JAPAN SMALLER CAPITALIZATION FUND INC - JOF
Detailed investor-level table based on 13F positions.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Allspring Global Investments Holdings, LLC | History | No change | 4,483,067 | 52,810 | 0.08% | 0.08% | 1 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD | History | No change | 3,894,571 | 45,878 | 2.76% | 2.76% | 2 | 0 | 0.0% | Q2 2026 | Jul 31, 2026 |
| LAZARD ASSET MANAGEMENT LLC | History | No change | 3,560,978 | 41,948 | 0.06% | 0.06% | 3 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| 1607 Capital Partners, LLC | History | No change | 2,724,109 | 32,090 | 2.79% | 2.79% | 4 | 0 | 0.0% | Q2 2026 | Sep 02, 2026 |
| Saba Capital Management, L.P. | History | No change | 1,948,781 | 22,956 | 0.59% | 0.59% | 5 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| BANK OF AMERICA CORP /DE/ | History | No change | 443,293 | 5,221 | 0.0% | 0.0% | 6 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Karpus Management, Inc. | History | No change | 417,754 | 4,921 | 0.14% | 0.14% | 7 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Almitas Capital LLC | History | No change | 386,375 | 4,551 | 1.09% | 1.09% | 8 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| MORGAN STANLEY | History | No change | 289,647 | 3,412 | 0.0% | 0.0% | 9 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Pekin Hardy Strauss, Inc. | History | No change | 281,705 | 3,318 | 0.29% | 0.29% | 10 | 0 | 0.0% | Q2 2026 | Jul 30, 2026 |
| Mraz, Amerine & Associates, Inc. | History | No change | 202,362 | 2,383 | 0.34% | 0.34% | 11 | 0 | 0.0% | Q2 2026 | Jul 16, 2026 |
| Bulldog Investors, LLP | History | No change | 187,557 | 2,209 | 0.49% | 0.49% | 12 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| FLAGSHIP HARBOR ADVISORS, LLC | History | No change | 162,571 | 1,915 | 0.07% | 0.07% | 13 | 0 | 0.0% | Q2 2026 | Jul 22, 2026 |
| LPL Financial LLC | History | No change | 150,688 | 1,775 | 0.0% | 0.0% | 14 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| Altium Capital Management LLC | History | No change | 150,412 | 1,771 | 3.73% | 3.73% | 15 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| RAFFLES ASSOCIATES LP | History | No change | 110,967 | 1,307 | 1.18% | 1.18% | 16 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | No change | 106,861 | 1,258 | 0.0% | 0.0% | 17 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| CIBC WORLD MARKET INC. | History | No change | 105,444 | 1,242 | 0.0% | 0.0% | 18 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Hara Capital LLC | History | No change | 98,764 | 1,163 | 0.61% | 0.61% | 19 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Shaker Financial Services, LLC | History | No change | 93,079 | 1,096 | 0.34% | 0.34% | 20 | 0 | 0.0% | Q2 2026 | Jul 15, 2026 |
| Verition Fund Management LLC | History | No change | 79,538 | 936 | 0.0% | 0.0% | 21 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Noble Wealth Management PBC | History | Added to | 72,405 | 912 | 0.41% | 0.02% | 22 | +67,905 | 1509.0% | Q3 2026 | Oct 01, 2026 |
| CSS LLC/IL | History | No change | 68,679 | 809 | 0.03% | 0.03% | 23 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Baird Financial Group, Inc. | History | No change | 63,423 | 747 | 0.0% | 0.0% | 24 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| BARD ASSOCIATES INC | History | No change | 58,289 | 686 | 0.15% | 0.15% | 25 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| Barry Investment Advisors, LLC | History | No change | 57,510 | 677 | 0.14% | 0.14% | 26 | 0 | 0.0% | Q2 2026 | Jul 09, 2026 |
| HRT FINANCIAL LP | History | No change | 42,242 | 497 | 0.0% | 0.0% | 27 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Corient Private Wealth LP | History | No change | 42,100 | 495 | 0.0% | 0.0% | 28 | 0 | 0.0% | Q2 2026 | Aug 27, 2026 |
| CITADEL ADVISORS LLC | History | No change | 38,815 | 457 | 0.0% | 0.0% | 29 | 0 | 0.0% | Q2 2026 | Sep 02, 2026 |
| Quantinno Capital Management LP | History | No change | 36,100 | 425 | 0.0% | 0.0% | 30 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| Dynamic Advisor Solutions LLC | History | No change | 34,366 | 404 | 0.01% | 0.01% | 31 | 0 | 0.0% | Q2 2026 | Jul 07, 2026 |
| DKM Wealth Management, Inc. | History | No change | 34,001 | 400 | 0.26% | 0.26% | 32 | 0 | 0.0% | Q2 2026 | Jul 30, 2026 |
| BEAM WEALTH ADVISORS, INC. | History | No change | 24,500 | 288 | 0.06% | 0.06% | 33 | 0 | 0.0% | Q2 2026 | Jul 29, 2026 |
| READYSTATE ASSET MANAGEMENT LP | History | No change | 22,249 | 262 | 0.01% | 0.01% | 34 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Triasima Portfolio Management inc. | History | No change | 21,800 | 256 | 0.03% | 0.03% | 35 | 0 | 0.0% | Q2 2026 | Jul 20, 2026 |
| INGALLS & SNYDER LLC | History | No change | 20,000 | 236 | 0.01% | 0.01% | 36 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| SAX WEALTH ADVISORS, LLC | History | No change | 21,395 | 233 | 0.01% | 0.01% | 37 | 0 | 0.0% | Q2 2026 | Jul 09, 2026 |
| ROBERTS GLORE & CO INC /IL/ | History | No change | 17,633 | 207 | 0.05% | 0.05% | 38 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| XTX Topco Ltd | History | No change | 16,076 | 189 | 0.0% | 0.0% | 39 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| Successful Portfolios LLC | History | No change | 15,000 | 175 | 0.08% | 0.08% | 40 | 0 | 0.0% | Q2 2026 | Jul 14, 2026 |
| Mills Wealth Advisors LLC | History | No change | 12,823 | 151 | 0.05% | 0.05% | 41 | 0 | 0.0% | Q2 2026 | Jul 07, 2026 |
| Sanctuary Advisors, LLC | History | No change | 12,300 | 144 | 0.0% | 0.0% | 42 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| WELLS FARGO & COMPANY/MN | History | No change | 10,292 | 121 | 0.0% | 0.0% | 43 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| North Ground Capital | History | No change | 10,000 | 117 | 0.14% | 0.14% | 44 | 0 | 0.0% | Q2 2026 | Aug 13, 2026 |
| OSAIC HOLDINGS, INC. | History | No change | 9,184 | 108 | 0.0% | 0.0% | 45 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 6,055 | 71 | 0.0% | 0.0% | 46 | 0 | 0.0% | Q2 2026 | Aug 07, 2026 |
| Colonial Trust Advisors | History | No change | 5,649 | 66 | 0.0% | 0.0% | 47 | 0 | 0.0% | Q2 2026 | Aug 11, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | No change | 3,900 | 45 | 0.0% | 0.0% | 48 | 0 | 0.0% | Q2 2026 | Jul 22, 2026 |
| United Financial Planning Group LLC | History | No change | 2,800 | 32 | 0.02% | 0.02% | 49 | 0 | 0.0% | Q2 2026 | Aug 06, 2026 |
| JPMORGAN CHASE & CO | History | No change | 2,107 | 24 | 0.0% | 0.0% | 50 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| US BANCORP \DE\ | History | No change | 1,525 | 17 | 0.0% | 0.0% | 51 | 0 | 0.0% | Q2 2026 | Aug 12, 2026 |
| Thomas J. Herzfeld Advisors, Inc. | History | No change | 783 | 9 | 0.0% | 0.0% | 52 | 0 | 0.0% | Q2 2026 | Aug 10, 2026 |
| Ancora Advisors LLC | History | No change | 500 | 5 | 0.0% | 0.0% | 53 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| JONES FINANCIAL COMPANIES LLLP | History | No change | 333 | 3 | 0.0% | 0.0% | 54 | 0 | 0.0% | Q2 2026 | Aug 14, 2026 |
| HIGHLINE WEALTH PARTNERS LLC | History | No change | 200 | 2 | 0.0% | 0.0% | 55 | 0 | 0.0% | Q2 2026 | Jul 15, 2026 |
| ASSETMARK, INC | History | No change | 132 | 1 | 0.0% | 0.0% | 56 | 0 | 0.0% | Q2 2026 | Jul 30, 2026 |