0001172661-18-000274.txt : 20180206
0001172661-18-000274.hdr.sgml : 20180206
20180206110031
ACCESSION NUMBER: 0001172661-18-000274
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20171231
FILED AS OF DATE: 20180206
DATE AS OF CHANGE: 20180206
EFFECTIVENESS DATE: 20180206
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: 18576622
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
12-31-2017
12-31-2017
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
02-06-2018
0
119
211526
INFORMATION TABLE
2
infotable.xml
ABERDEEN ASIA PACIFIC INCOM
COM
003009107
3035
621939
SH
SOLE
536484
0
85455
ABERDEEN INCOME CR STRATEGIE
COM
003057106
3408
242928
SH
SOLE
227183
0
15745
ADAMS DIVERSIFIED EQUITY FD
COM
006212104
440
29284
SH
SOLE
29284
0
0
ADVENT CLAY CONV SEC INC FD
COM
007639107
3127
522089
SH
SOLE
486638
0
35451
ADVENT CLAYMORE CV SECS & IN
COM
00764C109
1077
67829
SH
SOLE
64841
0
2988
ADVENT CLAYMORE ENH GRW & IN
COM
00765E104
765
91805
SH
SOLE
88291
0
3514
ALLIANZGI CON INCM 2024 TARG
COM
01883H102
2060
226423
SH
SOLE
196035
0
30388
ALLIANZGI NFJ DIVID INT & PR
COM
01883A107
5699
436735
SH
SOLE
401968
0
34767
ALPINE GLOBAL DYNAMIC DIVD F
COM NEW
02082E205
2522
233476
SH
SOLE
212016
0
21460
ALPINE TOTAL DYNAMIC DIVID F
COM SH BEN INT N
021060207
257
27118
SH
SOLE
27118
0
0
APOLLO TACTICAL INCOME FD IN
COM
037638103
2230
141557
SH
SOLE
136948
0
4609
ARES DYNAMIC CR ALLOCATION F
COM
04014F102
255
15500
SH
SOLE
15500
0
0
BANCROFT FUND LTD
COM
059695106
402
18487
SH
SOLE
16258
0
2229
BLACKROCK 2022 GBL INCM OPP
COM
09258P104
355
36236
SH
SOLE
36236
0
0
BLACKROCK CORE BD TR
SHS BEN INT
09249E101
288
20500
SH
SOLE
18217
0
2283
BLACKROCK CR ALLCTN INC TR
COM
092508100
542
40664
SH
SOLE
37422
0
3242
BLACKROCK ENH CAP & INC FD I
COM
09256A109
982
59932
SH
SOLE
55956
0
3976
BLACKROCK ENHANCED EQT DIV T
COM
09251A104
3143
340545
SH
SOLE
333678
0
6867
BLACKROCK ENHANCED INTL DIV
COM BENE INTER
092524107
1245
190886
SH
SOLE
184340
0
6546
BLACKROCK FLOAT RATE OME STR
COM
09255X100
674
48844
SH
SOLE
42049
0
6795
BLACKROCK MULTI-SECTOR INC T
COM
09258A107
2212
121886
SH
SOLE
105597
0
16289
BLACKSTONE GSO LNG SHRT CR I
COM SHS BN INT
09257D102
2018
126741
SH
SOLE
119656
0
7085
BOULDER GROWTH & INCOME FD I
COM
101507101
1651
148863
SH
SOLE
144633
0
4230
CALAMOS STRATEGIC TOTL RETN
COM SH BEN INT
128125101
7995
661843
SH
SOLE
623453
0
38390
CENTRAL SECS CORP
COM
155123102
8748
319279
SH
SOLE
302729
0
16550
CHINA FD INC
COM
169373107
580
26811
SH
SOLE
22731
0
4080
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
1576
144811
SH
SOLE
142389
0
2422
COHEN & STEERS GLOBAL INC BL
COM
19248M103
301
30516
SH
SOLE
22670
0
7846
COHEN & STEERS LTD DUR PFD I
COM
19248C105
2274
87217
SH
SOLE
85774
0
1443
CREDIT SUISSE ASSET MGMT INC
COM
224916106
1765
533302
SH
SOLE
490926
0
42376
DELAWARE INVTS DIV & INCOME
COM
245915103
7975
743254
SH
SOLE
710022
0
33232
DEUTSCHE MULTI-MKT INCOME TR
SHS
25160E102
1733
195798
SH
SOLE
165716
0
30082
DEUTSCHE STRATEGIC INCOME TR
SHS
25160F109
661
53142
SH
SOLE
53142
0
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
4076
201900
SH
SOLE
182846
0
19054
DREYFUS ALCENTRA GBL CR INCO
COM
26189A105
1293
137508
SH
SOLE
116139
0
21369
DREYFUS HIGH YIELD STRATEGIE
SH BEN INT
26200S101
1921
575265
SH
SOLE
530123
0
45142
DUFF & PHELPS UTIL CORP BD T
COM
26432K108
1263
142700
SH
SOLE
135747
0
6953
EAGLE GRWTH & INCOME OPPTY F
COM SHS BEN IN
26958j105
2173
130955
SH
SOLE
126578
0
4377
EATON VANCE ENHANCED EQ INC
COM
278274105
640
44096
SH
SOLE
44096
0
0
EATON VANCE FLTG RATE INCOM
COM SHS BEN INT
278284104
2425
148695
SH
SOLE
140143
0
8552
EATON VANCE LTD DUR INCOME F
COM
27828H105
3643
266861
SH
SOLE
246580
0
20281
EATON VANCE RISK MNGD DIV EQ
COM
27829G106
1097
113889
SH
SOLE
111987
0
1902
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
1180
81697
SH
SOLE
67212
0
14485
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
936
143499
SH
SOLE
130667
0
12832
EATON VANCE TX ADV GLBL DIV
COM
27828S101
3050
175973
SH
SOLE
164262
0
11711
EUROPEAN EQUITY FUND
COM
298768102
2308
233797
SH
SOLE
221409
0
12388
FIRST TR ABERDEEN GLBL OPP F
COM SHS
337319107
1271
108988
SH
SOLE
101384
0
7604
FIRST TR DYNAMIC EUROPE EQT
COM SHS
33740d107
511
27134
SH
SOLE
26238
0
896
FIRST TR HIGH INCOME L/S FD
COM
33738E109
2440
147315
SH
SOLE
139208
0
8107
FIRST TR SR FLG RTE INCM FD
COM
33733U108
340
26318
SH
SOLE
26318
0
0
FIRST TR SR FLOATING RATE 20
COM SHS
33740K101
1357
148621
SH
SOLE
125454
0
23167
FIRST TR STRATEGIC HIGH INC
COM SHS NEW
337353304
1955
151874
SH
SOLE
141389
0
10485
GABELLI DIVD & INCOME TR
COM
36242H104
9536
407365
SH
SOLE
380926
0
26439
GABELLI GLB SML & MD CP VAL
COM
36249W104
1186
93116
SH
SOLE
84047
0
9069
GENERAL AMERN INVS INC
COM
368802104
4762
138422
SH
SOLE
132017
0
6405
GUGGENHEIM CR ALLOCATION FD
COM
40168G108
760
34659
SH
SOLE
34659
0
0
GUGGENHEIM ENHNCD EQTY INCM
COM
40167B100
241
27100
SH
SOLE
27100
0
0
HANCOCK JOHN INVS TR
COM
410142103
625
35709
SH
SOLE
33920
0
1789
HANCOCK JOHN PFD INCOME FD I
COM
41021P103
294
15693
SH
SOLE
12615
0
3078
HERZFELD CARIBBEAN BASIN FD
COM
42804T106
537
75149
SH
SOLE
69838
0
5311
INVESCO DYNAMIC CR OPP FD
COM
46132R104
1937
165406
SH
SOLE
158090
0
7316
INVESCO HIGH INCOME 2023 TAR
COM
46135X108
235
24000
SH
SOLE
24000
0
0
IVY HIGH INC OPPORTUNITIES F
COM
465893105
2935
194142
SH
SOLE
183066
0
11076
KKR INCOME OPPORTUNITIES FD
COM
48249T106
1225
76353
SH
SOLE
70408
0
5945
LAZARD GLB TTL RET&INCM FD I
COM
52106W103
2802
155672
SH
SOLE
143283
0
12389
LAZARD WORLD DIVID & INCOME
COM
521076109
557
47933
SH
SOLE
47933
0
0
LIBERTY ALL STAR EQUITY FD
SH BEN INT
530158104
770
122234
SH
SOLE
118263
0
3971
LIBERTY ALL-STAR GROWTH FD I
COM
529900102
513
92629
SH
SOLE
82770
0
9859
LMP CAP & INCOME FD INC
COM
50208A102
1328
95217
SH
SOLE
84258
0
10959
MACQUARIE GLBL INFRA TOTL RE
COM
55608D101
267
10344
SH
SOLE
9697
0
647
MADISON CVRED CALL & EQ STR
COM
557437100
2224
288083
SH
SOLE
279532
0
8551
MADISON STRTG SECTOR PREM FD
COM
558268108
148
12647
SH
SOLE
3855
0
8792
MFS INTER INCOME TR
SH BEN INT
55273C107
144
34660
SH
SOLE
34660
0
0
MORGAN STANLEY CHINA A SH FD
COM
617468103
636
27204
SH
SOLE
25435
0
1769
MORGAN STANLEY EMER MKTS DEB
COM
61744H105
528
52919
SH
SOLE
44759
0
8160
MORGAN STANLEY EMER MKTS FD
COM
61744G107
226
12642
SH
SOLE
12642
0
0
NEW GERMANY FD INC
COM
644465106
3644
187448
SH
SOLE
181630
0
5818
NEW IRELAND FUND INC
COM
645673104
589
47037
SH
SOLE
44472
0
2565
NUVEEN CORE EQUITY ALPHA FUN
COM
67090X107
2313
158411
SH
SOLE
152100
0
6311
NUVEEN CR OPPORTUNITIES 2022
COM
67075U102
1147
120900
SH
SOLE
112977
0
7923
NUVEEN EMERGING MKTS DEBT 20
COM
67077P101
124
13142
SH
SOLE
13142
0
0
NUVEEN GLOBAL HIGH INCOME FD
SHS
67075G103
1246
73663
SH
SOLE
72515
0
1148
NUVEEN PFD & INCOME TERM FD
COM
67075A106
314
12685
SH
SOLE
12685
0
0
NUVEEN S&P 500 BUY-WRITE INC
COM
6706ER101
321
22520
SH
SOLE
22520
0
0
NUVEEN SHT DUR CR OPP FD
COM
67074X107
226
13613
SH
SOLE
13613
0
0
NUVEEN SR INCOME FD
COM
67067Y104
484
74281
SH
SOLE
55978
0
18303
NUVEEN TAX ADVANTAGED DIV GR
COM
67073G105
2529
143875
SH
SOLE
139106
0
4769
NUVEEN TX ADV TOTAL RET STRG
COM
67090H102
4974
356555
SH
SOLE
340206
0
16349
PIMCO DYNMIC CREDIT AND MRT
COM SHS
72202D106
2889
128757
SH
SOLE
118398
0
10359
PIONEER DIV HIGH INCOME TRUS
COM
723653101
2412
153167
SH
SOLE
149702
0
3465
PIONEER FLOATING RATE TR
COM
72369J102
1987
173198
SH
SOLE
163156
0
10042
PIONEER HIGH INCOME TR
COM
72369H106
1525
157033
SH
SOLE
154360
0
2673
PRINCIPAL REAL ESTATE INCOME
SHS BEN INT
74255X104
980
57030
SH
SOLE
54669
0
2361
PRUDENTIAL GLB SHT DUR HG YL
COM
74433A109
771
53539
SH
SOLE
48385
0
5154
PRUDENTIAL SHT DURATION HG Y
COM
74442F107
913
61806
SH
SOLE
58176
0
3630
RIVERNORTH DOUBLELINE STRATE
COM
76882G107
1496
81377
SH
SOLE
81377
0
0
RMR REAL ESTATE INCOME FUND
COM
76970B101
286
14981
SH
SOLE
14432
0
549
ROYCE GLOBAL VALUE TR INC
COM
78081T104
664
61379
SH
SOLE
58802
0
2577
ROYCE MICRO-CAP TR INC
COM
780915104
5639
597398
SH
SOLE
566104
0
31294
SOURCE CAP INC
COM
836144105
7168
175866
SH
SOLE
168229
0
7637
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
5097
342507
SH
SOLE
333442
0
9065
SPECIAL OPPORTUNITIES FD INC
PFD CONV SE B
84741T302
944
36515
SH
SOLE
35683
0
832
SPROTT FOCUS TR INC
COM
85208J109
3699
467030
SH
SOLE
419132
0
47898
SWISS HELVETIA FD INC
COM
870875101
396
31011
SH
SOLE
30577
0
434
TEKLA HEALTHCARE INVS
SH BEN INT
87911J103
304
13500
SH
SOLE
13500
0
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
396
61357
SH
SOLE
59542
0
1815
THL CR SR LN FD
COM
87244R103
1947
115455
SH
SOLE
113083
0
2372
VOYA ASIA PAC DIVID EQUITY I
COM
92912J102
309
29465
SH
SOLE
24868
0
4597
VOYA EMERGING MKTS HIGH DIVI
COM
92912P108
372
41815
SH
SOLE
41815
0
0
VOYA GLBL ADV & PREM OPP FD
COM
92912R104
667
58377
SH
SOLE
54133
0
4244
VOYA GLBL EQTY DIV & PREM OP
COM
92912T100
2085
269011
SH
SOLE
239561
0
29450
VOYA PRIME RATE TR
SH BEN INT
92913A100
120
23757
SH
SOLE
23757
0
0
WELLS FARGO GLOBAL DIVIDEND
COM
94987C103
680
114666
SH
SOLE
104876
0
9790
WELLS FARGO INCOME OPPORTUNI
WF INC OPPTY FD
94987B105
1665
198189
SH
SOLE
185680
0
12509
WELLS FARGO MULTI SECTOR INC
COM
94987D101
870
66639
SH
SOLE
61580
0
5059
WESTERN ASSET GLB HI INCOME
COM
95766B109
3259
318906
SH
SOLE
308863
0
10043
WESTERN ASSET HGH YLD DFNDFD
COM
95768B107
154
10179
SH
SOLE
10179
0
0
WESTERN ASSET HIGH INCM FD I
COM
95766J102
3122
447858
SH
SOLE
425016
0
22842
XAI OCTAGON FLOATNG RATE ALT
COM
98400T106
509
54174
SH
SOLE
52358
0
1816