0001062993-14-005936.txt : 20141016 0001062993-14-005936.hdr.sgml : 20141016 20141014093915 ACCESSION NUMBER: 0001062993-14-005936 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141014 DATE AS OF CHANGE: 20141014 EFFECTIVENESS DATE: 20141014 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD CENTRAL INDEX KEY: 0001051042 IRS NUMBER: 382562340 STATE OF INCORPORATION: MI FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06648 FILM NUMBER: 141154029 BUSINESS ADDRESS: STREET 1: 111 CASS STREET CITY: TRAVERSE CITY STATE: MI ZIP: 49684 BUSINESS PHONE: 2319294500 MAIL ADDRESS: STREET 1: 111 CASS STREET CITY: TRAVERSE CITY STATE: MI ZIP: 49684 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001051042 XXXXXXXX 09-30-2014 09-30-2014 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD
111 CASS STREET TRAVERSE CITY MI 49684
13F HOLDINGS REPORT 028-06648 N
Matthew Bohrer Chief Compliance Officer 231-929-4500 Matthew Bohrer Traverse City MI 10-13-2014 0 113 339304 false
INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE AEGON N V NY REGISTRY SH 007924103 104 12623 SH DFND 0 12623 0 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 30564 4075188 SH DFND 0 4075188 0 AMERICAN RLTY CAP PPTYS INC COM 02917T104 15436 1279934 SH DFND 0 1279934 0 APPLE INC COM 037833100 331 3283 SH DFND 0 3283 0 AT&T INC COM 00206R102 3848 109191 SH DFND 0 109191 0 B2GOLD CORP COM 11777Q209 3479 1713810 SH DFND 0 1713810 0 BANCROFT FUND LTD COM 059695106 1041 52686 SH DFND 0 52686 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1024 7410 SH DFND 0 7410 0 BIRNER DENTAL MGMT SERVICES COM NEW 091283200 495 29151 SH DFND 0 29151 0 BLACKROCK CR ALLCTN INC TR COM 092508100 15844 1190385 SH DFND 0 1190385 0 BLACKROCK INCOME OPP TRUST I COM 092475102 1180 113889 SH DFND 0 113889 0 BLACKROCK MUN TARGET TERM TR COM SHS BEN IN 09257P105 2762 139000 SH DFND 0 139000 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 2625 181386 SH DFND 0 181386 0 BLACKROCK REAL ASSET EQUITY COM 09254B109 9721 1147674 SH DFND 0 1147674 0 BLACKROCK UTIL & INFRASTRCTU COM 09248D104 552 27599 SH DFND 0 27599 0 BOULDER TOTAL RETURN FD INC COM 101541100 584 22181 SH DFND 0 22181 0 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 176 15067 SH DFND 0 15067 0 CBRE CLARION GLOBAL REAL EST COM 12504G100 110 13093 SH DFND 0 13093 0 CHAMBERS STR PPTYS COM 157842105 1247 165540 SH DFND 0 165540 0 CINEDIGM CORP COM 172406100 1478 953531 SH DFND 0 953531 0 COEUR MNG INC COM NEW 192108504 3924 791158 SH DFND 0 791158 0 COFFEE HLDGS INC COM 192176105 515 93807 SH DFND 0 93807 0 COHEN & STEERS CLOSED END OP COM 19248P106 4889 375244 SH DFND 0 375244 0 COHEN & STEERS INFRASTRUCTUR COM 19248A109 1611 69597 SH DFND 0 69597 0 COLGATE PALMOLIVE CO COM 194162103 805 12350 SH DFND 0 12350 0 COMSTOCK MNG INC COM 205750102 817 675164 SH DFND 0 675164 0 CONSOLIDATED EDISON INC COM 209115104 473 8343 SH DFND 0 8343 0 COTT CORP QUE COM 22163N106 4630 673911 SH DFND 0 673911 0 CUTWATER SELECT INCOME FD COM 232229104 2160 109361 SH DFND 0 109361 0 DELAWARE INVT NAT MUNI INC F SH BEN INT 24610T108 997 78138 SH DFND 0 78138 0 DIGITAL RLTY TR INC COM 253868103 1488 23855 SH DFND 0 23855 0 DOMINION DIAMOND CORP COM 257287102 6377 447800 SH DFND 0 447800 0 DOVER SADDLERY INC COM 260412101 834 162333 SH DFND 0 162333 0 DREYFUS MUN BD INFRSTRCTR FD SHS 26203D101 1038 88228 SH DFND 0 88228 0 DTE ENERGY CO COM 233331107 538 7075 SH DFND 0 7075 0 EARTHLINK HLDGS CORP COM 27033X101 52 15346 SH DFND 0 15346 0 EATON VANCE MUN INCOME TERM SHS 27829U105 2187 126000 SH DFND 0 126000 0 EATON VANCE NATL MUN OPPORT COM SHS 27829L105 2019 101291 SH DFND 0 101291 0 FASTENAL CO COM 311900104 1160 25837 SH DFND 0 25837 0 FEDERATED ENHANC TREAS INCM COM SH BEN INT 314162108 3051 226478 SH DFND 0 226478 0 FIRST FED NORTHN MICH BANCOR COM 32021X105 340 63730 SH DFND 0 63730 0 FIRST TR INTER DUR PFD & IN COM 33718W103 3298 151844 SH DFND 0 151844 0 FORT DEARBORN INCOME SECS IN COM 347200107 2496 172507 SH DFND 0 172507 0 FRANKLIN UNVL TR SH BEN INT 355145103 7689 1095324 SH DFND 0 1095324 0 GABELLI GLB SML & MD CP VAL COM 36249W104 747 72981 SH DFND 0 72981 0 GAIAM INC CL A 36268Q103 13002 1771355 SH DFND 0 1771355 0 GDL FUND COM SH BEN IT 361570104 1660 157450 SH DFND 0 157450 0 GOLDCORP INC NEW COM 380956409 2291 99483 SH DFND 0 99483 0 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 13825 1051353 SH DFND 0 1051353 0 HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 3396 164762 SH DFND 0 164762 0 HARRIS & HARRIS GROUP INC COM 413833104 2220 745077 SH DFND 0 745077 0 INVESCO BD FD COM 46132L107 2269 122137 SH DFND 0 122137 0 INVESCO QUALITY MUNI INC TRS COM 46133G107 2478 204432 SH DFND 0 204432 0 INVESCO TR INVT GRADE MUNS COM 46131M106 2112 161100 SH DFND 0 161100 0 JANUS CAP GROUP INC COM 47102X105 7028 483350 SH DFND 0 483350 0 KINROSS GOLD CORP COM NO PAR 496902404 3942 1194468 SH DFND 0 1194468 0 LAZARD WORLD DIVID & INCOME COM 521076109 156 10875 SH DFND 0 10875 0 LEGG MASON BW GLB INC OPP FD COM 52469B100 1455 85971 SH DFND 0 85971 0 LEXINGTON REALTY TRUST COM 529043101 2310 235975 SH DFND 0 235975 0 LEXINGTON REALTY TRUST COM 529043101 431 38417 SH DFND 0 38417 0 LIFE TIME FITNESS INC COM 53217R207 5830 115575 SH DFND 0 115575 0 LIFEWAY FOODS INC COM 531914109 1518 109434 SH DFND 0 109434 0 MADISON CVRED CALL & EQ STR COM 557437100 725 86357 SH DFND 0 86357 0 MAINSTAY DEFINEDTERM MN OPP COM 56064K100 264 14800 SH DFND 0 14800 0 MEDICAL PPTYS TRUST INC COM 58463J304 5062 412881 SH DFND 0 412881 0 MFS INTERMARKET INCOME TRUST SH BEN INT 59318R103 1026 122833 SH DFND 0 122833 0 MFS INVT GRADE MUN TR SH BEN INT 59318B108 898 98250 SH DFND 0 98250 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 4911 765010 SH DFND 0 765010 0 MONTGOMERY STR INCOME SECS I COM 614115103 7341 449843 SH DFND 0 449843 0 MORGAN STANLEY ASIA PAC FD I COM 61744U106 295 18049 SH DFND 0 18049 0 MORGAN STANLEY EMER MKTS FD COM 61744G107 347 22408 SH DFND 0 22408 0 MORGAN STANLEY TRUSTS INCOME SECS INC 61745P874 1326 74272 SH DFND 0 74272 0 NOAH HLDGS LTD SPONSORED ADS 65487X102 593 44185 SH DFND 0 44185 0 NORTHEAST UTILS COM 664397106 1323 29860 SH DFND 0 29860 0 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 4201 470415 SH DFND 0 470415 0 NUVEEN GBL INCOME OPPORTUN F COM 67073C104 2211 178851 SH DFND 0 178851 0 NUVEEN INT DUR QUAL MUN TRM COM 670677103 1859 145460 SH DFND 0 145460 0 NUVEEN INTER DURATION MN TMF COM 670671106 3398 272478 SH DFND 0 272478 0 NUVEEN PFD INCOME OPPRTNY FD COM 67073B106 200 21725 SH DFND 0 21725 0 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 7519 898373 SH DFND 0 898373 0 NUVEEN QUALITY PFD INCOME FD COM 67071S101 233 28549 SH DFND 0 28549 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063C106 554 41877 SH DFND 0 41877 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063X100 947 68300 SH DFND 0 68300 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67062F100 807 58514 SH DFND 0 58514 0 PFIZER INC COM 717081103 242 8181 PRN DFND 0 8181 0 POWER REIT COM 73933H101 145 14289 SH DFND 0 14289 0 PROCTER & GAMBLE CO COM 742718109 683 8160 SH DFND 0 8160 0 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 337 66971 SH DFND 0 66971 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 2824 241345 SH DFND 0 241345 0 REAL GOODS SOLAR INC CL A 75601N104 85 49178 SH DFND 0 49178 0 ROYCE GLOBAL VALUE TR INC COM 78081T104 571 65599 SH DFND 0 65599 0 ROYCE MICRO-CAP TR INC COM 780915104 532 45158 SH DFND 0 45158 0 SILVER WHEATON CORP COM 828336107 5725 287265 SH DFND 0 287265 0 SPECIAL OPPORTUNITIES FD INC COM 84741T104 985 59070 SH DFND 0 59070 0 STRATEGIC GLOBAL INCOME FD COM 862719101 4948 560384 SH DFND 0 560384 0 TEMPLETON DRAGON FD INC COM 88018T101 929 36022 SH DFND 0 36022 0 TEMPLETON GLOBAL INCOME FD COM 880198106 370 46587 SH DFND 0 46587 0 TEMPLETON RUS AND EAST EUR F COM 88022F105 185 14705 SH DFND 0 14705 0 TERADATA CORP DEL COM 88076W103 2104 50187 SH DFND 0 50187 0 TIVO INC COM 888706108 1602 125210 SH DFND 0 125210 0 TRAVELZOO INC COM NEW 89421Q205 1529 98650 SH DFND 0 98650 0 U S GLOBAL INVS INC CL A 902952100 9144 2575652 SH DFND 0 2575652 0 VIRTUS TOTAL RETURN FD COM 92829A103 1266 272268 SH DFND 0 272268 0 VODAFONE GROUP PLC NEW SPNSR ADR NO PAR 92857W308 5644 171608 SH DFND 0 171608 0 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 5257 376601 SH DFND 0 376601 0 WESTERN ASSET CLYM INFL OPP COM 95766R104 26304 2269544 SH DFND 0 2269544 0 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 2658 230337 SH DFND 0 230337 0 WESTERN ASSET GLOBAL CP DEFI COM 95790C107 3026 166352 SH DFND 0 166352 0 WESTERN ASSET INTM MUNI FD I COM 958435109 107 11000 SH DFND 0 11000 0 WESTERN ASSET WORLDWIDE INCO COM 957668106 951 77704 SH DFND 0 77704 0 WESTERN ASST MN PRT FD INC COM 95766P108 1444 97162 SH DFND 0 97162 0 ZWEIG FD COM NEW 989834205 333 21936 SH DFND 0 21936 0 ZWEIG TOTAL RETURN FD INC COM NEW 989837208 678 48946 SH DFND 0 48946 0