0001172661-20-002078.txt : 20201109
0001172661-20-002078.hdr.sgml : 20201109
20201109122716
ACCESSION NUMBER: 0001172661-20-002078
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200930
FILED AS OF DATE: 20201109
DATE AS OF CHANGE: 20201109
EFFECTIVENESS DATE: 20201109
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Shaker Financial Services, LLC
CENTRAL INDEX KEY: 0001511794
IRS NUMBER: 841723449
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14234
FILM NUMBER: 201296811
BUSINESS ADDRESS:
STREET 1: 3330 WASHINGTON BLVD.
STREET 2: SUITE 200
CITY: ARLINGTON
STATE: VA
ZIP: 22201
BUSINESS PHONE: (703) 258-0090
MAIL ADDRESS:
STREET 1: 3330 WASHINGTON BLVD.
STREET 2: SUITE 200
CITY: ARLINGTON
STATE: VA
ZIP: 22201
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001511794
XXXXXXXX
09-30-2020
09-30-2020
false
Shaker Financial Services, LLC
3330 WASHINGTON BLVD.
Suite 200
Arlington
VA
22201
13F HOLDINGS REPORT
028-14234
N
Kathryn S. Baummer
Managing Partner, Performance Analytics & Reporting
410-224-0572
/s/ Kathryn S. Baummer
Arlington
VA
11-09-2020
0
154
187144
INFORMATION TABLE
2
infotable.xml
ABERDEEN ASIA-PACIFIC INCOME
COM
003009107
199
50000
SH
SOLE
49831
0
169
ABERDEEN AUSTRALIA EQUITY FD
COM
003011103
267
59899
SH
SOLE
59899
0
0
ABERDEEN GLOBAL DYNAMIC DIVI
COM
00302M106
209
22707
SH
SOLE
22707
0
0
ABERDEEN JAPAN EQUITY FD INC
COM
00306J109
122
14700
SH
SOLE
14700
0
0
ABERDEEN TOTAL DYNAMIC DIVD
COM SH BEN INT
00326L100
487
61315
SH
SOLE
61315
0
0
ADAMS DIVERSIFIED EQUITY FD
COM
006212104
762
46993
SH
SOLE
46993
0
0
ALLIANCEBERNSTEIN GLOBAL HIG
COM
01879R106
1042
99132
SH
SOLE
98405
0
727
ALLIANZGI ARTIFICIAL INTELLI
COM
01883M101
2112
97884
SH
SOLE
97395
0
489
ALLIANZGI CONV & INCM 2024 T
COM
01883H102
1299
147668
SH
SOLE
145763
0
1905
ALLIANZGI CONV & INCOME FD I
COM
018825109
231
56300
SH
SOLE
56300
0
0
ALLIANZGI CONV INCOME FD
COM
018828103
389
84850
SH
SOLE
82870
0
1980
ALLIANZGI DIVIDEND INT & PRM
COM
01883A107
1028
87087
SH
SOLE
87087
0
0
ALLIANZGI EQUITY & CONV INCO
COM
018829101
321
13202
SH
SOLE
13202
0
0
APOLLO SR FLOATING RATE FD I
COM
037636107
476
37103
SH
SOLE
36656
0
447
APOLLO TACTICAL INCOME FD IN
COM
037638103
3387
266500
SH
SOLE
264629
0
1871
ARES DYNAMIC CR ALLOCATION F
COM
04014F102
817
64455
SH
SOLE
63583
0
872
BANCROFT FD LTD
COM
059695106
342
13746
SH
SOLE
13746
0
0
BARINGS GLOBAL SHORT DURATIO
COM
06760L100
1614
121169
SH
SOLE
117862
0
3307
BLACKROCK CORE BD TR
SHS BEN INT
09249E101
230
14700
SH
SOLE
14700
0
0
BLACKROCK CORPOR HI YLD FD I
COM
09255P107
515
48194
SH
SOLE
48194
0
0
BLACKROCK DEBT STRATEGIES FD
COM NEW
09255R202
1213
122075
SH
SOLE
120049
0
2026
BLACKROCK ENHANCD CAP & INM
COM
09256A109
1899
122807
SH
SOLE
122807
0
0
BLACKROCK ENHANCED EQUITY DI
COM
09251A104
1479
202339
SH
SOLE
202339
0
0
BLACKROCK ENHANCED GLOBAL DI
COM
092501105
1474
154027
SH
SOLE
153373
0
654
BLACKROCK FLOATING RATE INCO
COM
091941104
432
38483
SH
SOLE
38483
0
0
BLACKROCK FLOATING RATE INCO
COM
09255X100
1212
105411
SH
SOLE
102489
0
2922
BLACKROCK LTD DURATION INC T
COM SHS
09249W101
842
57243
SH
SOLE
55498
0
1745
BLACKROCK MULTI-SECTOR INC T
COM
09258A107
585
37064
SH
SOLE
37064
0
0
BNY MELLON ALCENTRA GLOBAL C
COM
05588N108
2062
256460
SH
SOLE
251326
0
5134
BNY MELLON HIGH YIELD STRATE
SH BEN INT
09660L105
982
362373
SH
SOLE
362373
0
0
BNY MELLON MUN BD INFRASTRUC
COM SHS
09662W109
328
24366
SH
SOLE
24366
0
0
BOULDER GROWTH & INCOME FD I
COM
101507101
934
93420
SH
SOLE
91677
0
1743
CALAMOS CONV & HIGH INCOME F
COM SHS
12811P108
2833
242577
SH
SOLE
238449
0
4128
CALAMOS CONV OPPORTUNITIES &
SH BEN INT
128117108
699
63544
SH
SOLE
62390
0
1154
CALAMOS GBL DYN INCOME FUND
COM
12811L107
313
38456
SH
SOLE
38456
0
0
CALAMOS GLOBAL TOTAL RETURN
COM SH BEN INT
128118106
820
69159
SH
SOLE
64971
0
4188
CALAMOS LNG SHR EQT DYNAMIC
COM
12812C106
4483
308418
SH
SOLE
304722
0
3696
CALAMOS STRATEGIC TOTL RETN
COM SH BEN INT
128125101
1735
128931
SH
SOLE
128799
0
132
CBRE CLARION GLOBAL REAL EST
COM
12504G100
889
148595
SH
SOLE
144175
0
4420
CENTRAL SECS CORP
COM
155123102
4376
150934
SH
SOLE
150256
0
678
CHINA FD INC
COM
169373107
1637
65015
SH
SOLE
64339
0
676
CLOUGH GLOBAL DIVID & INCOME
COM
18913Y103
468
50745
SH
SOLE
50745
0
0
CLOUGH GLOBAL EQUITY FD
COM
18914C100
2000
178393
SH
SOLE
175459
0
2934
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
1126
120519
SH
SOLE
118919
0
1600
COHEN & STEERS CLOSED END OP
COM
19248P106
157
14124
SH
SOLE
12961
0
1163
COHEN & STEERS LTD DURATION
COM
19248C105
226
9686
SH
SOLE
9434
0
252
COLUMBIA SELIGM PREM TECH GR
COM
19842X109
1847
84370
SH
SOLE
83731
0
639
DELAWARE INVTS DIV & INCOME
COM
245915103
816
101125
SH
SOLE
101125
0
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
290
18097
SH
SOLE
17082
0
1015
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
1567
82233
SH
SOLE
80361
0
1872
DUFF & PHELPS UTIL CORP BD T
COM
26432K108
484
52462
SH
SOLE
48424
0
4038
DUFF & PHELPS UTLITY AND INF
COM
26433C105
964
93367
SH
SOLE
93367
0
0
EATON VANCE ENH EQTY INC FD
COM
278277108
601
32579
SH
SOLE
32579
0
0
EATON VANCE ENHANCED EQ INC
COM
278274105
1188
81158
SH
SOLE
78206
0
2952
EATON VANCE FLTG RATE INCOM
COM SHS BEN INT
278284104
420
29954
SH
SOLE
29954
0
0
EATON VANCE FLTING RATE INC
COM
278279104
672
56605
SH
SOLE
56605
0
0
EATON VANCE HIGH INCOME 2021
COM SH BEN INT
27829W101
1072
113198
SH
SOLE
112254
0
944
EATON VANCE LTD DURATION INC
COM
27828H105
1153
101989
SH
SOLE
101874
0
115
EATON VANCE SHORT DURATION D
COM
27828V104
1827
159586
SH
SOLE
157115
0
2471
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
263
22615
SH
SOLE
22615
0
0
EATON VANCE TAX ADVT DIV INC
COM
27828G107
1164
59064
SH
SOLE
58904
0
160
EATON VANCE TAX-MANAGED GLOB
COM
27829F108
1810
245940
SH
SOLE
238200
0
7740
EATON VANCE TX ADV GLB DIV O
COM
27828U106
1015
48825
SH
SOLE
48825
0
0
EATON VANCE TX ADV GLBL DIV
COM
27828S101
1756
118088
SH
SOLE
117213
0
875
EATON VANCE TXMGD GL BUYWR O
COM
27829C105
355
41527
SH
SOLE
40666
0
861
ELLSWORTH GROWTH & INCOME FD
COM
289074106
483
41834
SH
SOLE
41834
0
0
EUROPEAN EQUITY FD INC
COM
298768102
1002
105972
SH
SOLE
105972
0
0
FIRST TR / ABERDEEN EMERGING
COM
33731K102
335
27845
SH
SOLE
27845
0
0
FIRST TR ABERDEEN GLBL OPP F
COM SHS
337319107
1969
205695
SH
SOLE
201888
0
3807
FIRST TR ENHANCED EQTY INC F
COM
337318109
3292
217414
SH
SOLE
213214
0
4200
FIRST TR HIGH INCOME L/S FD
COM
33738E109
613
44051
SH
SOLE
42177
0
1874
FIRST TR INTER DUR PFD & IN
COM
33718W103
834
38800
SH
SOLE
37713
0
1087
FIRST TR SR FLG RTE INCM FD
COM
33733U108
644
58665
SH
SOLE
58665
0
0
FIRST TR SR FLOATING RATE 20
COM SHS
33740K101
1567
185678
SH
SOLE
180965
0
4713
FRANKLIN UNVL TR
SH BEN INT
355145103
2464
361227
SH
SOLE
360061
0
1166
GABELLI DIVID & INCOME TR
COM
36242H104
4686
255387
SH
SOLE
252989
0
2398
GABELLI GLB SML & MD CP VAL
COM
36249W104
121
12039
SH
SOLE
12039
0
0
GAMCO NAT RES GOLD & INCOME
SH BEN INT
36465E101
166
33660
SH
SOLE
32415
0
1245
GENERAL AMERN INVS INC
COM
368802104
972
28635
SH
SOLE
28635
0
0
GUGGENHEIM ENHANCED EQUITY I
COM
40167B100
1715
314606
SH
SOLE
313418
0
1188
HANCOCK JOHN INVS TR
COM
410142103
449
28338
SH
SOLE
28338
0
0
HANCOCK JOHN INVT TR
TAX ADV GLB SH
41013P749
299
58667
SH
SOLE
58667
0
0
HANCOCK JOHN PFD INCOME FD I
COM
41013X106
662
37140
SH
SOLE
36833
0
307
HANCOCK JOHN PFD INCOME FD I
COM
41021P103
423
26497
SH
SOLE
24191
0
2306
HANCOCK JOHN TAX-ADVANTAGED
COM
41013V100
461
24159
SH
SOLE
24159
0
0
HERZFELD CARIBBEAN BASIN FD
COM
42804T106
544
151091
SH
SOLE
151091
0
0
HIGHLAND GLOBAL ALLOCATION F
COM
43010T104
604
97466
SH
SOLE
97466
0
0
INVESCO DYNAMIC CR OPPORTUNI
COM
46132R104
425
46143
SH
SOLE
44363
0
1780
INVESCO HIGH INCOME 2023 TAR
COM
46135X108
1762
222162
SH
SOLE
217584
0
4578
JAPAN SMALLER CAPITALIZATION
COM
47109U104
109
12530
SH
SOLE
12530
0
0
JOHN HANCOCK HEDGED EQUITY &
COM
47804L102
2471
234031
SH
SOLE
229834
0
4197
KKR INCOME OPPORTUNITIES FD
COM
48249T106
220
16263
SH
SOLE
16263
0
0
LIBERTY ALL-STAR GROWTH FD I
COM
529900102
380
53491
SH
SOLE
53491
0
0
LMP CAP & INCOME FD INC
COM
50208A102
297
29101
SH
SOLE
29101
0
0
MACQUARIE / FIRST TR GLOBAL
COM
55607W100
266
34620
SH
SOLE
32270
0
2350
MFS CHARTER INCOME TR
SH BEN INT
552727109
551
68834
SH
SOLE
66711
0
2123
MFS INTER INCOME TR
SH BEN INT
55273C107
577
154785
SH
SOLE
154785
0
0
MFS MULTIMARKET INCOME TR
SH BEN INT
552737108
1047
186309
SH
SOLE
183754
0
2555
MFS SPL VALUE TR
SH BEN INT
55274E102
84
15762
SH
SOLE
15762
0
0
MORGAN STANLEY CHINA A SH FD
COM
617468103
962
45568
SH
SOLE
44596
0
972
MORGAN STANLEY EMER MKTS DEB
COM
61744H105
140
16738
SH
SOLE
16738
0
0
NEW GERMANY FD INC
COM
644465106
3852
228191
SH
SOLE
224527
0
3664
NEW IRELAND FD INC
COM
645673104
1053
125188
SH
SOLE
121883
0
3305
NUVEEN CORE EQUITY ALPHA FD
COM
67090X107
3842
300162
SH
SOLE
296584
0
3578
NUVEEN CORPORATE INCM NOVEME
COM
67077N106
1053
117652
SH
SOLE
117652
0
0
NUVEEN CR OPPORTUNITIES 2022
COM
67075U102
79
10056
SH
SOLE
10056
0
0
NUVEEN CR STRATEGIES INCOME
COM SHS
67073D102
227
38412
SH
SOLE
36544
0
1868
NUVEEN DOW 30 DYNAMIC OVERWR
SHS
67075F105
4829
356878
SH
SOLE
353730
0
3148
NUVEEN GLOBAL HIGH INCOME FD
SHS
67075G103
553
40901
SH
SOLE
40901
0
0
NUVEEN NASDAQ 100 DYNAMIC OV
COM SHS
670699107
340
13981
SH
SOLE
13981
0
0
NUVEEN PFD & INCM SECURTIES
COM
67072C105
423
48000
SH
SOLE
48000
0
0
NUVEEN PFD & INCOME OPPORTUN
COM
67073B106
553
65111
SH
SOLE
65111
0
0
NUVEEN PFD & INCOME TERM FD
COM
67075A106
331
15077
SH
SOLE
15077
0
0
NUVEEN S&P 500 BUY-WRITE INC
COM
6706ER101
2990
265049
SH
SOLE
262196
0
2853
NUVEEN S&P 500 DYNAMIC OVERW
COM
6706EW100
2128
159792
SH
SOLE
155043
0
4749
NUVEEN TAX-ADVANTAGED DIVID
COM
67073G105
4528
346426
SH
SOLE
343551
0
2875
NUVEEN TX ADV TOTAL RET STRG
COM
67090H102
2261
282264
SH
SOLE
282008
0
256
PGIM GLOBAL HIGH YIELD FD FO
COM
69346J106
1050
79283
SH
SOLE
78127
0
1156
PGIM HIGH YIELD BOND FUND IN
COM
69346H100
800
57917
SH
SOLE
57917
0
0
PIONEER FLOATING RATE TR
COM
72369J102
540
53433
SH
SOLE
53433
0
0
PIONEER HIGH INCOME TR
COM
72369H106
213
26736
SH
SOLE
26736
0
0
PUTNAM MASTER INTER INCOME T
SH BEN INT
746909100
1694
412159
SH
SOLE
405419
0
6740
PUTNAM PREMIER INCOME TR
SH BEN INT
746853100
2285
513435
SH
SOLE
507293
0
6142
RIVERNORTH DOUBLELINE STRATE
COM
76882G107
486
35434
SH
SOLE
35434
0
0
RIVERNORTH OPPORTUNITIES FD
COM
76881y109
583
40654
SH
SOLE
38912
0
1742
RIVERNORTH SPECIALTY FIN COR
COM
76882B108
204
13779
SH
SOLE
13779
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
3635
473929
SH
SOLE
465204
0
8725
ROYCE VALUE TR INC
COM
780910105
1117
88409
SH
SOLE
87406
0
1003
SPDR S&P 500 ETF TR
TR UNIT
78462F103
9099
27169
SH
SOLE
26741
0
428
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
1727
139209
SH
SOLE
139209
0
0
SPECIAL OPPORTUNITIES FD INC
PFD CONV SE B
84741T302
508
20153
SH
SOLE
20153
0
0
SPROTT FOCUS TR INC
COM
85208J109
4355
731969
SH
SOLE
726824
0
5145
STONE HBR EMERGING MKTS TOTA
COM
86164W100
325
46103
SH
SOLE
46103
0
0
SWISS HELVETIA FD INC
COM
870875101
339
40995
SH
SOLE
40995
0
0
TAIWAN FD INC
COM
874036106
310
13473
SH
SOLE
13473
0
0
TEKLA HEALTHCARE INVS
SH BEN INT
87911J103
862
41780
SH
SOLE
40728
0
1052
TEKLA LIFE SCIENCES INVS
SH BEN INT
87911K100
329
18696
SH
SOLE
18696
0
0
TEMPLETON DRAGON FD INC
COM
88018T101
1147
52292
SH
SOLE
51508
0
784
TEMPLETON EMERGING MKTS INCO
COM
880192109
1373
185227
SH
SOLE
179654
0
5573
TORTOISE ESSENTIAL ASSETS IN
COM SH BEN INT
89148A103
1346
127477
SH
SOLE
127477
0
0
TRI CONTL CORP
COM
895436103
4389
169258
SH
SOLE
167954
0
1304
VIRTUS GLOBAL MULTI-SEC INC
COM
92829B101
2875
266726
SH
SOLE
262096
0
4630
VOYA ASIA PAC DIVID EQUITY I
COM
92912J102
690
87154
SH
SOLE
86338
0
816
VOYA EMERGING MKTS HIGH DIVI
COM
92912P108
386
58334
SH
SOLE
58334
0
0
WELLS FARGO GLOBAL DIVIDEND
COM
94987C103
811
191774
SH
SOLE
191774
0
0
WELLS FARGO INCOME OPPORTUNI
WF INC OPPTY FD
94987B105
2499
342368
SH
SOLE
338434
0
3934
WELLS FARGO MULTI SECTOR INC
COM
94987D101
3019
280877
SH
SOLE
274925
0
5952
WESTERN ASSET GLOBAL CP DEFI
COM
95790C107
219
13206
SH
SOLE
13206
0
0
WESTERN ASSET GLOBAL HIGH IN
COM
95766B109
358
37095
SH
SOLE
36984
0
111
WESTERN ASSET HIGH INCOME FD
COM
95766J102
2691
420501
SH
SOLE
410273
0
10228
WESTERN ASSET HIGH INCOME OP
COM
95766K109
250
51056
SH
SOLE
51056
0
0
WESTERN ASSET HIGH YIELD DEF
COM
95768B107
639
45539
SH
SOLE
45482
0
57
WESTERN ASSET PREMIER BD FD
SHS BEN INT
957664105
850
65799
SH
SOLE
65799
0
0
XAI OCTAGON FLOATING RATE &
COM
98400T106
186
30979
SH
SOLE
30979
0
0