0001172661-19-000296.txt : 20190204
0001172661-19-000296.hdr.sgml : 20190204
20190204161547
ACCESSION NUMBER: 0001172661-19-000296
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20181231
FILED AS OF DATE: 20190204
DATE AS OF CHANGE: 20190204
EFFECTIVENESS DATE: 20190204
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: 19563851
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
12-31-2018
12-31-2018
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
02-04-2019
0
122
177126
INFORMATION TABLE
2
infotable.xml
ABERDEEN ASIA PACIFIC INCOM
COM
003009107
351
90721
SH
SOLE
83053
0
7668
ABERDEEN GLOBAL DYNAMIC DIVI
COM
00302M106
2342
275260
SH
SOLE
261606
0
13654
ABERDEEN GLOBAL INCOME FD IN
COM
003013109
849
119192
SH
SOLE
117571
0
1621
ABERDEEN INCOME CR STRATEGIE
COM
003057106
1944
185458
SH
SOLE
155988
0
29470
ABERDEEN TOTAL DYNAMIC DIVD
COM SH BEN INT
00326L100
672
93137
SH
SOLE
93137
0
0
ADAMS DIVERSIFIED EQUITY FD
COM
006212104
561
44437
SH
SOLE
42357
0
2080
ALLIANZGI CON INCM 2024 TARG
COM
01883H102
3396
425527
SH
SOLE
371436
0
54091
ALLIANZGI NFJ DIVID INT & PR
COM
01883A107
378
35412
SH
SOLE
33215
0
2197
APOLLO SR FLOATING RATE FD I
COM
037636107
270
18753
SH
SOLE
15736
0
3017
APOLLO TACTICAL INCOME FD IN
COM
037638103
3069
222862
SH
SOLE
199605
0
23257
ARES DYNAMIC CR ALLOCATION F
COM
04014F102
3604
261184
SH
SOLE
236254
0
24930
BLACKROCK 2022 GBL INCM OPP
COM
09258P104
89
10700
SH
SOLE
10700
0
0
BLACKROCK DEBT STRAT FD INC
COM NEW
09255R202
538
55102
SH
SOLE
51806
0
3296
BLACKROCK ENH CAP & INC FD I
COM
09256A109
2496
177252
SH
SOLE
170872
0
6380
BLACKROCK ENHANCED EQT DIV T
COM
09251A104
4397
565886
SH
SOLE
510669
0
55217
BLACKROCK ENHANCED GBL DIV T
COM
092501105
358
38156
SH
SOLE
38156
0
0
BLACKROCK FLOAT RATE OME STR
COM
09255X100
636
53479
SH
SOLE
53479
0
0
BLACKROCK FLOATING RATE INCO
COM
091941104
675
58449
SH
SOLE
54750
0
3699
BLACKROCK LTD DURATION INC T
COM SHS
09249W101
784
58667
SH
SOLE
56884
0
1783
BLACKROCK MULTI-SECTOR INC T
COM
09258A107
2903
188987
SH
SOLE
173727
0
15260
BLACKSTONE GSO FLTING RTE FU
COM
09256U105
934
60916
SH
SOLE
43496
0
17420
BLACKSTONE GSO LNG SHRT CR I
COM SHS BN INT
09257D102
2290
166650
SH
SOLE
149739
0
16911
BLACKSTONE GSO STRATEGIC CR
COM SHS BEN IN
09257R101
1878
139443
SH
SOLE
130379
0
9064
BOULDER GROWTH & INCOME FD I
COM
101507101
1423
136428
SH
SOLE
130706
0
5722
BROOKFIELD REAL ASSETS INCOM
SHS BEN INT
112830104
3699
193969
SH
SOLE
173485
0
20484
CALAMOS CONV & HIGH INCOME F
COM SHS
12811P108
1600
170215
SH
SOLE
137329
0
32886
CALAMOS CONV OPP AND INC FD
SH BEN INT
128117108
189
21323
SH
SOLE
20753
0
570
CALAMOS GBL DYN INCOME FUND
COM
12811L107
165
25200
SH
SOLE
25200
0
0
CALAMOS STRATEGIC TOTL RETN
COM SH BEN INT
128125101
3253
307210
SH
SOLE
295552
0
11658
CENTRAL SECS CORP
COM
155123102
6642
267491
SH
SOLE
250480
0
17011
CHINA FD INC
COM
169373107
712
42145
SH
SOLE
32209
0
9936
CLOUGH GLOBAL DIVND AND INC
COM
18913Y103
2384
238209
SH
SOLE
229460
0
8749
CLOUGH GLOBAL EQUITY FD
COM
18914C100
121
11188
SH
SOLE
11188
0
0
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
639
77588
SH
SOLE
71295
0
6293
COHEN & STEERS REIT & PFD IN
COM
19247X100
456
25602
SH
SOLE
25602
0
0
COLUMBIA SELIGM PREM TECH GR
COM
19842X109
235
14000
SH
SOLE
10178
0
3822
CREDIT SUISSE ASSET MGMT INC
COM
224916106
617
222774
SH
SOLE
190278
0
32496
CREDIT SUISSE HIGH YLD BND F
SH BEN INT
22544F103
35
16000
SH
SOLE
16000
0
0
DELAWARE ENHANCED GBL DIV &
COM
246060107
364
41800
SH
SOLE
28838
0
12962
DOUBLELINE INCOME SOLUTIONS
COM
258622109
3562
205554
SH
SOLE
188841
0
16713
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
989
52208
SH
SOLE
37601
0
14607
DREYFUS ALCENTRA GBL CR INCO
COM
26189A105
3646
474741
SH
SOLE
425970
0
48771
EAGLE PT CR CO LLC
COM
269808101
623
43853
SH
SOLE
32677
0
11176
EATON VANCE ENHANCED EQ INC
COM
278274105
1196
92387
SH
SOLE
90074
0
2313
EATON VANCE HIGH INCOME 2021
COM SH BEN INT
27829W101
663
74300
SH
SOLE
54566
0
19734
EATON VANCE RISK MNGD DIV EQ
COM
27829G106
1614
198779
SH
SOLE
179944
0
18835
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
384
63999
SH
SOLE
51806
0
12193
EATON VANCE TAX ADVT DIV INC
COM
27828G107
4555
239883
SH
SOLE
222597
0
17286
EATON VANCE TAX MNGD GBL DV
COM
27829F108
829
111167
SH
SOLE
111167
0
0
EATON VANCE TAX MNGED BUY WR
COM
27828X100
561
41747
SH
SOLE
41747
0
0
EATON VANCE TX ADV GLB DIV O
COM
27828U106
1411
75186
SH
SOLE
65915
0
9271
EATON VANCE TX ADV GLBL DIV
COM
27828S101
4041
298449
SH
SOLE
257951
0
40498
EATON VANCE TX MGD DIV EQ IN
COM
27828N102
1001
98185
SH
SOLE
97161
0
1024
EATON VANCE TXMGD GL BUYWR O
COM
27829C105
803
84290
SH
SOLE
73756
0
10534
ELLSWORTH GRWTH AND INCOME L
COM
289074106
93
10865
SH
SOLE
10865
0
0
EUROPEAN EQUITY FUND
COM
298768102
1770
228926
SH
SOLE
212057
0
16869
FIRST TR ENHANCED EQTY INC F
COM
337318109
2522
195187
SH
SOLE
173849
0
21338
FIRST TR SR FLG RTE INCM FD
COM
33733U108
682
60901
SH
SOLE
51702
0
9199
FLAHERTY & CRUMRINE DYN PFD
SHS
33848W106
374
18337
SH
SOLE
18337
0
0
FRANKLIN LTD DURATION INC TR
COM
35472T101
702
77778
SH
SOLE
73516
0
4262
GABELLI CONV&INCOM SECS FD I
COM
36240B109
737
167886
SH
SOLE
167886
0
0
GABELLI DIVD & INCOME TR
COM
36242H104
7423
405616
SH
SOLE
379052
0
26564
GABELLI EQUITY TR INC
COM
362397101
321
63000
SH
SOLE
63000
0
0
GENERAL AMERN INVS INC
COM
368802104
1832
64427
SH
SOLE
61207
0
3220
GUGGENHEIM CR ALLOCATION FD
COM
40168G108
867
47130
SH
SOLE
44838
0
2292
GUGGENHEIM ENHNCD EQTY INCM
COM
40167B100
1671
246507
SH
SOLE
219039
0
27468
HANCOCK JOHN INV TRUST
TAX ADV GLB SH
41013P749
81
12180
SH
SOLE
12180
0
0
HANCOCK JOHN INVS TR
COM
410142103
713
50475
SH
SOLE
48891
0
1584
HANCOCK JOHN PFD INCOME FD I
COM
41021P103
190
12000
SH
SOLE
12000
0
0
HANCOCK JOHN TAX-ADV DIV INC
COM
41013V100
202
9904
SH
SOLE
9662
0
242
HERZFELD CARIBBEAN BASIN FD
COM
42804T106
592
120906
SH
SOLE
115595
0
5311
INVESCO SR INCOME TR
COM
46131H107
47
12000
SH
SOLE
12000
0
0
IVY HIGH INC OPPORTUNITIES F
COM
465893105
1324
109156
SH
SOLE
105435
0
3721
JOHN HANCOCK HDG EQ & INC FD
COM
47804L102
1470
112410
SH
SOLE
109192
0
3218
KKR INCOME OPPORTUNITIES FD
COM
48249T106
4115
288747
SH
SOLE
254902
0
33845
LIBERTY ALL STAR EQUITY FD
SH BEN INT
530158104
4401
817993
SH
SOLE
786445
0
31548
LMP CAP & INCOME FD INC
COM
50208A102
122
11463
SH
SOLE
11463
0
0
MADISON CVRED CALL & EQ STR
COM
557437100
70
11303
SH
SOLE
11303
0
0
MFS INTERMEDIATE HIGH INC FD
SH BEN INT
59318T109
1082
505596
SH
SOLE
476732
0
28864
MFS SPL VALUE TR
SH BEN INT
55274E102
86
17385
SH
SOLE
17085
0
300
MORGAN STANLEY CHINA A SH FD
COM
617468103
470
25758
SH
SOLE
24236
0
1522
NEW GERMANY FD INC
COM
644465106
1837
157032
SH
SOLE
151469
0
5563
NEW IRELAND FUND INC
COM
645673104
977
116958
SH
SOLE
94473
0
22485
NUVEEN CORE EQUITY ALPHA FUN
COM
67090X107
4092
340139
SH
SOLE
325342
0
14797
NUVEEN CR OPPORTUNITIES 2022
COM
67075U102
529
62471
SH
SOLE
62471
0
0
NUVEEN DOW 30 DYN OVERWRITE
SHS
67075F105
830
51470
SH
SOLE
49410
0
2060
NUVEEN GLOBAL HIGH INCOME FD
SHS
67075G103
152
11108
SH
SOLE
9885
0
1223
NUVEEN PFD & INCM OPPORTNYS
COM
67073B106
130
15600
SH
SOLE
15600
0
0
NUVEEN REAL ASSET INM AND GW
COM
67074Y105
198
14500
SH
SOLE
12186
0
2314
NUVEEN S&P 500 BUY-WRITE INC
COM
6706ER101
1295
107302
SH
SOLE
102897
0
4405
NUVEEN S&P 500 DYN OVERWRITE
COM
6706EW100
398
28322
SH
SOLE
24353
0
3969
NUVEEN SHT DUR CR OPP FD
COM
67074X107
1136
79286
SH
SOLE
79182
0
104
NUVEEN TAX ADVANTAGED DIV GR
COM
67073G105
5093
380082
SH
SOLE
345342
0
34740
NUVEEN TX ADV TOTAL RET STRG
COM
67090H102
5932
584437
SH
SOLE
550239
0
34198
PIMCO CORPORATE INCOME STRAT
COM
72200U100
593
39856
SH
SOLE
35111
0
4745
PIMCO DYNMIC CREDIT AND MRT
COM SHS
72202D106
3037
144298
SH
SOLE
132958
0
11340
PIMCO INCOME STRATEGY FUND
COM
72201H108
2496
229642
SH
SOLE
210771
0
18871
PIMCO INCOME STRATEGY FUND I
COM
72201J104
3700
388242
SH
SOLE
333757
0
54485
PIONEER FLOATING RATE TR
COM
72369J102
2975
302387
SH
SOLE
260843
0
41544
PIONEER HIGH INCOME TR
COM
72369H106
359
45037
SH
SOLE
42697
0
2340
PUTNAM PREMIER INCOME TR
SH BEN INT
746853100
273
58128
SH
SOLE
58128
0
0
RIVERNORTH DOUBLELINE STRATE
COM
76882G107
743
45726
SH
SOLE
27907
0
17819
ROYCE GLOBAL VALUE TR INC
COM
78081T104
163
18327
SH
SOLE
10824
0
7503
ROYCE MICRO-CAP TR INC
COM
780915104
1499
201988
SH
SOLE
182159
0
19829
ROYCE VALUE TR INC
COM
780910105
2587
219250
SH
SOLE
194442
0
24808
SOURCE CAP INC
COM
836144105
994
30531
SH
SOLE
28611
0
1920
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
5054
426878
SH
SOLE
402106
0
24772
SPECIAL OPPORTUNITIES FD INC
PFD CONV SE B
84741T302
835
33482
SH
SOLE
30473
0
3009
SPROTT FOCUS TR INC
COM
85208J109
2013
348207
SH
SOLE
340035
0
8172
TEKLA HEALTHCARE INVS
SH BEN INT
87911J103
383
21316
SH
SOLE
20264
0
1052
TEMPLETON DRAGON FD INC
COM
88018T101
457
26854
SH
SOLE
26854
0
0
TRI CONTL CORP
COM
895436103
1687
71740
SH
SOLE
66464
0
5276
VIRTUS GLOBAL MULTI-SEC INC
COM
92829B101
1305
117799
SH
SOLE
102167
0
15632
VOYA ASIA PAC DIVID EQUITY I
COM
92912J102
310
36400
SH
SOLE
22423
0
13977
VOYA EMERGING MKTS HIGH DIVI
COM
92912P108
364
49936
SH
SOLE
49936
0
0
VOYA GLBL ADV & PREM OPP FD
COM
92912R104
1812
196967
SH
SOLE
185617
0
11350
VOYA GLBL EQTY DIV & PREM OP
COM
92912T100
893
152378
SH
SOLE
145249
0
7129
WELLS FARGO MULTI SECTOR INC
COM
94987D101
822
74150
SH
SOLE
68548
0
5602
WESTERN ASSET GLB HI INCOME
COM
95766B109
298
36093
SH
SOLE
36093
0
0
WESTERN ASSET HIGH INCM FD I
COM
95766J102
96
16605
SH
SOLE
16605
0
0
WESTERN ASSET HIGH INCM OPP
COM
95766K109
128
29300
SH
SOLE
29300
0
0
XAI OCTAGON FLOATNG RATE ALT
COM
98400T106
866
118444
SH
SOLE
99085
0
19359