Chief Compliance Officer

0001398344-14-000856.txt : 20140212 0001398344-14-000856.hdr.sgml : 20140212 20140212132028 ACCESSION NUMBER: 0001398344-14-000856 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140212 DATE AS OF CHANGE: 20140212 EFFECTIVENESS DATE: 20140212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TRUST & FIDUCIARY MANAGEMENT SERVICES INC CENTRAL INDEX KEY: 0001141800 IRS NUMBER: 043522132 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06643 FILM NUMBER: 14598828 BUSINESS ADDRESS: STREET 1: 50 FEDERAL STREET, 6TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 617-896-3689 MAIL ADDRESS: STREET 1: 50 FEDERAL STREET, 6TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001141800 XXXXXXXX 12-31-2013 12-31-2013 false TRUST & FIDUCIARY MANAGEMENT SERVICES INC

50 Federal Street, 6th Floor Boston MA 02110

13F HOLDINGS REPORT 028-06643 N James L. Copell Chief Compliance Officer 617-896-3689 /s/ James L. Copell Boston MA 02-04-2014 1 151 148410 1 Innovator Management LLC INFORMATION TABLE 2 fp0009417_13fhr-table.xml 13F INFORMATION TABLE ABBOTT LABS COM 002824100 36 948 SH SOLE 0 0 948 ABBVIE INC COM 00287Y109 48 913 SH SOLE 0 0 913 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 53 647 SH SOLE 0 0 647 AERCAP HOLDINGS NV SHS N00985106 98 2547 SH SOLE 0 0 2547 ALTISOURCE PORTFOLIO SOLNS S REG SHS L0175J104 54 342 SH SOLE 0 0 342 AMERICAN CAP MTG INVT CORP COM 02504A104 1514 86694 SH SOLE 0 0 86694 AMERICAN CAP MTG INVT CORP COM 02504A104 3703 212062 SH DFND 1 0 0 212062 AMERICAN CAP LTD COM 02503Y103 32 2018 SH SOLE 0 0 2018 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 53 498 SH SOLE 0 0 498 APOLLO COML REAL EST FIN INC COM 03762U105 848 52185 SH SOLE 0 0 52185 APOLLO COML REAL EST FIN INC COM 03762U105 2193 134949 SH DFND 1 0 0 134949 ARES CAP CORP COM 04010L103 1686 94904 SH SOLE 0 0 94904 ARES CAP CORP COM 04010L103 4385 246759 SH DFND 1 0 0 246759 ASTRAZENECA PLC SPONSORED ADR 046353108 49 817 SH SOLE 0 0 817 AT&T INC COM 00206R102 4 121 SH SOLE 0 0 121 ATHENAHEALTH INC COM 04685W103 109 811 SH SOLE 0 0 811 AVENUE INCOME CR STRATEGIES COM 05358E106 1139 64767 SH SOLE 0 0 64767 AVENUE INCOME CR STRATEGIES COM 05358E106 2689 152979 SH DFND 1 0 0 152979 AVG TECHNOLOGIES N V SHS N07831105 37 2144 SH SOLE 0 0 2144 BANK MONTREAL QUE COM 063671101 51 760 SH SOLE 0 0 760 BECTON DICKINSON & CO COM 075887109 36 326 SH SOLE 0 0 326 BLACKROCK CORPOR HI YLD FD V COM 09255P107 643 52843 SH SOLE 0 0 52843 BLACKROCK CORPOR HI YLD FD V COM 09255P107 1805 148343 SH DFND 1 0 0 148343 BLACKROCK DEBT STRAT FD INC COM 09255R103 28 7107 SH SOLE 0 0 7107 BLACKROCK KELSO CAPITAL CORP COM 092533108 5 520 SH SOLE 0 0 520 BP PLC SPONSORED ADR 055622104 33 676 SH SOLE 0 0 676 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 1495 18777 SH SOLE 0 0 18777 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 3991 50116 SH DFND 1 0 0 50116 BRISTOL MYERS SQUIBB CO COM 110122108 71 1341 SH SOLE 0 0 1341 CAPSTEAD MTG CORP COM NO PAR 14067E506 793 65657 SH SOLE 0 0 65657 CAPSTEAD MTG CORP COM NO PAR 14067E506 2073 171576 SH DFND 1 0 0 171576 GROUPE CGI INC CL A SUB VTG 39945C109 46 1366 SH SOLE 0 0 1366 CITIGROUP INC COM NEW 172967424 39 750 SH SOLE 0 0 750 CONOCOPHILLIPS COM 20825C104 38 544 SH SOLE 0 0 544 CONSTELLIUM HOLDCO B V CL A N22035104 53 2295 SH SOLE 0 0 2295 COVIDIEN PLC SHS G2554F113 49 721 SH SOLE 0 0 721 CVR PARTNERS LP COM 126633106 918 55771 SH SOLE 0 0 55771 CVR PARTNERS LP COM 126633106 2317 140738 SH DFND 1 0 0 140738 CVR REFNG LP COMUNIT REP LT 12663P107 890 39348 SH SOLE 0 0 39348 CVR REFNG LP COMUNIT REP LT 12663P107 2159 95427 SH DFND 1 0 0 95427 DANAHER CORP DEL COM 235851102 37 485 SH SOLE 0 0 485 DIAGEO P L C SPON ADR NEW 25243Q205 46 349 SH SOLE 0 0 349 EATON CORP PLC SHS G29183103 64 846 SH SOLE 0 0 846 EATON VANCE LTD DUR INCOME F COM 27828H105 51 3350 SH SOLE 0 0 3350 EMERSON ELEC CO COM 291011104 52 738 SH SOLE 0 0 738 EPR PPTYS COM SH BEN INT 26884U109 1509 30691 SH SOLE 0 0 30691 EPR PPTYS COM SH BEN INT 26884U109 4407 89637 SH DFND 1 0 0 89637 EXXON MOBIL CORP COM 30231G102 30 299 SH SOLE 0 0 299 FIFTH STREET FINANCE CORP COM 31678A103 785 84856 SH SOLE 0 0 84856 FIFTH STREET FINANCE CORP COM 31678A103 1810 195679 SH DFND 1 0 0 195679 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 874 62199 SH SOLE 0 0 62199 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 1598 113740 SH DFND 1 0 0 113740 FLY LEASING LTD SPONSORED ADR 34407D109 48 3016 SH SOLE 0 0 3016 FRONTIER COMMUNICATIONS CORP COM 35906A108 1792 385415 SH SOLE 0 0 385415 FRONTIER COMMUNICATIONS CORP COM 35906A108 4487 964864 SH DFND 1 0 0 964864 GARMIN LTD SHS H2906T109 40 871 SH SOLE 0 0 871 GENERAL ELECTRIC CO COM 369604103 48 1711 SH SOLE 0 0 1711 HARRIS CORP DEL COM 413875105 75 1068 SH SOLE 0 0 1068 HEWLETT PACKARD CO COM 428236103 57 2027 SH SOLE 0 0 2027 HOLLYFRONTIER CORP COM 436106108 914 18400 SH SOLE 0 0 18400 HOLLYFRONTIER CORP COM 436106108 2394 48186 SH DFND 1 0 0 48186 HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 1421 52581 SH SOLE 0 0 52581 HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 4117 152297 SH DFND 1 0 0 152297 INDUSTRIAS BACHOCO S A B DE SPON ADR B 456463108 48 1181 SH SOLE 0 0 1181 INTEL CORP COM 458140100 44 1686 SH SOLE 0 0 1686 INTERNATIONAL BUSINESS MACHS COM 459200101 36 193 SH SOLE 0 0 193 INVESCO MORTGAGE CAPITAL INC COM 46131B100 687 46831 SH SOLE 0 0 46831 INVESCO MORTGAGE CAPITAL INC COM 46131B100 1981 134949 SH DFND 1 0 0 134949 INVESCO MUNI INCOME OPP TRST COM 46132X101 486 78390 SH SOLE 0 0 78390 JPMORGAN CHASE & CO COM 46625H100 35 602 SH SOLE 0 0 602 KKR & CO L P DEL COM UNITS 48248M102 1719 70622 SH SOLE 0 0 70622 KKR & CO L P DEL COM UNITS 48248M102 5162 212064 SH DFND 1 0 0 212064 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 47 2398 SH SOLE 0 0 2398 MASCO CORP COM 574599106 44 1946 SH SOLE 0 0 1946 MCDONALDS CORP COM 580135101 31 324 SH SOLE 0 0 324 MERCK & CO INC NEW COM 58933Y105 48 960 SH SOLE 0 0 960 MICROSOFT CORP COM 594918104 46 1226 SH SOLE 0 0 1226 MOODYS CORP COM 615369105 19 240 SH SOLE 0 0 240 MORGAN STANLEY EM MKTS DM DE COM 617477104 1577 121110 SH SOLE 0 0 121110 MORGAN STANLEY EM MKTS DM DE COM 617477104 4393 337370 SH DFND 1 0 0 337370 MYLAN INC COM 628530107 50 1141 SH SOLE 0 0 1141 NAVIOS MARITIME PARTNERS L P UNIT LPI Y62267102 1415 74000 SH SOLE 0 0 74000 NAVIOS MARITIME PARTNERS L P UNIT LPI Y62267102 3502 183135 SH DFND 1 0 0 183135 NIPPON TELEG & TEL CORP SPONSORED ADR 654624105 48 1777 SH SOLE 0 0 1777 NISKA GAS STORAGE PARTNERS L UNIT LTD LIABI 654678101 995 67436 SH SOLE 0 0 67436 NISKA GAS STORAGE PARTNERS L UNIT LTD LIABI 654678101 2376 160981 SH DFND 1 0 0 160981 NORTHERN TIER ENERGY LP COM UN REPR PART 665826103 840 34150 SH SOLE 0 0 34150 NORTHERN TIER ENERGY LP COM UN REPR PART 665826103 2181 88673 SH DFND 1 0 0 88673 NOVARTIS A G SPONSORED ADR 66987V109 53 658 SH SOLE 0 0 658 NU SKIN ENTERPRISES INC CL A 67018T105 110 797 SH SOLE 0 0 797 NUSTAR ENERGY LP UNIT COM 67058H102 1194 23415 SH SOLE 0 0 23415 NUSTAR ENERGY LP UNIT COM 67058H102 2900 56870 SH DFND 1 0 0 56870 NUVEEN DIVER CURRENCY OPPOR COM 67090N109 863 85605 SH SOLE 0 0 85605 NUVEEN DIVER CURRENCY OPPOR COM 67090N109 2138 212065 SH DFND 1 0 0 212065 NUVEEN PFD INCOME OPPRTNY FD COM 67073B106 758 85510 SH SOLE 0 0 85510 NUVEEN PFD INCOME OPPRTNY FD COM 67073B106 2223 250622 SH DFND 1 0 0 250622 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 11 900 SH SOLE 0 0 900 OCH ZIFF CAP MGMT GROUP CL A 67551U105 1085 73317 SH SOLE 0 0 73317 OCH ZIFF CAP MGMT GROUP CL A 67551U105 2853 192784 SH DFND 1 0 0 192784 OPEN TEXT CORP COM 683715106 59 643 SH SOLE 0 0 643 PFIZER INC COM 717081103 36 1180 SH SOLE 0 0 1180 PROCTER & GAMBLE CO COM 742718109 47 576 SH SOLE 0 0 576 PROSPECT CAPITAL CORPORATION COM 74348T102 1642 146324 SH SOLE 0 0 146324 PROSPECT CAPITAL CORPORATION COM 74348T102 4110 366289 SH DFND 1 0 0 366289 PRUDENTIAL PLC ADR 74435K204 59 1320 SH SOLE 0 0 1320 PUTNAM MANAGED MUN INCOM TR COM 746823103 240 36180 SH SOLE 0 0 36180 PVR PARTNERS L P COM UNIT REPTG L 693665101 864 32199 SH SOLE 0 0 32199 PVR PARTNERS L P COM UNIT REPTG L 693665101 2493 92910 SH DFND 1 0 0 92910 REED ELSEVIER N V SPONS ADR NEW 758204200 57 1329 SH SOLE 0 0 1329 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 39 547 SH SOLE 0 0 547 SANOFI RIGHT 12/31/2020 80105N113 0 100 SH SOLE 0 0 100 SANOFI SPONSORED ADR 80105N105 55 1028 SH SOLE 0 0 1028 SAP AG SPON ADR 803054204 51 591 SH SOLE 0 0 591 SEADRILL LIMITED SHS G7945E105 1436 34951 SH SOLE 0 0 34951 SEADRILL LIMITED SHS G7945E105 4237 103146 SH DFND 1 0 0 103146 SENIOR HSG PPTYS TR SH BEN INT 81721M109 1244 55968 SH SOLE 0 0 55968 SENIOR HSG PPTYS TR SH BEN INT 81721M109 3557 160017 SH DFND 1 0 0 160017 SHIP FINANCE INTERNATIONAL L SHS G81075106 813 49633 SH SOLE 0 0 49633 SHIP FINANCE INTERNATIONAL L SHS G81075106 2116 129159 SH DFND 1 0 0 129159 SPDR GOLD TRUST GOLD SHS 78463V107 20 170 SH SOLE 0 0 170 SPECTRA ENERGY CORP COM 847560109 32 895 SH SOLE 0 0 895 SPX CORP COM 784635104 47 471 SH SOLE 0 0 471 STANTEC INC COM 85472N109 47 761 SH SOLE 0 0 761 STONE HBR EMERG MRKTS INC FD COM 86164T107 362 19780 SH SOLE 0 0 19780 STONE HBR EMERG MRKTS INC FD COM 86164T107 1060 57840 SH DFND 1 0 0 57840 STONEMOR PARTNERS L P COM UNITS 86183Q100 1032 40457 SH SOLE 0 0 40457 STONEMOR PARTNERS L P COM UNITS 86183Q100 2460 96392 SH DFND 1 0 0 96392 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 50 4728 SH SOLE 0 0 4728 TARO PHARMACEUTICAL INDS LTD SHS M8737E108 52 523 SH SOLE 0 0 523 TE CONNECTIVITY LTD REG SHS H84989104 58 1045 SH SOLE 0 0 1045 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 859 20111 SH SOLE 0 0 20111 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 2182 51081 SH DFND 1 0 0 51081 THERMO FISHER SCIENTIFIC INC COM 883556102 56 507 SH SOLE 0 0 507 TOTAL S A SPONSORED ADR 89151E109 50 808 SH SOLE 0 0 808 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 55 455 SH SOLE 0 0 455 TUPPERWARE BRANDS CORP COM 899896104 25 261 SH SOLE 0 0 261 TYCO INTERNATIONAL LTD SHS H89128104 55 1344 SH SOLE 0 0 1344 UNITED PARCEL SERVICE INC CL B 911312106 35 334 SH SOLE 0 0 334 VANGUARD NAT RES LLC COM UNIT 92205F106 1668 56505 SH SOLE 0 0 56505 VANGUARD NAT RES LLC COM UNIT 92205F106 4268 144578 SH DFND 1 0 0 144578 VERIZON COMMUNICATIONS INC COM 92343V104 37 760 SH SOLE 0 0 760 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 20 1400 SH SOLE 0 0 1400 WESTERN ASSET EMRG MKT INCM COM 95766E103 391 33060 SH SOLE 0 0 33060 WESTERN ASSET EMRG MKT INCM COM 95766E103 1141 96380 SH DFND 1 0 0 96380 WESTERN ASSET GLB HI INCOME COM 95766B109 723 59040 SH SOLE 0 0 59040 WESTERN ASSET GLB HI INCOME COM 95766B109 2124 173507 SH DFND 1 0 0 173507 WHITESTONE REIT COM 966084204 332 24820 SH SOLE 0 0 24820 WHITESTONE REIT COM 966084204 967 72289 SH DFND 1 0 0 72289 WINDSTREAM HLDGS INC COM 97382A101 29 3614 SH SOLE 0 0 3614 WPP PLC NEW ADR 92937A102 55 476 SH SOLE 0 0 476 XINYUAN REAL ESTATE CO LTD SPONS ADR 98417P105 46 8506 SH SOLE 0 0 8506