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Japan Smaller Capitalization Fund (JOF) Institutional Ownership

Japan Smaller Capitalization Fund logo
$12.84 +0.21 (+1.66%)
As of 09/3/2026 03:55 PM Eastern
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Institutional Ownership Changes (13F Filings) for Japan Smaller Capitalization Fund (NYSE:JOF)

Number of
Institutional Buyers
(last 12 months)
30
Total
Institutional Inflows
(last 12 months)
$43.31M
Number of
Institutional Sellers
(last 12 months)
20
Total
Institutional Outflows
(last 12 months)
$30.07M
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JOF Institutional Buying and Selling by Quarter

Japan Smaller Capitalization Fund Major Shareholders & Ownership History

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Reporting DateMajor Shareholder NameShares HeldMarket Value% of PortfolioQuarterly Change in SharesOwnership in CompanyDetails
8/23/2026 Readystate Asset Management LP22,249$262K0.0%N/A0.079%
8/17/2026 Raffles Associates LP110,967$1.31M1.1%N/A0.392%
8/17/2026 Almitas Capital LLC386,375$4.55M1.1%N/A1.364%
8/17/2026 Corient Private Wealth LP42,568$501K0.0%N/A0.150%
8/17/2026 Bank of America Corp DE443,293$5.22M0.0%N/A1.565%
8/15/2026 Roberts Glore & Co. Inc. IL17,633$208K0.1%N/A0.062%
8/14/2026 Raffles Associates LP110,967$1.31M1.2%N/A0.392%
8/13/2026 North Ground Capital10,000$117.80K0.0%N/A0.035%
8/13/2026 Cibc World Market Inc.105,444$1.24M0.0%N/A0.372%
8/13/2026 Sanctuary Advisors LLC12,300$145K0.0%N/A0.043%
8/12/2026 Bard Associates Inc.58,289$687K0.2%N/A0.206%
8/11/2026 Hara Capital LLC98,764$1.16M0.6%N/A0.349%
7/9/2026 Barry Investment Advisors LLC57,510$677K0.1%-50.2%0.203%
7/9/2026 Sax Wealth Advisors LLC21,395$233K0.0%-21.4%0.076%
7/1/2026 Noble Wealth Management PBC4,500$53K0.0%-90.9%0.016%
5/19/2026 Western Wealth Management LLC4,627$50K0.0%N/A0.016%
5/19/2026 Bank of America Corp DE443,293$4.83M0.0%-22.1%1.565%
5/16/2026 Quantinno Capital Management LP35,286$385K0.0%N/A0.125%
5/16/2026 Saba Capital Management L.P.1,601,806$17.46M0.5%-1.9%5.654%
5/16/2026 Lazard Asset Management LLC3,500,613$38.16M0.1%+0.9%12.357%
5/12/2026 Quantedge Capital Pte Ltd12,022$131K0.1%N/A0.042%
5/8/2026 Bulldog Investors LLP104,181$1.14M0.3%-52.1%0.368%
5/6/2026 Allspring Global Investments Holdings LLC5,075,569$55.32M0.1%-7.6%17.916%
5/1/2026 Altium Capital Management LLC150,412$1.64M3.9%+278.2%0.531%
4/30/2026 Beam Wealth Advisors Inc.24,500$267K0.1%-19.7%0.086%
2/18/2026 Saba Capital Management L.P.1,632,530$18.09M0.5%-28.3%4.635%
2/18/2026 Evolve Private Wealth LLC57,890$641K0.0%N/A0.164%
2/18/2026 1607 Capital Partners LLC3,990,675$44.22M3.0%-3.9%11.331%
2/17/2026 Almitas Capital LLC435,985$4.83M1.1%-9.5%1.238%
2/17/2026 Lazard Asset Management LLC3,470,865$38.46M0.1%+50.1%9.855%
2/17/2026 Raffles Associates LP139,462$1.55M1.2%-5.3%0.396%
2/16/2026 Bard Associates Inc.39,292$435K0.1%-17.7%0.112%
2/12/2026 Colonial Trust Advisors9,399$104K0.0%N/A0.027%
2/11/2026 LPL Financial LLC57,879$641K0.0%N/A0.164%
2/10/2026 Cibc World Market Inc.80,398$891K0.0%+37.0%0.228%
2/9/2026 Barry Investment Advisors LLC115,120$1.28M0.3%-21.5%0.327%
2/9/2026 Blue Bell Private Wealth Management LLC85,070$943K0.1%+16.0%0.242%
2/6/2026 Mraz Amerine & Associates Inc.174,710$1.94M0.3%+12.7%0.496%
2/6/2026 Altium Capital Management LLC39,775$441K1.7%N/A0.113%
2/4/2026 Beam Wealth Advisors Inc.30,500$338K0.1%-6.2%0.087%
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2/3/2026 International Assets Investment Management LLC3,900$43K0.0%N/A0.011%
2/2/2026 Triasima Portfolio Management inc.21,800$242K0.0%+38.0%0.062%
1/30/2026 Pekin Hardy Strauss Inc.205,920$2.28M0.2%+4.3%0.585%
1/26/2026 Shaker Financial Services LLC93,681$1.04M0.3%-4.0%0.266%
1/26/2026 Spectrum Asset Management Inc. NB CA47,055$521K0.2%N/A0.134%
1/15/2026 Hara Capital LLC113,014$1.25M0.7%-12.0%0.321%
1/15/2026 Allspring Global Investments Holdings LLC5,495,862$60.89M0.1%+0.1%15.603%
1/12/2026 Sax Wealth Advisors LLC27,225$302K0.0%N/A0.077%
1/5/2026 Noble Wealth Management PBC47,378$525K0.3%-11.0%0.135%
11/21/2025 CIBC Bancorp USA Inc.20,367$215K0.0%N/A0.058%
11/17/2025 Susquehanna International Group LLP10,107$107K0.0%-55.7%0.029%
11/17/2025 City of London Investment Management Co. Ltd.3,520,068$37.10M2.7%-17.9%9.995%
11/17/2025 Bulldog Investors LLP217,948$2.30M0.5%+184.4%0.619%
11/17/2025 Bank of America Corp DE792,100$8.35M0.0%-0.4%2.249%
11/17/2025 Almitas Capital LLC481,642$5.08M1.2%-5.9%1.368%
11/17/2025 1607 Capital Partners LLC4,151,303$43.76M3.3%-2.3%11.787%
11/14/2025 Lazard Asset Management LLC2,313,023$24.38M0.0%-0.3%6.567%
11/14/2025 Raymond James Financial Inc.101,127$1.07M0.0%+4.0%0.287%
11/13/2025 Barometer Capital Management Inc.42,500$444K0.1%-18.4%0.121%
11/10/2025 Pekin Hardy Strauss Inc.197,467$2.08M0.2%+116.0%0.561%
11/6/2025 Mraz Amerine & Associates Inc.155,051$1.63M0.3%+6.7%0.440%
11/6/2025 Cibc World Market Inc.58,700$619K0.0%+47.9%0.167%
11/5/2025 Beam Wealth Advisors Inc.32,500$343K0.1%-3.0%0.092%
10/30/2025 Hara Capital LLC128,412$1.35M0.8%-37.0%0.365%
10/29/2025 Triasima Portfolio Management inc.15,800$167K0.0%+32.8%0.045%
10/22/2025 Barry Investment Advisors LLC146,710$1.54M0.4%-2.2%0.417%
10/22/2025 Blue Bell Private Wealth Management LLC73,306$773K0.1%+26.5%0.208%
10/20/2025 Allspring Global Investments Holdings LLC5,487,892$57.84M0.1%+9.0%15.582%
10/15/2025 Seed Wealth Management Inc.10,400$110K0.1%-16.1%0.030%
10/9/2025 Dynamic Advisor Solutions LLC34,920$368K0.0%-51.5%0.099%
8/15/2025 Raffles Associates LP138,849$1.34M1.4%-43.4%0.394%
8/15/2025 Lazard Asset Management LLC2,320,298$22.37M0.0%+0.8%6.588%
8/15/2025 Hara Capital LLC203,961$1.97M1.2%-37.8%0.579%
8/15/2025 Bank of America Corp DE795,018$7.66M0.0%+37,758.0%2.257%
8/14/2025 Karpus Management Inc.827,658$7.98M0.3%-16.8%2.350%
8/14/2025 Quantedge Capital Pte Ltd36,122$348K0.3%-55.2%0.103%
8/13/2025 Baird Financial Group Inc.65,663$633K0.0%-16.9%0.186%
8/8/2025 City of London Investment Management Co. Ltd.4,284,932$41.31M3.8%-4.5%12.166%
8/8/2025 PNC Financial Services Group Inc.6,055$58K0.0%-62.5%0.017%
8/6/2025 Pekin Hardy Strauss Inc.91,399$881K0.1%+418.8%0.260%
8/5/2025 Shaker Financial Services LLC97,575$941K0.3%+45.9%0.277%
7/30/2025 Mills Wealth Advisors LLC24,851$240K0.1%+9.1%0.071%
7/25/2025 Allspring Global Investments Holdings LLC5,033,892$48.53M0.1%-0.7%14.293%
7/23/2025 Mraz Amerine & Associates Inc.145,281$1.40M0.2%+39.0%0.412%
7/17/2025 Barry Investment Advisors LLC150,052$1.45M0.4%-0.7%0.426%
7/11/2025 SeaCrest Wealth Management LLC69,349$669K0.1%-4.6%0.197%
5/16/2025Almitas Capital LLC511,819$4.29M1.4%+2.9%1.453%
5/16/20251607 Capital Partners LLC4,568,762$38.33M3.1%-6.5%12.971%
5/15/2025Baird Financial Group Inc.79,058$663K0.0%-1.7%0.224%
5/15/2025Landscape Capital Management L.L.C.74,755$627K0.1%-30.7%0.212%
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5/13/2025Kovitz Investment Group Partners LLC163,742$1.37M0.0%-1.2%0.465%
5/13/2025HighTower Advisors LLC15,170$127K0.0%-13.1%0.043%
5/12/2025Virtu Financial LLC11,262$94K0.0%N/A0.032%
5/9/2025City of London Investment Management Co. Ltd.4,486,762$37.64M4.0%-1.2%12.738%
5/5/2025Blue Bell Private Wealth Management LLC41,150$345K0.1%+4.3%0.117%
5/1/2025CWM LLC4,506$38K0.0%+275.5%0.013%
5/1/2025Barry Investment Advisors LLC151,136$1.27M0.3%-19.9%0.429%
4/30/2025Hara Capital LLC328,047$2.75M1.9%-12.9%0.931%
4/30/2025Mraz Amerine & Associates Inc.104,491$876K0.2%+2.6%0.297%
4/30/2025Pekin Hardy Strauss Inc.17,619$148K0.0%+9.3%0.050%


JOF Institutional Ownership - Frequently Asked Questions

During the previous two years, 60 institutional investors and hedge funds held shares of Japan Smaller Capitalization Fund. The most heavily invested institutionals were Allspring Global Investments Holdings LLC ($55.32M), 1607 Capital Partners LLC ($44.22M), Lazard Asset Management LLC ($38.16M), City of London Investment Management Co. Ltd. ($37.10M), Saba Capital Management L.P. ($17.46M), Karpus Management Inc. ($7.98M), and Bank of America Corp DE ($5.22M).Learn more on Japan Smaller Capitalization Fund's institutional investors.

Of the 46 institutional investors that purchased Japan Smaller Capitalization Fund's stock in the last 24 months, the following investors and hedge funds have bought the highest volume of shares: Bank of America Corp DE ($1.24M), Lazard Asset Management LLC ($1.21M), Saba Capital Management L.P. ($713.03K), Allspring Global Investments Holdings LLC ($461.97K), Almitas Capital LLC ($400.72K), Raffles Associates LP ($277.08K), and Pekin Hardy Strauss Inc. ($192.88K).

Institutional investors have bought a total of 3,861,300 shares in the last 24 months. This purchase volume represents approximately $43.31M in transactions.

Of the 20 institutional investors that sold Japan Smaller Capitalization Fund's stock in the last 24 months, the following investors and hedge funds have sold the highest volume of shares: City of London Investment Management Co. Ltd. ($764.86K), Saba Capital Management L.P. ($674.78K), Allspring Global Investments Holdings LLC ($420.29K), 1607 Capital Partners LLC ($258.12K), Bank of America Corp DE ($128.84K), Bulldog Investors LLP ($113.26K), and Barry Investment Advisors LLC ($92.94K).

Institutional investors have sold a total of 2,774,593 shares in the last 24 months. This volume of shares sold represents approximately $30.07M in transactions.


Related Companies

Institutional ownership data for NYSE:JOF is compiled from quarterly 13F filings submitted to the U.S. Securities and Exchange Commission (SEC), with the most recent received on 8/23/2026. New 13F filings are added each quarter as they're published.
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