0001172661-17-001163.txt : 20170515
0001172661-17-001163.hdr.sgml : 20170515
20170515125815
ACCESSION NUMBER: 0001172661-17-001163
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170515
DATE AS OF CHANGE: 20170515
EFFECTIVENESS DATE: 20170515
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: 17842809
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
03-31-2017
03-31-2017
false
Shaker Financial Services, LLC
1220 N. Fillmore St.
Suite 400
Arlington
VA
22201
13F HOLDINGS REPORT
028-14234
N
Kathryn S. Baummer
Partner/Infotech Research and Development
410-224-0572
/s/ Kathryn S. Baummer
Arlington
VA
05-15-2017
0
110
176542
INFORMATION TABLE
2
infotable.xml
ABERDEEN GLOBAL INCOME FD IN
COM
003013109
1961
233434
SH
SOLE
221761
0
11673
ADAMS DIVERSIFIED EQUITY FD
COM
006212104
7331
533138
SH
SOLE
497947
0
35191
ADVENT CLAY CONV SEC INC FD
COM
007639107
119
19474
SH
SOLE
13474
0
6000
ADVENT CLAYMORE CV SECS & IN
COM
00764C109
166
10570
SH
SOLE
10570
0
0
ADVENT CLAYMORE ENH GRW & IN
COM
00765E104
183
21626
SH
SOLE
21626
0
0
ALLIANCEBERNSTEIN GBL HGH IN
COM
01879R106
1777
141264
SH
SOLE
130006
0
11258
ALLIANZGI DIVERS INC & CNV F
COM
01883J108
334
16439
SH
SOLE
15444
0
995
ALLIANZGI EQUITY & CONV INCO
COM
018829101
1302
67453
SH
SOLE
67453
0
0
ALPINE TOTAL DYNAMIC DIVID F
COM SH BEN INT N
021060207
1357
164255
SH
SOLE
149912
0
14343
ARES DYNAMIC CR ALLOCATION F
COM
04014F102
161
10027
SH
SOLE
8683
0
1344
AVENUE INCOME CR STRATEGIES
COM
05358E106
1028
73645
SH
SOLE
61915
0
11730
BANCROFT FUND LTD
COM
059695106
591
28083
SH
SOLE
25264
0
2819
BLACKROCK CORPOR HI YLD FD I
COM
09255P107
1025
93840
SH
SOLE
93043
0
797
BLACKROCK CR ALLCTN INC TR
COM
092508100
632
48015
SH
SOLE
43246
0
4769
BLACKROCK ENH CAP & INC FD I
COM
09256A109
3033
211810
SH
SOLE
206030
0
5780
BLACKROCK GLOBAL OPP EQTY TR
COM
092501105
445
35849
SH
SOLE
24349
0
11500
BLACKROCK INTL GRWTH & INC T
COM BENE INTER
092524107
2217
382872
SH
SOLE
375246
0
7626
BLACKROCK LTD DURATION INC T
COM SHS
09249W101
607
38984
SH
SOLE
38984
0
0
BLACKSTONE GSO LNG SHRT CR I
COM SHS BN INT
09257D102
2706
168273
SH
SOLE
153764
0
14509
BLACKSTONE GSO STRATEGIC CR
COM SHS BEN IN
09257R101
3889
245511
SH
SOLE
230658
0
14853
BOULDER GROWTH & INCOME FD I
COM
101507101
1575
169403
SH
SOLE
155936
0
13467
BROOKFIELD GLOBL LISTED INFR
COM SHS
11273Q109
730
55340
SH
SOLE
55340
0
0
BROOKFIELD REAL ASSETS INCOM
SHS BEN INT
112830104
827
36306
SH
SOLE
36306
0
0
CALAMOS GBL DYN INCOME FUND
COM
12811L107
78
10000
SH
SOLE
10000
0
0
CBRE CLARION GLOBAL REAL EST
COM
12504G100
400
53602
SH
SOLE
42040
0
11562
CENTRAL SECS CORP
COM
155123102
7581
316342
SH
SOLE
295464
0
20878
COHEN & STEERS CLOSED END OP
COM
19248P106
1686
135915
SH
SOLE
129384
0
6531
COHEN & STEERS GLOBAL INC BL
COM
19248M103
738
80620
SH
SOLE
76105
0
4515
COHEN & STEERS QUALITY RLTY
COM
19247L106
695
56512
SH
SOLE
48528
0
7984
COHEN & STEERS TOTAL RETURN
COM
19247R103
312
25354
SH
SOLE
25354
0
0
CREDIT SUISSE ASSET MGMT INC
COM
224916106
317
95964
SH
SOLE
83072
0
12892
CREDIT SUISSE HIGH YLD BND F
SH BEN INT
22544F103
542
202995
SH
SOLE
201483
0
1512
DELAWARE INVTS DIV & INCOME
COM
245915103
1835
177765
SH
SOLE
170690
0
7075
DEUTSCHE MULTI-MKT INCOME TR
SHS
25160E102
1642
188725
SH
SOLE
154592
0
34133
DEUTSCHE STRATEGIC INCOME TR
SHS
25160F109
154
12598
SH
SOLE
9041
0
3557
DOUBLELINE INCOME SOLUTIONS
COM
258622109
615
30653
SH
SOLE
28922
0
1731
DREYFUS HIGH YIELD STRATEGIE
SH BEN INT
26200S101
1944
573510
SH
SOLE
538827
0
34683
DUFF & PHELPS UTIL CORP BD T
COM
26432K108
1199
130165
SH
SOLE
118112
0
12053
EAGLE GRWTH & INCOME OPPTY F
COM SHS BEN IN
26958j105
1112
65605
SH
SOLE
59685
0
5920
EATON VANCE ENH EQTY INC FD
COM
278277108
3117
230750
SH
SOLE
219802
0
10948
EATON VANCE ENHANCED EQ INC
COM
278274105
1882
143591
SH
SOLE
130085
0
13506
EATON VANCE FLTG RATE INCOM
COM SHS BEN INT
278284104
3106
184320
SH
SOLE
175697
0
8623
EATON VANCE LTD DUR INCOME F
COM
27828H105
724
52385
SH
SOLE
49754
0
2631
EATON VANCE RISK MNGD DIV EQ
COM
27829G106
1609
177209
SH
SOLE
162538
0
14671
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
475
70065
SH
SOLE
62303
0
7762
EATON VANCE TAX MNGD GBL DV
COM
27829F108
311
36500
SH
SOLE
36500
0
0
EATON VANCE TAX-ADV BD & OPT
COM SH BEN INT
27829M103
575
51903
SH
SOLE
42192
0
9711
EATON VANCE TX ADV GLBL DIV
COM
27828S101
195
12464
SH
SOLE
12464
0
0
ELLSWORTH GROWTH & INCOME FD
COM
289074106
439
50816
SH
SOLE
50816
0
0
EUROPEAN EQUITY FUND
COM
298768102
2657
319330
SH
SOLE
292485
0
26845
FIRST TR ABERDEEN GLBL OPP F
COM SHS
337319107
146
12600
SH
SOLE
12600
0
0
FIRST TR ENHANCED EQTY INC F
COM
337318109
1498
103717
SH
SOLE
103373
0
344
FIRST TR HIGH INCOME L/S FD
COM
33738E109
551
33102
SH
SOLE
28369
0
4733
FRANKLIN UNVL TR
SH BEN INT
355145103
642
91827
SH
SOLE
86464
0
5363
GABELLI DIVD & INCOME TR
COM
36242H104
388
18616
SH
SOLE
16881
0
1735
GABELLI GLB SML & MD CP VAL
COM
36249W104
137
12000
SH
SOLE
12000
0
0
GABELLI GLOBL UTIL & INCOME
COM SH BEN INT
36242L105
314
6157
SH
SOLE
6157
0
0
GABELLI MULTIMEDIA TR INC
COM
36239Q109
570
70584
SH
SOLE
68338
0
2246
GENERAL AMERN INVS INC
COM
368802104
4872
145400
SH
SOLE
139102
0
6298
GUGGENHEIM ENHNCD EQTY INCM
COM
40167B100
3197
395664
SH
SOLE
371267
0
24397
HANCOCK JOHN PFD INCOME FD I
COM
41021P103
643
34853
SH
SOLE
32574
0
2279
HANCOCK JOHN TAX-ADV DIV INC
COM
41013V100
340
13798
SH
SOLE
13798
0
0
HERZFELD CARIBBEAN BASIN FD
COM
42804T106
206
29128
SH
SOLE
29128
0
0
INVESCO DYNAMIC CR OPP FD
COM
46132R104
3224
263596
SH
SOLE
243527
0
20069
INVESCO HIGH INCOME TR II
COM
46131F101
560
38840
SH
SOLE
34414
0
4426
INVESCO SR INCOME TR
COM
46131H107
730
157644
SH
SOLE
151360
0
6284
KKR INCOME OPPORTUNITIES FD
COM
48249T106
832
48894
SH
SOLE
42867
0
6027
LAZARD GLB TTL RET&INCM FD I
COM
52106W103
2409
160504
SH
SOLE
144324
0
16180
LIBERTY ALL STAR EQUITY FD
SH BEN INT
530158104
4862
890494
SH
SOLE
817067
0
73427
LIBERTY ALL-STAR GROWTH FD I
COM
529900102
5682
1251533
SH
SOLE
1205409
0
46124
MFS CHARTER INCOME TR
SH BEN INT
552727109
1140
132358
SH
SOLE
126300
0
6058
MFS INTER INCOME TR
SH BEN INT
55273C107
340
78980
SH
SOLE
78980
0
0
MFS SPL VALUE TR
SH BEN INT
55274E102
1142
196610
SH
SOLE
183687
0
12923
MORGAN STANLEY EMER MKTS DEB
COM
61744H105
414
44334
SH
SOLE
41875
0
2459
NEUBERGER BERMAN HGH YLD FD
COM
64128C106
1378
115971
SH
SOLE
91268
0
24703
NEW GERMANY FD INC
COM
644465106
3045
206189
SH
SOLE
196927
0
9262
NUVEEN CORE EQUITY ALPHA FUN
COM
67090X107
7592
545042
SH
SOLE
514555
0
30487
NUVEEN CR STRATEGIES INCM FD
COM SHS
67073D102
2208
254107
SH
SOLE
243909
0
10198
NUVEEN DIVERSIFIED DIV INCM
COM
6706EP105
356
30108
SH
SOLE
24187
0
5921
NUVEEN DOW 30 DYN OVERWRITE
SHS
67075F105
1205
77027
SH
SOLE
72594
0
4433
NUVEEN GLOBAL HIGH INCOME FD
SHS
67075G103
528
32038
SH
SOLE
30955
0
1083
NUVEEN PFD INCOME OPPRTNY FD
COM
67073B106
1380
140644
SH
SOLE
132902
0
7742
NUVEEN S&P 500 DYN OVERWRITE
COM
6706EW100
723
48808
SH
SOLE
47756
0
1052
NUVEEN TAX ADVANTAGED DIV GR
COM
67073G105
4644
310840
SH
SOLE
297201
0
13639
NUVEEN TX ADV TOTAL RET STRG
COM
67090H102
3306
270135
SH
SOLE
251693
0
18442
PIONEER DIV HIGH INCOME TRUS
COM
723653101
3796
234628
SH
SOLE
221783
0
12845
PIONEER HIGH INCOME TR
COM
72369H106
2889
292727
SH
SOLE
286100
0
6627
PRUDENTIAL GLB SHT DUR HG YL
COM
74433A109
354
23743
SH
SOLE
18428
0
5315
PRUDENTIAL SHT DURATION HG Y
COM
74442F107
4323
281055
SH
SOLE
253867
0
27188
RIVERNORTH OPPRTUNITIES FD I
COM
76881y109
987
50329
SH
SOLE
46809
0
3520
ROYCE MICRO-CAP TR INC
COM
780915104
1917
228483
SH
SOLE
223512
0
4971
ROYCE VALUE TR INC
COM
780910105
1060
75701
SH
SOLE
72612
0
3089
SOURCE CAP INC
COM
836144105
4339
115534
SH
SOLE
109831
0
5703
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
1653
113167
SH
SOLE
113167
0
0
SPECIAL OPPORTUNITIES FD INC
PFD CONV SE B
84741T302
929
36515
SH
SOLE
35683
0
832
SPROTT FOCUS TR INC
COM
85208J109
167
22470
SH
SOLE
22470
0
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
2131
320499
SH
SOLE
298841
0
21658
THL CR SR LN FD
COM
87244R103
420
23338
SH
SOLE
21333
0
2005
TRI CONTL CORP
COM
895436103
811
35098
SH
SOLE
33326
0
1772
VIRTUS TOTAL RETURN FD
COM
92829A103
1104
252711
SH
SOLE
225704
0
27007
VOYA GLBL ADV & PREM OPP FD
COM
92912R104
2811
268203
SH
SOLE
249760
0
18443
VOYA INTL HIGH DIVID EQTY IN
COM
92912Y109
730
104974
SH
SOLE
93596
0
11378
VOYA PRIME RATE TR
SH BEN INT
92913A100
318
58800
SH
SOLE
58800
0
0
WELLS FARGO INCOME OPPORTUNI
WF INC OPPTY FD
94987B105
2652
315682
SH
SOLE
304751
0
10931
WESTERN ASSET GLB HI INCOME
COM
95766B109
2623
259701
SH
SOLE
235313
0
24388
WESTERN ASSET GLOBAL CP DEFI
COM
95790C107
981
56326
SH
SOLE
54957
0
1369
WESTERN ASSET HGH YLD DFNDFD
COM
95768B107
2157
140458
SH
SOLE
130561
0
9897
WESTERN ASSET HIGH INCM FD I
COM
95766J102
2676
370683
SH
SOLE
337905
0
32778
WESTERN ASSET HIGH INCM OPP
COM
95766K109
825
163685
SH
SOLE
156432
0
7253
ZWEIG FD
COM NEW
989834205
2749
247221
SH
SOLE
214413
0
32808