0001172661-20-001117.txt : 20200501
0001172661-20-001117.hdr.sgml : 20200501
20200501160433
ACCESSION NUMBER: 0001172661-20-001117
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200331
FILED AS OF DATE: 20200501
DATE AS OF CHANGE: 20200501
EFFECTIVENESS DATE: 20200501
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: 20840875
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
03-31-2020
03-31-2020
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
05-01-2020
0
157
148020
INFORMATION TABLE
2
infotable.xml
ABERDEEN ASIA-PACIFIC INCOME
COM
003009107
1279
378321
SH
SOLE
368830
0
9491
ABERDEEN AUSTRALIA EQUITY FD
COM
003011103
58
14810
SH
SOLE
14810
0
0
ABERDEEN GLOBAL DYNAMIC DIVI
COM
00302M106
501
68322
SH
SOLE
68322
0
0
ABERDEEN GLOBAL INCOME FD IN
COM
003013109
346
63893
SH
SOLE
56920
0
6973
ABERDEEN GLOBAL PREMIER PPTY
COM SH BEN INT
00302L108
385
90729
SH
SOLE
85101
0
5628
ABERDEEN INCOME CR STRATEGIE
COM
003057106
235
31940
SH
SOLE
30672
0
1268
ADAMS DIVERSIFIED EQUITY FD
COM
006212104
785
62386
SH
SOLE
57682
0
4704
ALLIANCEBERNSTEIN GLOBAL HIG
COM
01879R106
267
28859
SH
SOLE
28138
0
721
ALLIANZGI ARTIFICIAL INTELLI
COM
01883M101
1585
99044
SH
SOLE
96981
0
2063
ALLIANZGI CON INCM 2024 TARG
COM
01883H102
418
54458
SH
SOLE
52697
0
1761
ALLIANZGI CONV INCOME FD
COM
018828103
56
15000
SH
SOLE
5881
0
9119
ALLIANZGI CONV INCOME FD II
COM
018825109
308
92407
SH
SOLE
78566
0
13841
ALLIANZGI NFJ DIVID INT & PR
COM
01883A107
1534
159633
SH
SOLE
148682
0
10951
APOLLO TACTICAL INCOME FD IN
COM
037638103
2185
192891
SH
SOLE
186458
0
6433
ARES DYNAMIC CR ALLOCATION F
COM
04014F102
1807
167508
SH
SOLE
161630
0
5878
BARINGS GLOBAL SHORT DURATIO
COM
06760L100
426
38300
SH
SOLE
33855
0
4445
BLACKROCK CORPOR HI YLD FD I
COM
09255P107
772
87771
SH
SOLE
85727
0
2044
BLACKROCK CR ALLOCATION INCO
COM
092508100
346
29700
SH
SOLE
22798
0
6902
BLACKROCK DEBT STRATEGIES FD
COM NEW
09255R202
1089
128928
SH
SOLE
122996
0
5932
BLACKROCK ENH CAP & INC FD I
COM
09256A109
904
69596
SH
SOLE
69592
0
4
BLACKROCK ENHANCED EQUITY DI
COM
09251A104
3132
479665
SH
SOLE
460942
0
18723
BLACKROCK FLOATING RATE INCO
COM
091941104
344
35074
SH
SOLE
33610
0
1464
BLACKROCK FLOATING RATE INCO
COM
09255X100
1044
104339
SH
SOLE
100063
0
4276
BLACKROCK LTD DURATION INC T
COM SHS
09249W101
1752
138797
SH
SOLE
135660
0
3137
BLACKROCK MULTI-SECTOR INC T
COM
09258A107
2220
183943
SH
SOLE
178173
0
5770
BLACKSTONE GSO FLTING RTE FU
COM
09256U105
1418
120795
SH
SOLE
118730
0
2065
BLACKSTONE GSO LNG SHRT CR I
COM SHS BN INT
09257D102
461
43714
SH
SOLE
38645
0
5069
BLACKSTONE GSO STRATEGIC CR
COM SHS BEN IN
09257R101
1285
123400
SH
SOLE
112775
0
10625
BNY MELLON ALCENTRA GLOBAL C
COM
05588N108
116
18248
SH
SOLE
18248
0
0
BNY MELLON HIGH YIELD STRATE
SH BEN INT
09660L105
1143
503596
SH
SOLE
485780
0
17816
BNY MELLON MUN BD INFRASTRUC
COM SHS
09662W109
728
58760
SH
SOLE
52868
0
5892
BOULDER GROWTH & INCOME FD I
COM
101507101
840
91259
SH
SOLE
88696
0
2563
BROOKFIELD REAL ASSETS INCOM
SHS BEN INT
112830104
411
27989
SH
SOLE
26950
0
1039
CALAMOS CONV & HIGH INCOME F
COM SHS
12811P108
919
103985
SH
SOLE
100222
0
3763
CALAMOS CONV OPP AND INC FD
SH BEN INT
128117108
227
27168
SH
SOLE
26091
0
1077
CALAMOS GBL DYN INCOME FUND
COM
12811L107
1062
185018
SH
SOLE
181288
0
3730
CALAMOS LNG SHR EQT DYNAMIC
COM
12812C106
2240
155111
SH
SOLE
147162
0
7949
CBRE CLARION GLOBAL REAL EST
COM
12504G100
328
62589
SH
SOLE
59382
0
3207
CENTRAL SECS CORP
COM
155123102
789
30568
SH
SOLE
30079
0
489
CHINA FD INC
COM
169373107
630
34134
SH
SOLE
31714
0
2420
CLOUGH GLOBAL DIVND AND INC
COM
18913Y103
959
114608
SH
SOLE
108685
0
5923
CLOUGH GLOBAL EQUITY FD
COM
18914C100
581
65594
SH
SOLE
60684
0
4910
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
793
110533
SH
SOLE
105569
0
4964
COHEN & STEERS INFRASTRUCTUR
COM
19248A109
577
30630
SH
SOLE
30394
0
236
COHEN & STEERS REIT & PFD &I
COM
19247X100
526
32625
SH
SOLE
31849
0
776
CREDIT SUISSE ASSET MGMT INC
COM
224916106
429
179450
SH
SOLE
166272
0
13178
CREDIT SUISSE HIGH YLD BND F
SH BEN INT
22544F103
705
385160
SH
SOLE
369070
0
16090
DELAWARE ENHANCED GBL DIV &
COM
246060107
870
116720
SH
SOLE
114043
0
2677
DOUBLELINE INCOME SOLUTIONS
COM
258622109
564
42289
SH
SOLE
42244
0
45
EATON VANCE ENH EQTY INC FD
COM
278277108
261
18793
SH
SOLE
16685
0
2108
EATON VANCE ENHANCED EQ INC
COM
278274105
1091
90130
SH
SOLE
88861
0
1269
EATON VANCE FLTING RATE INC
COM
278279104
385
37526
SH
SOLE
37494
0
32
EATON VANCE HIGH INCOME 2021
COM SH BEN INT
27829W101
537
60981
SH
SOLE
56899
0
4082
EATON VANCE LTD DUR INCOME F
COM
27828H105
1408
133163
SH
SOLE
130165
0
2998
EATON VANCE RISK MNGD DIV EQ
COM
27829G106
252
30290
SH
SOLE
30290
0
0
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
116
11761
SH
SOLE
11761
0
0
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
346
75072
SH
SOLE
73229
0
1843
EATON VANCE TX ADV GLBL DIV
COM
27828S101
4006
335234
SH
SOLE
325035
0
10199
EATON VANCE TX MGD DIV EQ IN
COM
27828N102
442
47450
SH
SOLE
43663
0
3787
EATON VANCE TXMGD GL BUYWR O
COM
27829C105
3438
460811
SH
SOLE
458214
0
2597
ELLSWORTH GROWTH & INCOME FD
COM
289074106
1073
125091
SH
SOLE
121919
0
3172
EUROPEAN EQUITY FUND
COM
298768102
834
117916
SH
SOLE
115193
0
2723
FIRST TR ABERDEEN GLBL OPP F
COM SHS
337319107
297
33781
SH
SOLE
33781
0
0
FIRST TR HIGH INCOME L/S FD
COM
33738E109
235
19325
SH
SOLE
19325
0
0
FIRST TR SR FLG RTE INCM FD
COM
33733U108
630
66252
SH
SOLE
63015
0
3237
FIRST TR SR FLOATING RATE 20
COM SHS
33740K101
375
51093
SH
SOLE
46540
0
4553
FIRST TR/ABERDEEN EMERG OPT
COM
33731K102
234
23588
SH
SOLE
23588
0
0
FRANKLIN LTD DURATION INCOME
COM
35472T101
560
71314
SH
SOLE
71314
0
0
FRANKLIN UNVL TR
SH BEN INT
355145103
913
149478
SH
SOLE
145473
0
4005
GABELLI DIVID & INCOME TR
COM
36242H104
1490
100627
SH
SOLE
99350
0
1277
GAMCO NAT RES GOLD & INCOME
SH BEN INT
36465E101
102
26233
SH
SOLE
26233
0
0
GENERAL AMERN INVS INC
COM
368802104
310
11308
SH
SOLE
10454
0
854
GUGGENHEIM CR ALLOCATION FD
COM
40168G108
257
17224
SH
SOLE
17224
0
0
GUGGENHEIM ENHANCED EQUITY I
COM
40167B100
1477
298963
SH
SOLE
289905
0
9058
HANCOCK JOHN INVS TR
COM
410142103
1649
131048
SH
SOLE
125403
0
5645
HANCOCK JOHN INVT TR
TAX ADV GLB SH
41013P749
488
97483
SH
SOLE
95622
0
1861
HANCOCK JOHN TAX-ADVANTAGED
COM
41013V100
227
12878
SH
SOLE
12878
0
0
HERZFELD CARIBBEAN BASIN FD
COM
42804T106
525
151091
SH
SOLE
148370
0
2721
HIGHLAND GLOBAL ALLOCATION F
COM
43010T104
913
209912
SH
SOLE
207547
0
2365
INVESCO DYNAMIC CR OPPORTUNI
COM
46132R104
1209
151534
SH
SOLE
144556
0
6978
INVESCO HIGH INCOME TR II
COM
46131F101
299
27920
SH
SOLE
27499
0
421
INVESCO SR INCOME TR
COM
46131H107
218
67572
SH
SOLE
64460
0
3112
IVY HIGH INCOME OPPORTUNITIE
COM
465893105
523
50311
SH
SOLE
49274
0
1037
JOHN HANCOCK HDG EQ & INC FD
COM
47804L102
1398
137632
SH
SOLE
134141
0
3491
KKR INCOME OPPORTUNITIES FD
COM
48249T106
999
93746
SH
SOLE
88587
0
5159
LAZARD GLOBAL TOTAL RETURN &
COM
52106W103
269
22385
SH
SOLE
22385
0
0
LIBERTY ALL STAR EQUITY FD
SH BEN INT
530158104
786
162297
SH
SOLE
155286
0
7011
LMP CAP & INCOME FD INC
COM
50208A102
859
106543
SH
SOLE
101368
0
5175
MADISON COVERED CALL & EQUIT
COM
557437100
767
151648
SH
SOLE
147859
0
3789
MFS CHARTER INCOME TR
SH BEN INT
552727109
98
13299
SH
SOLE
12064
0
1235
MFS MULTIMARKET INCOME TR
SH BEN INT
552737108
1743
346535
SH
SOLE
332968
0
13567
MORGAN STANLEY CHINA A SH FD
COM
617468103
326
18013
SH
SOLE
16491
0
1522
MORGAN STANLEY EMERGING MKTS
COM
617477104
355
68092
SH
SOLE
62768
0
5324
NEUBERGER BERMAN HIGH YIELD
COM
64128C106
671
77262
SH
SOLE
75636
0
1626
NEW GERMANY FD INC
COM
644465106
1585
136514
SH
SOLE
131802
0
4712
NEW IRELAND FD INC
COM
645673104
322
52111
SH
SOLE
47534
0
4577
NUVEEN CORE EQUITY ALPHA FD
COM
67090X107
4118
384144
SH
SOLE
371090
0
13054
NUVEEN DIVERSIFIED DIVID & I
COM
6706EP105
1378
195717
SH
SOLE
183899
0
11818
NUVEEN DOW 30 DYNAMIC OVERWR
SHS
67075F105
3512
280473
SH
SOLE
271266
0
9207
NUVEEN FLTNG RTE INCM OPP FD
COM SHS
6706EN100
394
53066
SH
SOLE
51663
0
1403
NUVEEN MORTGAGE AND INCOME F
COM
670735109
270
16431
SH
SOLE
16431
0
0
NUVEEN NASDAQ 100 DYNAMIC OV
COM SHS
670699107
3147
165653
SH
SOLE
161416
0
4237
NUVEEN PFD & INCM SECURTIES
COM
67072C105
1887
259925
SH
SOLE
241102
0
18823
NUVEEN PFD & INCOME OPPORTUN
COM
67073B106
657
89525
SH
SOLE
83963
0
5562
NUVEEN PFD & INCOME TERM FD
COM
67075A106
383
21048
SH
SOLE
18887
0
2161
NUVEEN REAL ASSET INCOME & G
COM
67074Y105
328
33278
SH
SOLE
32861
0
417
NUVEEN REAL ESTATE INCOME FD
COM
67071B108
388
57152
SH
SOLE
57152
0
0
NUVEEN S&P 500 BUY-WRITE INC
COM
6706ER101
3630
359415
SH
SOLE
348154
0
11261
NUVEEN S&P 500 DYNAMIC OVERW
COM
6706EW100
1389
119943
SH
SOLE
113436
0
6507
NUVEEN SHT DUR CR OPP FD
COM
67074X107
524
48171
SH
SOLE
47389
0
782
NUVEEN TAX-ADVANTAGED DIVID
COM
67073G105
3236
287644
SH
SOLE
277237
0
10407
NUVEEN TX ADV TOTAL RET STRG
COM
67090H102
3814
540961
SH
SOLE
518566
0
22395
PCM FD INC
COM
69323T101
113
14200
SH
SOLE
9319
0
4881
PGIM GLOBAL HIGH YIELD FD FO
COM
69346J106
845
76369
SH
SOLE
72950
0
3419
PIMCO DYNAMIC CR & MTG INC F
COM SHS
72202D106
606
36000
SH
SOLE
36000
0
0
PIMCO DYNAMIC INCOME FD
SHS
72201Y101
459
20759
SH
SOLE
18714
0
2045
PIMCO GLOBAL STOCKSPLS INCM
COM
722011103
187
23450
SH
SOLE
23450
0
0
PIMCO HIGH INCOME FD
COM SHS
722014107
453
92444
SH
SOLE
92444
0
0
PIMCO INCOME OPPORTUNITY FD
COM
72202B100
851
42129
SH
SOLE
41310
0
819
PIMCO INCOME STRATEGY FD
COM
72201H108
1356
160467
SH
SOLE
149094
0
11373
PIMCO INCOME STRATEGY FD II
COM
72201J104
1012
133494
SH
SOLE
129570
0
3924
PIONEER DIVERSIFIED HIGH INC
COM
723653101
192
18282
SH
SOLE
18103
0
179
PIONEER HIGH INCOME TR
COM
72369H106
441
68742
SH
SOLE
67327
0
1415
PRINCIPAL REAL ESTATE INCOME
SHS BEN INT
74255X104
337
27859
SH
SOLE
27254
0
605
PUTNAM PREMIER INCOME TR
SH BEN INT
746853100
207
45660
SH
SOLE
42350
0
3310
RIVERNORTH / DOUBLELINE STRA
COM
76882G107
483
37716
SH
SOLE
37716
0
0
RIVERNORTH OPPORTUNITIES FD
COM
76881y109
278
22350
SH
SOLE
22350
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
2267
407737
SH
SOLE
380544
0
27193
ROYCE VALUE TR INC
COM
780910105
2519
260458
SH
SOLE
246950
0
13508
SOURCE CAP INC
COM
836144105
1259
41033
SH
SOLE
39004
0
2029
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
1623
170868
SH
SOLE
170868
0
0
SPECIAL OPPORTUNITIES FD INC
PFD CONV SE B
84741T302
566
23403
SH
SOLE
23403
0
0
SPROTT FOCUS TR INC
COM
85208J109
2921
579481
SH
SOLE
571379
0
8102
SWISS HELVETIA FD INC
COM
870875101
300
43189
SH
SOLE
43189
0
0
TEKLA HEALTHCARE INVS
SH BEN INT
87911J103
762
42783
SH
SOLE
41731
0
1052
TEKLA LIFE SCIENCES INVS
SH BEN INT
87911K100
240
16036
SH
SOLE
14684
0
1352
TEKLA WORLD HEALTHCARE FD
BEN INT SHS
87911l108
244
21400
SH
SOLE
20727
0
673
TEMPLETON DRAGON FD INC
COM
88018T101
715
41962
SH
SOLE
41962
0
0
TEMPLETON EMERGING MKTS INCO
COM
880192109
112
15000
SH
SOLE
15000
0
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
108
20217
SH
SOLE
18843
0
1374
THL CR SR LN FD
COM
87244R103
788
68128
SH
SOLE
65943
0
2185
TORTOISE ESSENTIAL ASSETS IN
COM SH BEN INT
89148A103
927
91821
SH
SOLE
90988
0
833
TRI CONTL CORP
COM
895436103
4387
209805
SH
SOLE
203538
0
6267
VIRTUS GLOBAL MULTI-SEC INC
COM
92829B101
941
97514
SH
SOLE
90743
0
6771
VOYA GLBL ADV & PREM OPP FD
COM
92912R104
595
77726
SH
SOLE
76352
0
1374
VOYA INFRASTRUCTURE INDLS &
COM
92912X101
139
17101
SH
SOLE
17101
0
0
VOYA INTL HIGH DIVID EQTY IN
COM
92912Y109
728
190037
SH
SOLE
180949
0
9088
WELLS FARGO GLOBAL DIVIDEND
COM
94987C103
40
10839
SH
SOLE
10839
0
0
WELLS FARGO INCOME OPPORTUNI
WF INC OPPTY FD
94987B105
809
126849
SH
SOLE
123035
0
3814
WELLS FARGO MULTI SECTOR INC
COM
94987D101
3360
348917
SH
SOLE
337822
0
11095
WESTERN ASSET CORPORATE LN F
COM
95790J102
102
14405
SH
SOLE
14026
0
379
WESTERN ASSET EMERGING MKTS
COM
95766A101
142
13500
SH
SOLE
13500
0
0
WESTERN ASSET HGH YLD DFNDFD
COM
95768B107
1262
102340
SH
SOLE
99635
0
2705
WESTERN ASSET HIGH INCM FD I
COM
95766J102
2643
527586
SH
SOLE
508423
0
19163
WESTERN ASSET PREMIER BD FD
SHS BEN INT
957664105
322
28536
SH
SOLE
27738
0
798
WESTERN ASSET VAR RT STRG FD
COM
957667108
528
38217
SH
SOLE
37516
0
701
XAI OCTAGON FLOATNG RATE ALT
COM
98400T106
119
26403
SH
SOLE
26403
0
0