0001172661-19-002082.txt : 20191030
0001172661-19-002082.hdr.sgml : 20191030
20191030141227
ACCESSION NUMBER: 0001172661-19-002082
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20191030
DATE AS OF CHANGE: 20191030
EFFECTIVENESS DATE: 20191030
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: 191179325
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
09-30-2019
09-30-2019
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
10-30-2019
0
133
196142
INFORMATION TABLE
2
infotable.xml
ABERDEEN ASIA PACIFIC INCOM
COM
003009107
932
222364
SH
SOLE
176759
0
45605
ABERDEEN AUSTRALIA EQTY FD I
COM
003011103
77
14810
SH
SOLE
14810
0
0
ABERDEEN GLOBAL DYNAMIC DIVI
COM
00302M106
2444
253264
SH
SOLE
241876
0
11388
ABERDEEN TOTAL DYNAMIC DIVD
COM SH BEN INT
00326L100
893
107070
SH
SOLE
103889
0
3181
ADVENT CONVERTIBLE & INCOME
COM
00764C109
940
64472
SH
SOLE
64472
0
0
ALLIANCEBERNSTEIN GBL HGH IN
COM
01879R106
1496
124810
SH
SOLE
116759
0
8051
ALLIANZGI CON INCM 2024 TARG
COM
01883H102
1178
125694
SH
SOLE
92787
0
32907
ALLIANZGI CONV INCOME FD II
COM
018825109
255
50600
SH
SOLE
50600
0
0
ALLIANZGI EQUITY & CONV INCO
COM
018829101
777
35971
SH
SOLE
27813
0
8158
ALLIANZGI NFJ DIVID INT & PR
COM
01883A107
3372
275965
SH
SOLE
254734
0
21231
APOLLO SR FLOATING RATE FD I
COM
037636107
1172
79053
SH
SOLE
69312
0
9741
APOLLO TACTICAL INCOME FD IN
COM
037638103
3590
236961
SH
SOLE
221605
0
15356
ARES DYNAMIC CR ALLOCATION F
COM
04014F102
2596
174247
SH
SOLE
161393
0
12854
BANCROFT FUND LTD
COM
059695106
224
9490
SH
SOLE
9490
0
0
BLACKROCK CORPOR HI YLD FD I
COM
09255P107
916
85218
SH
SOLE
81404
0
3814
BLACKROCK DEBT STRAT FD INC
COM NEW
09255R202
2466
229364
SH
SOLE
213764
0
15600
BLACKROCK ENH CAP & INC FD I
COM
09256A109
6813
421573
SH
SOLE
404087
0
17486
BLACKROCK ENHANCED EQT DIV T
COM
09251A104
968
105402
SH
SOLE
101772
0
3630
BLACKROCK ENHANCED GBL DIV T
COM
092501105
518
49636
SH
SOLE
39385
0
10251
BLACKROCK ENHANCED INTL DIV
COM BENE INTER
092524107
818
150584
SH
SOLE
150584
0
0
BLACKROCK FLOAT RATE OME STR
COM
09255X100
1178
93371
SH
SOLE
85664
0
7707
BLACKROCK FLOATING RATE INCO
COM
091941104
453
36895
SH
SOLE
36895
0
0
BLACKROCK LTD DURATION INC T
COM SHS
09249W101
1026
65647
SH
SOLE
60685
0
4962
BLACKROCK MULTI-SECTOR INC T
COM
09258A107
1510
87989
SH
SOLE
79266
0
8723
BNY MELLON ALCENTRA GLOBAL C
COM
05588N108
200
21569
SH
SOLE
18192
0
3377
BNY MELLON HIGH YIELD STRATE
SH BEN INT
09660L105
1610
526285
SH
SOLE
510036
0
16249
BOULDER GROWTH & INCOME FD I
COM
101507101
6136
547883
SH
SOLE
519870
0
28013
BROOKFIELD REAL ASSETS INCOM
SHS BEN INT
112830104
1230
54440
SH
SOLE
49084
0
5356
CALAMOS GBL DYN INCOME FUND
COM
12811L107
268
34295
SH
SOLE
34295
0
0
CALAMOS STRATEGIC TOTL RETN
COM SH BEN INT
128125101
1505
118354
SH
SOLE
105089
0
13265
CBRE CLARION GLOBAL REAL EST
COM
12504G100
229
29000
SH
SOLE
29000
0
0
CENTRAL SECS CORP
COM
155123102
6339
201876
SH
SOLE
183161
0
18715
CHINA FD INC
COM
169373107
832
42857
SH
SOLE
36965
0
5892
CLOUGH GLOBAL DIVND AND INC
COM
18913Y103
1899
175042
SH
SOLE
171174
0
3868
CLOUGH GLOBAL EQUITY FD
COM
18914C100
513
44580
SH
SOLE
36700
0
7880
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
554
60616
SH
SOLE
58333
0
2283
COHEN & STEERS LTD DUR PFD I
COM
19248C105
558
21803
SH
SOLE
21394
0
409
COLUMBIA SELIGM PREM TECH GR
COM
19842X109
217
10282
SH
SOLE
10282
0
0
CREDIT SUISSE ASSET MGMT INC
COM
224916106
550
174658
SH
SOLE
167228
0
7430
DELAWARE ENHANCED GBL DIV &
COM
246060107
304
30795
SH
SOLE
30795
0
0
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
1084
52356
SH
SOLE
47081
0
5275
DUFF & PHELPS UTIL CORP BD T
COM
26432K108
429
46356
SH
SOLE
42434
0
3922
EAGLE GRWTH & INCOME OPPTY F
COM SHS BEN IN
26958j105
316
19831
SH
SOLE
19831
0
0
EATON VANCE FLTG RATE INCOM
COM SHS BEN INT
278284104
294
19345
SH
SOLE
5156
0
14189
EATON VANCE FLTING RATE INC
COM
278279104
709
53667
SH
SOLE
38232
0
15435
EATON VANCE LTD DUR INCOME F
COM
27828H105
3783
302646
SH
SOLE
267236
0
35410
EATON VANCE SH TM DR DIVR IN
COM
27828V104
430
33043
SH
SOLE
32319
0
724
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
361
27715
SH
SOLE
27715
0
0
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
272
44517
SH
SOLE
44517
0
0
EATON VANCE TAX MNGD GBL DV
COM
27829F108
485
59000
SH
SOLE
59000
0
0
EATON VANCE TX ADV GLBL DIV
COM
27828S101
847
51486
SH
SOLE
51025
0
461
EATON VANCE TXMGD GL BUYWR O
COM
27829C105
1128
116773
SH
SOLE
111654
0
5119
ELLSWORTH GRWTH AND INCOME L
COM
289074106
400
38154
SH
SOLE
29232
0
8922
EUROPEAN EQUITY FUND
COM
298768102
1849
207738
SH
SOLE
206242
0
1496
FIRST TR HIGH INCOME L/S FD
COM
33738E109
370
24409
SH
SOLE
22763
0
1646
FIRST TR INTER DUR PFD & IN
COM
33718W103
748
31645
SH
SOLE
30565
0
1080
FIRST TR SR FLG RTE INCM FD
COM
33733U108
1429
119107
SH
SOLE
96141
0
22966
FIRST TR SR FLOATING RATE 20
COM SHS
33740K101
707
79930
SH
SOLE
68949
0
10981
FLAHERTY & CRUMRINE DYN PFD
SHS
33848W106
1040
39831
SH
SOLE
38389
0
1442
FRANKLIN LTD DURATION INC TR
COM
35472T101
1395
149854
SH
SOLE
143509
0
6345
FRANKLIN UNVL TR
SH BEN INT
355145103
758
100545
SH
SOLE
93833
0
6712
GABELLI CONV&INCOM SECS FD I
COM
36240B109
465
87496
SH
SOLE
87496
0
0
GABELLI DIVD & INCOME TR
COM
36242H104
6591
306431
SH
SOLE
280833
0
25598
GABELLI GLB SML & MD CP VAL
COM
36249W104
1831
164554
SH
SOLE
154049
0
10505
GENERAL AMERN INVS INC
COM
368802104
4394
120872
SH
SOLE
115719
0
5153
HANCOCK JOHN INCOME SECS TR
COM
410123103
202
13923
SH
SOLE
13923
0
0
HANCOCK JOHN INV TRUST
TAX ADV GLB SH
41013P749
934
136689
SH
SOLE
127219
0
9470
HANCOCK JOHN INVS TR
COM
410142103
1910
112197
SH
SOLE
108736
0
3461
HERZFELD CARIBBEAN BASIN FD
COM
42804T106
1130
177744
SH
SOLE
172433
0
5311
INVESCO HIGH INCOME 2023 TAR
COM
46135X108
1237
119017
SH
SOLE
93260
0
25757
INVESCO HIGH INCOME TR II
COM
46131F101
410
28601
SH
SOLE
19736
0
8865
INVESCO SR INCOME TR
COM
46131H107
729
173668
SH
SOLE
165825
0
7843
IVY HIGH INC OPPORTUNITIES F
COM
465893105
2904
211793
SH
SOLE
199783
0
12010
JOHN HANCOCK HDG EQ & INC FD
COM
47804L102
2530
182818
SH
SOLE
161543
0
21275
KKR INCOME OPPORTUNITIES FD
COM
48249T106
451
28973
SH
SOLE
27935
0
1038
LAZARD WORLD DIVID & INCOME
COM
521076109
113
12100
SH
SOLE
12100
0
0
LIBERTY ALL STAR EQUITY FD
SH BEN INT
530158104
785
122694
SH
SOLE
111888
0
10806
LMP CAP & INCOME FD INC
COM
50208A102
456
32295
SH
SOLE
30347
0
1948
MADISON CVRED CALL & EQ STR
COM
557437100
939
146723
SH
SOLE
132849
0
13874
MFS CHARTER INCOME TR
SH BEN INT
552727109
1345
161802
SH
SOLE
146162
0
15640
MFS INTER INCOME TR
SH BEN INT
55273C107
739
193519
SH
SOLE
176641
0
16878
MFS INTERMEDIATE HIGH INC FD
SH BEN INT
59318T109
125
48097
SH
SOLE
48097
0
0
MORGAN STANLEY CHINA A SH FD
COM
617468103
527
25758
SH
SOLE
24236
0
1522
NEUBERGER BERMAN HGH YLD FD
COM
64128C106
1019
84434
SH
SOLE
79108
0
5326
NEW GERMANY FD INC
COM
644465106
2056
148358
SH
SOLE
141668
0
6690
NEW IRELAND FUND INC
COM
645673104
844
98544
SH
SOLE
76059
0
22485
NUVEEN CORE EQUITY ALPHA FUN
COM
67090X107
5584
389651
SH
SOLE
365290
0
24361
NUVEEN CR STRATEGIES INCM FD
COM SHS
67073D102
662
88522
SH
SOLE
85377
0
3145
NUVEEN FLOATING RATE INCOME
COM
67072T108
379
39042
SH
SOLE
30478
0
8564
NUVEEN FLTNG RTE INCM OPP FD
COM SHS
6706EN100
1056
110651
SH
SOLE
103430
0
7221
NUVEEN GLOBAL HIGH INCOME FD
SHS
67075G103
1356
87118
SH
SOLE
71499
0
15619
NUVEEN NASDAQ 100 DYNAMIC OV
COM SHS
670699107
1340
60484
SH
SOLE
57654
0
2830
NUVEEN PFD & INCM OPPORTNYS
COM
67073B106
321
31962
SH
SOLE
30374
0
1588
NUVEEN PFD & INCM SECURTIES
COM
67072C105
158
16000
SH
SOLE
13348
0
2652
NUVEEN REAL ASSET INM AND GW
COM
67074Y105
604
34498
SH
SOLE
28555
0
5943
NUVEEN REAL ESTATE INCOME FD
COM
67071B108
286
26045
SH
SOLE
22757
0
3288
NUVEEN S&P 500 BUY-WRITE INC
COM
6706ER101
3380
258626
SH
SOLE
239996
0
18630
NUVEEN SHT DUR CR OPP FD
COM
67074X107
1662
110937
SH
SOLE
107967
0
2970
NUVEEN SR INCOME FD
COM
67067Y104
547
94727
SH
SOLE
60634
0
34093
NUVEEN TAX ADVANTAGED DIV GR
COM
67073G105
6661
398122
SH
SOLE
371658
0
26464
NUVEEN TX ADV TOTAL RET STRG
COM
67090H102
8751
775826
SH
SOLE
726290
0
49536
PGIM GLOBAL HIGH YIELD FD IN
COM
69346J106
1337
93045
SH
SOLE
88022
0
5023
PIONEER DIV HIGH INCOME TRUS
COM
723653101
190
13125
SH
SOLE
12505
0
620
PIONEER FLOATING RATE TR
COM
72369J102
1291
122588
SH
SOLE
110716
0
11872
PIONEER HIGH INCOME TR
COM
72369H106
1048
113703
SH
SOLE
107886
0
5817
PRINCIPAL REAL ESTATE INCOME
SHS BEN INT
74255X104
240
11648
SH
SOLE
11648
0
0
PUTNAM MASTER INTER INCOME T
SH BEN INT
746909100
967
210625
SH
SOLE
191919
0
18706
ROYCE GLOBAL VALUE TR INC
COM
78081T104
479
47373
SH
SOLE
45441
0
1932
ROYCE MICRO-CAP TR INC
COM
780915104
3875
481966
SH
SOLE
456986
0
24980
ROYCE VALUE TR INC
COM
780910105
4595
333933
SH
SOLE
299364
0
34569
SOURCE CAP INC
COM
836144105
5902
161629
SH
SOLE
151346
0
10283
SPDR S&P 500 ETF TR
TR UNIT
78462F103
3313
11165
SH
SOLE
10245
0
920
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
5338
374893
SH
SOLE
356068
0
18825
SPECIAL OPPORTUNITIES FD INC
PFD CONV SE B
84741T302
694
27482
SH
SOLE
24473
0
3009
SPROTT FOCUS TR INC
COM
85208J109
4245
629802
SH
SOLE
594229
0
35573
SWISS HELVETIA FD INC
COM
870875101
264
32894
SH
SOLE
32894
0
0
TAIWAN FD INC
COM
874036106
231
12500
SH
SOLE
12500
0
0
TEKLA HEALTHCARE INVS
SH BEN INT
87911J103
826
45029
SH
SOLE
43977
0
1052
TEMPLETON DRAGON FD INC
COM
88018T101
682
38082
SH
SOLE
38082
0
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
1391
226498
SH
SOLE
212597
0
13901
THL CR SR LN FD
COM
87244R103
1645
109531
SH
SOLE
107471
0
2060
TRI CONTL CORP
COM
895436103
1782
65396
SH
SOLE
60752
0
4644
VOYA ASIA PAC DIVID EQUITY I
COM
92912J102
309
36400
SH
SOLE
22423
0
13977
VOYA EMERGING MKTS HIGH DIVI
COM
92912P108
449
62557
SH
SOLE
62557
0
0
VOYA GLBL ADV & PREM OPP FD
COM
92912R104
494
47800
SH
SOLE
43382
0
4418
VOYA GLBL EQTY DIV & PREM OP
COM
92912T100
2452
408647
SH
SOLE
399316
0
9331
VOYA PRIME RATE TR
SH BEN INT
92913A100
810
172052
SH
SOLE
137049
0
35003
WELLS FARGO MULTI SECTOR INC
COM
94987D101
2113
171119
SH
SOLE
160582
0
10537
WESTERN ASSET GLB HI INCOME
COM
95766B109
274
27620
SH
SOLE
27620
0
0
WESTERN ASSET GLOBAL CP DEFI
COM
95790C107
433
24855
SH
SOLE
24855
0
0
WESTERN ASSET HIGH INCM FD I
COM
95766J102
1732
255445
SH
SOLE
227096
0
28349
WESTERN ASSET HIGH INCM OPP
COM
95766K109
514
101708
SH
SOLE
101708
0
0
WESTERN ASSET VAR RT STRG FD
COM
957667108
424
26081
SH
SOLE
26051
0
30