0001172661-14-001309.txt : 20140804 0001172661-14-001309.hdr.sgml : 20140804 20140804103159 ACCESSION NUMBER: 0001172661-14-001309 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140804 DATE AS OF CHANGE: 20140804 EFFECTIVENESS DATE: 20140804 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: 141011797 BUSINESS ADDRESS: STREET 1: 1220 N. FILLMORE ST. STREET 2: SUITE 400 CITY: ARLINGTON STATE: VA ZIP: 22201 BUSINESS PHONE: (703) 258-0090 MAIL ADDRESS: STREET 1: 1220 N. FILLMORE ST. STREET 2: SUITE 400 CITY: ARLINGTON STATE: VA ZIP: 22201 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001511794 XXXXXXXX 06-30-2014 06-30-2014 false Shaker Financial Services, LLC

1220 N. Fillmore St. Suite 400 Arlington VA 22201

13F HOLDINGS REPORT 028-14234 N Kathryn S. Baummer 410-224-0572 /s/ Kathryn S. Baummer Arlington VA 08-04-2014 0 153 164476 INFORMATION TABLE 2 infotable.xml ABERDEEN ASIA PACIFIC INCOM COM 003009107 251 40000 SH SOLE 38400 0 1600 ABERDEEN JAPAN EQUITY FD INC COM 00306J109 160 22446 SH SOLE 20436 0 2010 ADAMS EXPRESS CO COM 006212104 2095 152353 SH SOLE 148603 0 3750 ADVENT CLAY CONV SEC INC FD COM 007639107 329 42939 SH SOLE 36015 0 6924 ADVENT CLAYMORE CV SECS & IN COM 00764C109 1112 59002 SH SOLE 56617 0 2385 ADVENT CLAYMORE ENH GRW & IN COM 00765E104 249 24179 SH SOLE 15659 0 8520 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 989 68837 SH SOLE 64247 0 4590 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 680 90402 SH SOLE 80502 0 9900 ALLIANZGI EQUITY & CONV INCO COM 018829101 1001 49540 SH SOLE 47309 0 2231 APOLLO SR FLOATING RATE FD I COM 037636107 232 12857 SH SOLE 12857 0 0 APOLLO TACTICAL INCOME FD IN COM 037638103 855 46600 SH SOLE 45480 0 1120 ARES DYNAMIC CR ALLOCATION F COM 04014F102 2256 123912 SH SOLE 117962 0 5950 ASIA PAC FD INC COM 044901106 190 17201 SH SOLE 15568 0 1633 ASIA TIGERS FD INC COM 04516T105 164 13600 SH SOLE 13600 0 0 AVENUE INCOME CR STRATEGIES COM 05358E106 2109 117315 SH SOLE 105755 0 11560 BANCROFT FUND LTD COM 059695106 268 13261 SH SOLE 12521 0 740 BLACKROCK CORPOR HI YLD FD I COM 09255P107 2142 174287 SH SOLE 163187 0 11100 BLACKROCK CR ALLCTN INC TR COM 092508100 151 10977 SH SOLE 9777 0 1200 BLACKROCK DEBT STRAT FD INC COM 09255R103 459 111891 SH SOLE 111111 0 780 BLACKROCK DIVID INCOME TR SHS 09250D109 673 50126 SH SOLE 48926 0 1200 BLACKROCK ECOSOLUTIONS INVT COM SH 092546100 366 44325 SH SOLE 37919 0 6406 BLACKROCK FLOAT RATE OME STR COM 09255X100 1439 98219 SH SOLE 93419 0 4800 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 951 63212 SH SOLE 61192 0 2020 BLACKROCK INCOME TR INC COM 09247F100 268 40433 SH SOLE 40433 0 0 BLACKROCK LTD DURATION INC T COM SHS 09249W101 2343 135511 SH SOLE 128844 0 6667 BLACKROCK MULTI-SECTOR INC T COM 09258A107 456 24674 SH SOLE 23984 0 690 BLACKROCK MUN TARGET TERM TR COM SHS BEN IN 09257P105 215 10600 SH SOLE 10600 0 0 BLACKSTONE GSO LNG SHRT CR I COM SHS BN INT 09257D102 2648 149332 SH SOLE 141612 0 7720 BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 1407 79153 SH SOLE 76253 0 2900 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 309 25712 SH SOLE 25712 0 0 CENTRAL SECS CORP COM 155123102 2259 96324 SH SOLE 91004 0 5320 CLOUGH GLOBAL ALLOCATION FD COM 18913Y103 1032 66586 SH SOLE 66586 0 0 CLOUGH GLOBAL EQUITY FD COM 18914C100 277 17902 SH SOLE 16902 0 1000 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 4265 328048 SH SOLE 306299 0 21749 COHEN & STEERS CLOSED END OP COM 19248P106 1509 111642 SH SOLE 97442 0 14200 COHEN & STEERS GLOBAL INC BL COM 19248M103 732 57665 SH SOLE 51065 0 6600 COHEN & STEERS LTD DUR PFD I COM 19248C105 965 37890 SH SOLE 35275 0 2615 COHEN & STEERS TOTAL RETURN COM 19247R103 4148 334656 SH SOLE 317451 0 17205 CREDIT SUISSE ASSET MGMT INC COM 224916106 2166 593407 SH SOLE 532725 0 60682 DELAWARE ENHANCED GBL DIV & COM 246060107 3000 236034 SH SOLE 211577 0 24457 DENALI FD INC COM 24823A102 4216 196474 SH SOLE 184501 0 11973 DOUBLELINE INCOME SOLUTIONS COM 258622109 558 24848 SH SOLE 24848 0 0 DOW 30SM ENHANCED PREM & INC COM 260537105 422 30710 SH SOLE 30710 0 0 DREYFUS MUN BD INFRSTRCTR FD SHS 26203D101 142 12000 SH SOLE 12000 0 0 DUFF & PHELPS UTIL CORP BD T COM 26432K108 298 28462 SH SOLE 22962 0 5500 DWS HIGH INCOME OPPORT FD IN COM NEW 23339M204 583 39464 SH SOLE 35765 0 3699 DWS HIGH INCOME TR SHS NEW 23337C208 908 96532 SH SOLE 86262 0 10270 DWS MULTI MKT INCOME TR SHS 23338L108 1195 126162 SH SOLE 120962 0 5200 DWS STRATEGIC INCOME TR SHS 23338N104 858 66751 SH SOLE 64151 0 2600 EATON VANCE ENH EQTY INC FD COM 278277108 1843 136908 SH SOLE 115001 0 21907 EATON VANCE FLTG RATE INCOM COM SHS BEN INT 278284104 362 20082 SH SOLE 18882 0 1200 EATON VANCE FLTING RATE INC COM 278279104 934 61926 SH SOLE 60926 0 1000 EATON VANCE LTD DUR INCOME F COM 27828H105 1145 73474 SH SOLE 62904 0 10570 EATON VANCE RISK MNGD DIV EQ COM 27829G106 856 74189 SH SOLE 73589 0 600 EATON VANCE SH TM DR DIVR IN COM 27828V104 585 38130 SH SOLE 35520 0 2610 EATON VANCE SR FLTNG RTE TR COM 27828Q105 553 37160 SH SOLE 37160 0 0 EATON VANCE SR INCOME TR SH BEN INT 27826S103 1620 237866 SH SOLE 211632 0 26234 EATON VANCE TAX ADVT DIV INC COM 27828G107 3780 182585 SH SOLE 163570 0 19015 EATON VANCE TAX MNGD GBL DV COM 27829F108 2653 255843 SH SOLE 245643 0 10200 EATON VANCE TAX MNGED BUY WR COM 27828X100 986 61731 SH SOLE 55231 0 6500 EATON VANCE TAX-ADV BD & OPT COM SH BEN INT 27829M103 211 15218 SH SOLE 15218 0 0 EATON VANCE TX ADV GLB DIV O COM 27828U106 1046 40364 SH SOLE 39464 0 900 EATON VANCE TX ADV GLBL DIV COM 27828S101 3404 193647 SH SOLE 187836 0 5811 EATON VANCE TX MGD DIV EQ IN COM 27828N102 1056 90226 SH SOLE 86026 0 4200 ELLSWORTH FUND LTD COM 289074106 833 94296 SH SOLE 87934 0 6362 EUROPEAN EQUITY FUND COM 298768102 2581 286457 SH SOLE 265245 0 21212 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 205 13997 SH SOLE 13997 0 0 FIRST TR DIVIDEND INCOME FD COM 33731L100 1384 147599 SH SOLE 128617 0 18982 FIRST TR HIGH INCOME L/S FD COM 33738E109 2143 118049 SH SOLE 109441 0 8608 FIRST TRUST SPECIALTY FINANC COM BEN INTR 33733G109 187 22997 SH SOLE 22997 0 0 FRANKLIN TEMPLETON LTD DUR I COM 35472T101 249 19044 SH SOLE 16322 0 2722 FRANKLIN UNVL TR SH BEN INT 355145103 1573 208895 SH SOLE 171155 0 37740 GABELLI DIVD & INCOME TR COM 36242H104 3082 140711 SH SOLE 128161 0 12550 GABELLI GLB SML & MD CP VAL COM 36249W104 149 13902 SH SOLE 12647 0 1255 GABELLI GLOBL UTIL & INCOME COM SH BEN INT 36242L105 518 24834 SH SOLE 24834 0 0 GABELLI MULTIMEDIA TR INC COM 36239Q109 292 29560 SH SOLE 27460 0 2100 GABELLI MULTIMEDIA TR INC RIGHT 07/18/2014 36239Q141 3 21600 SH SOLE 19500 0 2100 GENERAL AMERN INVS INC COM 368802104 4195 113927 SH SOLE 105299 0 8628 GUGGENHEIM EQ WEIGHT ENHANC COM SH BEN INT 40167M106 1359 67856 SH SOLE 62213 0 5643 HANCOCK JOHN FINL OPPTYS FD SH BEN INT NEW 409735206 297 12828 SH SOLE 12828 0 0 HANCOCK JOHN INCOME SECS TR COM 410123103 249 17021 SH SOLE 17021 0 0 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 377 18297 SH SOLE 16069 0 2228 HANCOCK JOHN PFD INCOME FD I COM 41013X106 232 11220 SH SOLE 11220 0 0 HANCOCK JOHN PFD INCOME FD I COM 41021P103 1153 64383 SH SOLE 60683 0 3700 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 246 18097 SH SOLE 13097 0 5000 HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 947 45242 SH SOLE 39927 0 5315 HELIOS STRATEGIC INCOME FD I COM NEW 42328A203 551 79932 SH SOLE 79332 0 600 INVESCO DYNAMIC CR OPP FD COM 46132R104 1301 100465 SH SOLE 90665 0 9800 INVESCO HIGH INCOME TR II COM 46131F101 1244 72607 SH SOLE 65805 0 6802 IVY HIGH INC OPPORTUNITIES F COM 465893105 1093 59075 SH SOLE 52775 0 6300 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 708 74901 SH SOLE 71637 0 3264 JOHN HANCOCK HDG EQ & INC FD COM 47804L102 683 36795 SH SOLE 36795 0 0 JPMORGAN CHINA REGION FD INC COM 48126T104 554 36508 SH SOLE 35508 0 1000 KKR INCOME OPPORTUNITIES FD COM 48249T106 2175 116624 SH SOLE 106535 0 10089 LATIN AMERN DISCOVERY FD INC COM 51828C106 217 15793 SH SOLE 14934 0 859 LAZARD WORLD DIVID & INCOME COM 521076109 711 46791 SH SOLE 46791 0 0 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 4816 801249 SH SOLE 747831 0 53418 LIBERTY ALL-STAR GROWTH FD I COM 529900102 1102 203273 SH SOLE 191978 0 11295 LMP CORPORATE LN FD INC COM 50208B100 579 48211 SH SOLE 39311 0 8900 LMP REAL ESTATE INCOME FD IN COM 50208C108 415 36052 SH SOLE 34552 0 1500 MADISON STRTG SECTOR PREM FD COM 558268108 808 63102 SH SOLE 59802 0 3300 MANAGED HIGH YIELD PLUS FD I COM 561911108 412 193331 SH SOLE 171331 0 22000 MEXICO EQUITY & INCOME FD COM 592834105 660 41006 SH SOLE 38484 0 2522 MFS CHARTER INCOME TR SH BEN INT 552727109 1991 215476 SH SOLE 201776 0 13700 MFS INTER INCOME TR SH BEN INT 55273C107 119 22484 SH SOLE 19684 0 2800 MFS INTERMEDIATE HIGH INC FD SH BEN INT 59318T109 313 106535 SH SOLE 88471 0 18064 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 107 16070 SH SOLE 16070 0 0 MORGAN STANLEY ASIA PAC FD I COM 61744U106 324 19364 SH SOLE 19035 0 329 MORGAN STANLEY EM MKTS DM DE COM 617477104 637 47787 SH SOLE 47787 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 106 10455 SH SOLE 10455 0 0 NEUBERGER BERMAN HGH YLD FD COM 64128C106 216 15600 SH SOLE 15600 0 0 NEUBERGER BERMAN RE ES SEC F COM 64190A103 140 27988 SH SOLE 27988 0 0 NEW GERMANY FD INC COM 644465106 2064 110555 SH SOLE 108229 0 2326 NEW IRELAND FUND INC COM 645673104 769 56435 SH SOLE 49624 0 6811 NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 2169 119378 SH SOLE 106468 0 12910 NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 311 25332 SH SOLE 25332 0 0 NUVEEN EQUITY PREM & GROWTH COM 6706EW100 1030 71157 SH SOLE 68457 0 2700 NUVEEN EQUITY PREM ADV FD COM 6706ET107 282 21192 SH SOLE 18552 0 2640 NUVEEN EQUITY PREM INCOME FD COM 6706ER101 2613 199349 SH SOLE 182819 0 16530 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 970 111755 SH SOLE 108355 0 3400 NUVEEN QUALITY PFD INCOME FD COM 67071S101 961 112900 SH SOLE 98925 0 13975 NUVEEN QUALITY PFD INCOME FD COM 67072C105 240 26523 SH SOLE 26523 0 0 NUVEEN SHT DUR CR OPP FD COM 67074X107 278 15115 SH SOLE 14288 0 827 NUVEEN SR INCOME FD COM 67067Y104 1894 268665 SH SOLE 246465 0 22200 NUVEEN TAX ADVANTAGED DIV GR COM 67073G105 661 40569 SH SOLE 39669 0 900 PIMCO INCOME STRATEGY FUND COM 72201H108 788 63842 SH SOLE 63625 0 217 PIMCO INCOME STRATEGY FUND I COM 72201J104 1733 156678 SH SOLE 137785 0 18893 PRUDENTIAL SHT DURATION HG Y COM 74442F107 436 24254 SH SOLE 21154 0 3100 PUTMAN HIGH INCOME SEC FUND SHS BEN INT 746779107 420 48217 SH SOLE 48217 0 0 ROYCE FOCUS TR COM 78080N108 1535 179485 SH SOLE 173403 0 6082 ROYCE GLOBAL VALUE TR INC COM 78081T104 652 69325 SH SOLE 63740 0 5585 ROYCE VALUE TR INC COM 780910105 606 37898 SH SOLE 36228 0 1670 SOURCE CAP INC COM 836144105 2967 42403 SH SOLE 39077 0 3326 SPECIAL OPPORTUNITIES FD INC COM 84741T104 2073 124129 SH SOLE 113029 0 11100 STRATEGIC GLOBAL INCOME FD COM 862719101 427 45636 SH SOLE 36219 0 9417 SWISS HELVETIA FD INC COM 870875101 745 51124 SH SOLE 45280 0 5844 TEMPLETON DRAGON FD INC COM 88018T101 235 9106 SH SOLE 7207 0 1899 TEMPLETON EMERG MKTS INCOME COM 880192109 326 23626 SH SOLE 17616 0 6010 TRI CONTL CORP COM 895436103 4439 211582 SH SOLE 191032 0 20550 VIRTUS TOTAL RETURN FD COM 92829A103 103 21389 SH SOLE 21389 0 0 VOYA ASIA PAC DIVID EQUITY I COM 92912J102 396 29648 SH SOLE 27389 0 2259 VOYA EMERGING MKTS HIGH DIVI COM 92912P108 302 23648 SH SOLE 21048 0 2600 VOYA GLBL ADV & PREM OPP FD COM 92912R104 2560 207643 SH SOLE 196939 0 10704 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 708 72984 SH SOLE 69484 0 3500 VOYA PRIME RATE TR SH BEN INT 92913A100 101 17430 SH SOLE 17430 0 0 WELLS FARGO ADV GLB DIV OPP COM 94987C103 89 10500 SH SOLE 10500 0 0 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 1490 155857 SH SOLE 147257 0 8600 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 472 31693 SH SOLE 28193 0 3500 WELLS FARGO ADVANTAGE UTILS COM 94987E109 815 62755 SH SOLE 53855 0 8900 WESTERN ASSET GLB PTNRS INCO COM 95766G108 1457 130357 SH SOLE 124027 0 6330 WESTERN ASSET HGH YLD DFNDFD COM 95768B107 1296 72384 SH SOLE 64778 0 7606 WESTERN ASSET MGD HI INCM FD COM 95766L107 878 151389 SH SOLE 142512 0 8877 ZWEIG FD COM NEW 989834205 615 39308 SH SOLE 39308 0 0