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Japan Smaller Capitalization Fund (JOF) Institutional Ownership

Japan Smaller Capitalization Fund logo
$12.26 -0.19 (-1.53%)
As of 12:26 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)
32
Total
Institutional Inflows
(last 12 months)
$44.28M
Number of
Institutional Sellers
(last 12 months)
19
Total
Institutional Outflows
(last 12 months)
$29.72M
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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
10/13/2026Sax Wealth Advisors LLC18,645$235K0.0%-12.9%0.066%
10/1/2026 Noble Wealth Management PBC72,405$912K0.4%+1,509.0%0.256%
9/9/2026Integrated Wealth Concepts LLC3,000$35K0.0%N/A0.011%
9/8/2026Mraz Amerine & Associates Inc.202,362$2.38M0.3%+3.5%0.714%
8/23/2026Readystate Asset Management LP22,249$262K0.0%N/A0.079%
8/17/2026Raffles Associates LP110,967$1.31M1.1%N/A0.392%
8/17/2026Almitas Capital LLC386,375$4.55M1.1%N/A1.364%
8/17/2026Corient Private Wealth LP42,568$501K0.0%N/A0.150%
8/17/2026Bank of America Corp DE443,293$5.22M0.0%N/A1.565%
8/15/2026Roberts Glore & Co. Inc. IL17,633$208K0.1%N/A0.062%
8/14/2026Raffles Associates LP110,967$1.31M1.2%N/A0.392%
8/13/2026North Ground Capital10,000$117.80K0.0%N/A0.035%
8/13/2026Cibc World Market Inc.105,444$1.24M0.0%N/A0.372%
8/13/2026Sanctuary Advisors LLC12,300$145K0.0%N/A0.043%
8/12/2026Bard Associates Inc.58,289$687K0.2%N/A0.206%
8/11/2026Hara Capital LLC98,764$1.16M0.6%N/A0.349%
7/9/2026Barry Investment Advisors LLC57,510$677K0.1%-50.2%0.203%
7/9/2026Sax Wealth Advisors LLC21,395$233K0.0%-21.4%0.076%
7/1/2026 Noble Wealth Management PBC4,500$53K0.0%-90.9%0.016%
5/19/2026Western Wealth Management LLC4,627$50K0.0%N/A0.016%
5/19/2026Bank of America Corp DE443,293$4.83M0.0%-22.1%1.565%
5/16/2026Quantinno Capital Management LP35,286$385K0.0%N/A0.125%
5/16/2026Saba Capital Management L.P.1,601,806$17.46M0.5%-1.9%5.654%
5/16/2026Lazard Asset Management LLC3,500,613$38.16M0.1%+0.9%12.357%
5/12/2026Quantedge Capital Pte Ltd12,022$131K0.1%N/A0.042%
5/8/2026Bulldog Investors LLP104,181$1.14M0.3%-52.1%0.368%
5/6/2026Allspring Global Investments Holdings LLC5,075,569$55.32M0.1%-7.6%17.916%
5/1/2026Altium Capital Management LLC150,412$1.64M3.9%+278.2%0.531%
4/30/2026Beam Wealth Advisors Inc.24,500$267K0.1%-19.7%0.086%
2/18/2026Saba Capital Management L.P.1,632,530$18.09M0.5%-28.3%4.635%
2/18/2026Evolve Private Wealth LLC57,890$641K0.0%N/A0.164%
2/18/20261607 Capital Partners LLC3,990,675$44.22M3.0%-3.9%11.331%
2/17/2026Almitas Capital LLC435,985$4.83M1.1%-9.5%1.238%
2/17/2026Lazard Asset Management LLC3,470,865$38.46M0.1%+50.1%9.855%
2/17/2026Raffles Associates LP139,462$1.55M1.2%-5.3%0.396%
2/16/2026Bard Associates Inc.39,292$435K0.1%-17.7%0.112%
2/12/2026Colonial Trust Advisors9,399$104K0.0%N/A0.027%
2/11/2026LPL Financial LLC57,879$641K0.0%N/A0.164%
2/10/2026Cibc World Market Inc.80,398$891K0.0%+37.0%0.228%
2/9/2026Barry Investment Advisors LLC115,120$1.28M0.3%-21.5%0.327%
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2/9/2026Blue Bell Private Wealth Management LLC85,070$943K0.1%+16.0%0.242%
2/6/2026Mraz Amerine & Associates Inc.174,710$1.94M0.3%+12.7%0.496%
2/6/2026Altium Capital Management LLC39,775$441K1.7%N/A0.113%
2/4/2026Beam Wealth Advisors Inc.30,500$338K0.1%-6.2%0.087%
2/3/2026International Assets Investment Management LLC3,900$43K0.0%N/A0.011%
2/2/2026Triasima Portfolio Management inc.21,800$242K0.0%+38.0%0.062%
1/30/2026Pekin Hardy Strauss Inc.205,920$2.28M0.2%+4.3%0.585%
1/26/2026Shaker Financial Services LLC93,681$1.04M0.3%-4.0%0.266%
1/26/2026Spectrum Asset Management Inc. NB CA47,055$521K0.2%N/A0.134%
1/15/2026Hara Capital LLC113,014$1.25M0.7%-12.0%0.321%
1/15/2026Allspring Global Investments Holdings LLC5,495,862$60.89M0.1%+0.1%15.603%
1/12/2026Sax Wealth Advisors LLC27,225$302K0.0%N/A0.077%
1/5/2026 Noble Wealth Management PBC47,378$525K0.3%-11.0%0.135%
11/21/2025CIBC Bancorp USA Inc.20,367$215K0.0%N/A0.058%
11/17/2025Susquehanna International Group LLP10,107$107K0.0%-55.7%0.029%
11/17/2025City of London Investment Management Co. Ltd.3,520,068$37.10M2.7%-17.9%9.995%
11/17/2025Bulldog Investors LLP217,948$2.30M0.5%+184.4%0.619%
11/17/2025Bank of America Corp DE792,100$8.35M0.0%-0.4%2.249%
11/17/2025Almitas Capital LLC481,642$5.08M1.2%-5.9%1.368%
11/17/20251607 Capital Partners LLC4,151,303$43.76M3.3%-2.3%11.787%
11/14/2025Lazard Asset Management LLC2,313,023$24.38M0.0%-0.3%6.567%
11/14/2025Raymond James Financial Inc.101,127$1.07M0.0%+4.0%0.287%
11/13/2025Barometer Capital Management Inc.42,500$444K0.1%-18.4%0.121%
11/10/2025Pekin Hardy Strauss Inc.197,467$2.08M0.2%+116.0%0.561%
11/6/2025Mraz Amerine & Associates Inc.155,051$1.63M0.3%+6.7%0.440%
11/6/2025Cibc World Market Inc.58,700$619K0.0%+47.9%0.167%
11/5/2025Beam Wealth Advisors Inc.32,500$343K0.1%-3.0%0.092%
10/30/2025Hara Capital LLC128,412$1.35M0.8%-37.0%0.365%
10/29/2025Triasima Portfolio Management inc.15,800$167K0.0%+32.8%0.045%
10/22/2025Barry Investment Advisors LLC146,710$1.54M0.4%-2.2%0.417%
10/22/2025Blue Bell Private Wealth Management LLC73,306$773K0.1%+26.5%0.208%
10/20/2025Allspring Global Investments Holdings LLC5,487,892$57.84M0.1%+9.0%15.582%
10/15/2025Seed Wealth Management Inc.10,400$110K0.1%-16.1%0.030%
10/9/2025Dynamic Advisor Solutions LLC34,920$368K0.0%-51.5%0.099%
8/15/2025Raffles Associates LP138,849$1.34M1.4%-43.4%0.394%
8/15/2025Lazard Asset Management LLC2,320,298$22.37M0.0%+0.8%6.588%
8/15/2025Hara Capital LLC203,961$1.97M1.2%-37.8%0.579%
8/15/2025Bank of America Corp DE795,018$7.66M0.0%+37,758.0%2.257%
8/14/2025Karpus Management Inc.827,658$7.98M0.3%-16.8%2.350%
8/14/2025Quantedge Capital Pte Ltd36,122$348K0.3%-55.2%0.103%
8/13/2025Baird Financial Group Inc.65,663$633K0.0%-16.9%0.186%
8/8/2025City of London Investment Management Co. Ltd.4,284,932$41.31M3.8%-4.5%12.166%
8/8/2025PNC Financial Services Group Inc.6,055$58K0.0%-62.5%0.017%
8/6/2025Pekin Hardy Strauss Inc.91,399$881K0.1%+418.8%0.260%
8/5/2025Shaker Financial Services LLC97,575$941K0.3%+45.9%0.277%
7/30/2025Mills Wealth Advisors LLC24,851$240K0.1%+9.1%0.071%
7/25/2025Allspring Global Investments Holdings LLC5,033,892$48.53M0.1%-0.7%14.293%
7/23/2025Mraz Amerine & Associates Inc.145,281$1.40M0.2%+39.0%0.412%
7/17/2025Barry Investment Advisors LLC150,052$1.45M0.4%-0.7%0.426%
7/11/2025SeaCrest Wealth Management LLC69,349$669K0.1%-4.6%0.197%
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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%
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%


JOF Institutional Ownership - Frequently Asked Questions

During the previous two years, 61 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 48 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 3,939,114 shares in the last 24 months. This purchase volume represents approximately $44.28M in transactions.

Of the 19 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 2,740,247 shares in the last 24 months. This volume of shares sold represents approximately $29.72M 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 10/13/2026. New 13F filings are added each quarter as they're published.
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