0001172661-17-000285.txt : 20170208 0001172661-17-000285.hdr.sgml : 20170208 20170208081657 ACCESSION NUMBER: 0001172661-17-000285 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170208 DATE AS OF CHANGE: 20170208 EFFECTIVENESS DATE: 20170208 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: 17580979 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 12-31-2016 12-31-2016 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 02-08-2017 0 109 168873 INFORMATION TABLE 2 infotable.xml ABERDEEN GLOBAL INCOME FD IN COM 003013109 1956 245669 SH SOLE 231473 0 14196 ADAMS DIVERSIFIED EQUITY FD COM 006212104 6547 515118 SH SOLE 480387 0 34730 ADVENT CLAYMORE CV SECS & IN COM 00764C109 234 15955 SH SOLE 10972 0 4983 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 1108 88168 SH SOLE 83887 0 4281 ALLIANZGI EQUITY & CONV INCO COM 018829101 1414 76743 SH SOLE 76119 0 624 ALLIANZGI NFJ DIVID INT & PR COM 01883A107 638 50566 SH SOLE 28541 0 22025 ALPINE TOTAL DYNAMIC DIVID F COM SH BEN INT N 021060207 807 106426 SH SOLE 103268 0 3158 APOLLO TACTICAL INCOME FD IN COM 037638103 462 26870 SH SOLE 20779 0 6091 ARES DYNAMIC CR ALLOCATION F COM 04014F102 4322 286583 SH SOLE 263703 0 22880 AVENUE INCOME CR STRATEGIES COM 05358E106 2165 161164 SH SOLE 144074 0 17090 BLACKROCK CORPOR HI YLD FD I COM 09255P107 390 36000 SH SOLE 35147 0 853 BLACKROCK ENH CAP & INC FD I COM 09256A109 1712 124908 SH SOLE 123029 0 1879 BLACKROCK ENHANCED EQT DIV T COM 09251A104 670 82156 SH SOLE 79260 0 2896 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 739 63869 SH SOLE 57163 0 6706 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 364 66000 SH SOLE 66000 0 0 BLACKROCK MULTI-SECTOR INC T COM 09258A107 523 31736 SH SOLE 30310 0 1426 BLACKSTONE GSO LNG SHRT CR I COM SHS BN INT 09257D102 2235 140413 SH SOLE 125899 0 14514 BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 4035 263024 SH SOLE 245967 0 17057 BOULDER GROWTH & INCOME FD I COM 101507101 1764 197347 SH SOLE 185400 0 11947 BROOKFIELD REAL ASSETS INCOM SHS BEN INT 112830104 2715 121706 SH SOLE 111190 0 10516 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 224 21200 SH SOLE 21200 0 0 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 1595 158081 SH SOLE 148244 0 9837 CALAMOS GBL DYN INCOME FUND COM 12811L107 3201 459278 SH SOLE 439268 0 20010 CALAMOS GLOBAL TOTAL RETURN COM SH BEN INT 128118106 1833 174072 SH SOLE 165946 0 8126 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 2688 261695 SH SOLE 237041 0 24654 CBRE CLARION GLOBAL REAL EST COM 12504G100 400 54807 SH SOLE 37544 0 17263 CENTRAL SECS CORP COM 155123102 7029 322601 SH SOLE 305586 0 17015 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 1534 179372 SH SOLE 149198 0 30174 COHEN & STEERS CLOSED END OP COM 19248P106 1233 105406 SH SOLE 95703 0 9703 COHEN & STEERS QUALITY RLTY COM 19247L106 373 30534 SH SOLE 30534 0 0 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 1551 580971 SH SOLE 533631 0 47340 DELAWARE INVTS DIV & INCOME COM 245915103 1411 141431 SH SOLE 139874 0 1557 DEUTSCHE STRATEGIC INCOME TR SHS 25160F109 150 12598 SH SOLE 9041 0 3557 DOUBLELINE INCOME SOLUTIONS COM 258622109 3117 164141 SH SOLE 151274 0 12867 DREYFUS HIGH YIELD STRATEGIE SH BEN INT 26200S101 635 189000 SH SOLE 170286 0 18714 EATON VANCE ENH EQTY INC FD COM 278277108 352 27475 SH SOLE 26252 0 1223 EATON VANCE ENHANCED EQ INC COM 278274105 2082 167911 SH SOLE 157355 0 10556 EATON VANCE FLTG RATE INCOM COM SHS BEN INT 278284104 853 49746 SH SOLE 45054 0 4692 EATON VANCE RISK MNGD DIV EQ COM 27829G106 2333 260351 SH SOLE 246334 0 14017 EATON VANCE SR INCOME TR SH BEN INT 27826S103 693 103742 SH SOLE 92294 0 11448 EATON VANCE TAX MNGD GBL DV COM 27829F108 1076 134204 SH SOLE 125789 0 8415 EATON VANCE TX ADV GLBL DIV COM 27828S101 1365 97011 SH SOLE 94382 0 2629 EATON VANCE TX MGD DIV EQ IN COM 27828N102 889 85918 SH SOLE 83171 0 2747 EUROPEAN EQUITY FUND COM 298768102 2484 321770 SH SOLE 294925 0 26845 FIRST TR DYNAMIC EUROPE EQT COM SHS 33740d107 882 56855 SH SOLE 53825 0 3030 FIRST TR ENHANCED EQTY INC F COM 337318109 1055 78062 SH SOLE 78062 0 0 FRANKLIN UNVL TR SH BEN INT 355145103 353 52789 SH SOLE 47426 0 5363 GABELLI CONV&INCOM SECS FD I COM 36240B109 625 132967 SH SOLE 124976 0 7991 GABELLI DIVD & INCOME TR COM 36242H104 1001 49966 SH SOLE 38478 0 11488 GABELLI EQUITY TR INC COM 362397101 990 179267 SH SOLE 173947 0 5320 GABELLI MULTIMEDIA TR INC COM 36239Q109 1448 200034 SH SOLE 195602 0 4432 GUGGENHEIM CR ALLOCATION FD COM 40168G108 1053 47137 SH SOLE 44549 0 2588 GUGGENHEIM EQ WEIGHT ENHANC COM SH BEN INT 40167M106 5262 321450 SH SOLE 292641 0 28809 HANCOCK JOHN PFD INCOME FD I COM 41021P103 292 16450 SH SOLE 14171 0 2279 INVESCO DYNAMIC CR OPP FD COM 46132R104 1894 153983 SH SOLE 142296 0 11687 INVESCO SR INCOME TR COM 46131H107 346 74600 SH SOLE 68316 0 6284 IVY HIGH INC OPPORTUNITIES F COM 465893105 585 39635 SH SOLE 37788 0 1847 KKR INCOME OPPORTUNITIES FD COM 48249T106 2623 163619 SH SOLE 157455 0 6164 LAZARD GLB TTL RET&INCM FD I COM 52106W103 1304 94870 SH SOLE 84699 0 10171 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 4215 816921 SH SOLE 767231 0 49690 LIBERTY ALL-STAR GROWTH FD I COM 529900102 4961 1186956 SH SOLE 1136763 0 50193 LMP CAP & INCOME FD INC COM 50208A102 278 20921 SH SOLE 18834 0 2087 MACQUARIE FT TR GB INF UT DI COM 55607W100 177 15500 SH SOLE 15500 0 0 MFS INTER INCOME TR SH BEN INT 55273C107 342 76916 SH SOLE 76916 0 0 MFS INTERMEDIATE HIGH INC FD SH BEN INT 59318T109 344 133242 SH SOLE 130657 0 2585 MFS SPL VALUE TR SH BEN INT 55274E102 2091 375475 SH SOLE 361454 0 14021 MILLER HOWARD HIGH INC EQTY COM SHS BEN IN 600379101 806 65077 SH SOLE 64076 0 1001 NEW GERMANY FD INC COM 644465106 1928 147521 SH SOLE 139752 0 7769 NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 5302 405389 SH SOLE 384804 0 20585 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 704 79500 SH SOLE 77602 0 1898 NUVEEN DOW 30 DYN OVERWRITE SHS 67075F105 165 11006 SH SOLE 11006 0 0 NUVEEN FLEXIBLE INVT INCOME COM 67075B104 224 13437 SH SOLE 13231 0 206 NUVEEN NASDAQ 100 DYNAMIC OV COM SHS 670699107 589 31757 SH SOLE 27780 0 3977 NUVEEN PREFERRED SECURITIES COM 67072C105 279 30000 SH SOLE 26976 0 3024 NUVEEN REAL ASSET INC & GROW COM 67074Y105 202 12864 SH SOLE 12864 0 0 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 3634 285670 SH SOLE 274230 0 11440 NUVEEN TAX ADVANTAGED DIV GR COM 67073G105 3866 277506 SH SOLE 265004 0 12502 NUVEEN TX ADV TOTAL RET STRG COM 67090H102 2808 248069 SH SOLE 226433 0 21636 PIMCO INCOME OPPORTUNITY FD COM 72202B100 285 12307 SH SOLE 10714 0 1593 PIMCO INCOME STRATEGY FUND COM 72201H108 3398 321483 SH SOLE 303273 0 18210 PIMCO INCOME STRATEGY FUND I COM 72201J104 2350 247660 SH SOLE 225993 0 21667 PIONEER DIV HIGH INCOME TRUS COM 723653101 3231 201698 SH SOLE 188911 0 12787 PIONEER FLOATING RATE TR COM 72369J102 142 12000 SH SOLE 12000 0 0 PIONEER HIGH INCOME TR COM 72369H106 263 25792 SH SOLE 25792 0 0 PRINCIPAL REAL ESTATE INCOME SHS BEN INT 74255X104 190 11924 SH SOLE 11924 0 0 PRUDENTIAL GLB SHT DUR HG YL COM 74433A109 205 13800 SH SOLE 7213 0 6587 PRUDENTIAL SHT DURATION HG Y COM 74442F107 2754 177912 SH SOLE 154549 0 23363 RIVERNORTH OPPRTUNITIES FD I COM 76881y109 599 31704 SH SOLE 30230 0 1474 ROYCE GLOBAL VALUE TR INC COM 78081T104 182 22610 SH SOLE 21227 0 1383 ROYCE MICRO-CAP TR INC COM 780915104 2440 299053 SH SOLE 273649 0 25404 ROYCE VALUE TR INC COM 780910105 764 57049 SH SOLE 53071 0 3978 SOURCE CAP INC COM 836144105 3101 86272 SH SOLE 84506 0 1766 SPECIAL OPPORTUNITIES FD INC COM 84741T104 840 61547 SH SOLE 61547 0 0 SPROTT FOCUS TR INC COM 85208J109 118 17005 SH SOLE 17005 0 0 SWISS HELVETIA FD INC COM 870875101 491 48116 SH SOLE 47542 0 574 TEMPLETON GLOBAL INCOME FD COM 880198106 2103 324518 SH SOLE 285568 0 38950 THL CR SR LN FD COM 87244R103 1775 94733 SH SOLE 81695 0 13038 TRI CONTL CORP COM 895436103 623 28241 SH SOLE 28241 0 0 VIRTUS GLOBAL MULTI-SEC INC COM 92829B101 1873 122157 SH SOLE 115333 0 6824 VIRTUS TOTAL RETURN FD COM 92829A103 3046 681356 SH SOLE 608538 0 72818 VOYA GLBL ADV & PREM OPP FD COM 92912R104 1278 130027 SH SOLE 112992 0 17035 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 1809 266814 SH SOLE 249559 0 17255 WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD 94987B105 407 48040 SH SOLE 47039 0 1001 WESTERN ASSET GLB HI INCOME COM 95766B109 2767 281436 SH SOLE 259822 0 21614 WESTERN ASSET GLOBAL CP DEFI COM 95790C107 817 47746 SH SOLE 46722 0 1024 WESTERN ASSET HGH YLD DFNDFD COM 95768B107 646 42957 SH SOLE 37937 0 5020 WESTERN ASSET HIGH INCM FD I COM 95766J102 2558 361315 SH SOLE 335529 0 25786 WESTERN ASSET HIGH INCM OPP COM 95766K109 63 12590 SH SOLE 12590 0 0 ZWEIG FD COM NEW 989834205 1226 102136 SH SOLE 96410 0 5726