland¹
Fiscal year endsDecember 31¹
Business addressUltimus Fund Solutions, 225 Pictoria Drive, Suite 450, Cincinnati, OH 45246¹
Phone631-470-2704¹
On EDGAR sinceFeb 27, 1995¹
Filings807 in all: 4 (179), SC 13G/A (60), 3 (43), N-23C-1 (38), N-30B-2 (36), DEF 14A (33), N-Q (31), NPORT-P (26)¹
All 54 form types
N-30D (25), 40-17G (24), N-CSRS (24), N-CSR (23), N-PX (23), NSAR-A (23), NSAR-B (23), 8-K (22), DEFA14A (22), SC 13G (22), SC 13D/A (13), PRE 14A (12), SCHEDULE 13G/A (12), SC TO-C (10), SC TO-I/A (10), CORRESP (8), N-CEN (8), SC TO-I (5), SCHEDULE 13G (5), 497 (4), DEFC14A (4), PREC14A (4), DFAN14A (3), NSAR-B/A (3), 4/A (2), 40-APP (2), N-2 (2), N-2/A (2), N-Q/A (2), NSAR-A/A (2), SC 13D (2), 13F-HR (1), 40-17G/A (1), 40-APP/A (1), 424B2 (1), 5 (1), DFRN14A (1), EFFECT (1), N-30D/A (1), N-CSR/A (1), NO ACT (1), NPORT-P/A (1), PREN14A (1), PRER14A (1), RW (1), UPLOAD (1)
Latest filingsProxy statement (DEF 14A) May 8, 2026
Latest 8-K (8-K) Oct 11, 2024

Sources

The numbers on this page point here. Each one links to the record it came from.

1
SEC EDGARTotal Return Securities Fund filings on SEC EDGAR
2
SEC EDGARTotal Return Securities Fund filings on SEC EDGAR
3
SEC EDGARAndrew Dakos, Chief executive officer
4
SEC EDGARMillisits Rudolf Hottinger, Chief executive officer
5
SEC EDGARRodolphe Hottinger, President
6
SEC EDGARThomas Antonucci, Chief financial officer
7
SEC EDGARPhilippe Comby, Chief financial officer
8
SEC EDGARPhillip Goldstein, Secretary
9
SEC EDGARRajeev P. Das, Secretary
10
SEC EDGARStephanie Darling, Chief Compliance Officer
11
SEC EDGARAbby L. Ingber, Chf. Legal Officer & Secretary
12
SEC EDGARReid B. Adams, Chf. Legal Officer & Secretary
13
SEC EDGARShanak Patnaik, Chief Compliance Officer
14
SEC EDGARAlan M. Mandel, Treas. & Princ. Fin. Officer
15
SEC EDGARAngel Lanier, Assistant Secretary
16
SEC EDGARCarin F. Muhlbaum, Vice President
17
SEC EDGARMark A. Hemenetz, Pres. & Princ. Exec. Officer
18
SEC EDGARStephen M. Detore, Chief Compliance Officer
19
SEC EDGARWilliam P. Sauer, Vice President
20
SEC EDGARDowney James, Secretary
21
SEC EDGARPatrick J. Keniston, Chief Compliance Officer
22
SEC EDGAREdward J. Veilleux, Secretary of Swiss Helvetia
23
SEC EDGARMillisits Rudolf Hottinger, Sr. Vice President
24
SEC EDGARPhilippe Comby, Vice President
25
SEC EDGARPeter Roserio Guarino, Chief Compliance Officer
26
SEC EDGARBen H. Harris, Board member
27
SEC EDGARPhillip Goldstein, Board member
28
SEC EDGARGerald Hellerman, Board member
29
SEC EDGARRichard Dayan, Board member
30
SEC EDGARFred J. Ricciardi, Board member
31
SEC EDGARMoritz A. Sell, Board member
32
SEC EDGARJean Hoysradt, Board member
33
SEC EDGARAndrew Dakos, Board member
34
SEC EDGARMargaret M. Cannella, Board member
35
SEC EDGARJoseph S. Calhoun Iii., Board member
36
SEC EDGARBrian A. Berris, Board member
37
SEC EDGARRichard Brealey, Board member
38
SEC EDGARClaus Helbig, Board member
39
SEC EDGARFrey Claude, Board member
40
SEC EDGARR. Clark Hooper, Board member
41
SEC EDGARAlexandre Takacsy, Board member
42
SEC EDGARPaul Brenner, Board member
43
SEC EDGARPineau Didier Valencienne, Board member
44
SEC EDGARSamuel B. Witt, Board member
45
SEC EDGARStephen K. West, Board member
46
SEC EDGARJean-Marc Boillat, Board member
47
SEC EDGARMichael Kraynak Jr., Board member
48
SEC EDGARAbby L. Ingber, General counsel
49
SEC EDGARRegulation FD disclosure
50
SEC EDGARFinancial statements and exhibits
51
SEC EDGARFinancial statements and exhibits
52
SEC EDGARBank of America SCHEDULE 13G on Total Return Securities Fund
53
SEC EDGARAllspring Global Investments Holdings, LLC SCHEDULE 13G/A on Total Return Securities Fund
54
SEC EDGARCSS LLC/IL SCHEDULE 13G/A on Total Return Securities Fund
55
SEC EDGARRIVERNORTH CAPITAL MANAGEMENT, LLC SCHEDULE 13G/A on Total Return Securities Fund
56
SEC EDGARLAZARD ASSET MANAGEMENT LLC SCHEDULE 13G/A on Total Return Securities Fund
57
SEC EDGARCITY OF LONDON INVESTMENT MANAGEMENT CO LTD SC 13G/A on Total Return Securities Fund
58
SEC EDGARWells Fargo SC 13G/A on Total Return Securities Fund