0001172661-23-001888.txt : 20230508
0001172661-23-001888.hdr.sgml : 20230508
20230508160303
ACCESSION NUMBER: 0001172661-23-001888
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20230331
FILED AS OF DATE: 20230508
DATE AS OF CHANGE: 20230508
EFFECTIVENESS DATE: 20230508
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: 23897651
BUSINESS ADDRESS:
STREET 1: 1100 N. GLEBE RD.
STREET 2: SUITE 1010
CITY: ARLINGTON
STATE: VA
ZIP: 22201
BUSINESS PHONE: (703) 258-0090
MAIL ADDRESS:
STREET 1: 1100 N. GLEBE RD.
STREET 2: SUITE 1010
CITY: ARLINGTON
STATE: VA
ZIP: 22201
13F-HR
1
primary_doc.xml
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0001511794
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03-31-2023
03-31-2023
false
Shaker Financial Services, LLC
1100 N. Glebe Rd.
Suite 1010
Arlington
VA
22201
13F HOLDINGS REPORT
028-14234
000121534
801-62679
N
Kathryn S. Baummer
Managing Partner, Performance Analytics & Reporting
410-224-0572
/s/ Kathryn S. Baummer
Arlington
VA
05-05-2023
0
152
228770770
INFORMATION TABLE
2
infotable.xml
ABRDN AUSTRALIA EQUITY FD IN
COM
003011103
239668
54594
SH
SOLE
54594
0
0
ABRDN EMRG MKTS EQTY INCM FD
COM
00301W105
233654
43592
SH
SOLE
43592
0
0
ABRDN GLOBAL DYNAMIC DIVIDEN
COM
00302M106
2720171
291551
SH
SOLE
290331
0
1220
ABRDN JAPAN EQUITY FUND INC
COM
00306J109
363608
66473
SH
SOLE
66473
0
0
ABRDN TOTAL DYNAMIC DIVIDEND
COM SH BEN INT
00326L100
1500764
185738
SH
SOLE
185738
0
0
ADAMS DIVERSIFIED EQUITY FD
COM
006212104
4056047
260839
SH
SOLE
258716
0
2123
ADVENT CONV & INCOME FD
COM
00764C109
964336
83420
SH
SOLE
82873
0
547
ALLSPRING GLOBAL DIVIDEND OP
COM
94987C103
687144
152498
SH
SOLE
152498
0
0
ALLSPRING INCOME OPPORTUNIT
INC OPPTY FD
94987B105
3215470
505148
SH
SOLE
505148
0
0
ALLSPRING MULTI SECTOR INCOM
COM
94987D101
260867
28510
SH
SOLE
28510
0
0
ANGEL OAK FINL STRATEGIES IN
COM BEN INT
03464A100
615391
49910
SH
SOLE
49910
0
0
APOLLO TACTICAL INCOME FD IN
COM
037638103
1903107
157022
SH
SOLE
154286
0
2736
ARES DYNAMIC CR ALLOCATION F
COM
04014F102
410452
34290
SH
SOLE
34290
0
0
BANCROFT FD LTD
COM
059695106
1857143
109308
SH
SOLE
108549
0
759
BARINGS GLOBAL SHORT DURATIO
COM
06760L100
1355475
104240
SH
SOLE
103246
0
994
BLACKROCK CORPOR HI YLD FD I
COM
09255P107
2324691
266593
SH
SOLE
266593
0
0
BLACKROCK DEBT STRATEGIES FD
COM NEW
09255R202
4174415
438950
SH
SOLE
437635
0
1315
BLACKROCK ENHANCED EQUITY DI
COM
09251A104
749469
87249
SH
SOLE
87249
0
0
BLACKROCK ENHANCED GLOBAL DI
COM
092501105
269908
27181
SH
SOLE
27181
0
0
BLACKROCK ENHANCED INTL DIV
COM BENE INTER
092524107
1196106
221501
SH
SOLE
221501
0
0
BLACKROCK FLOATING RATE INC
COM
091941104
1780227
158807
SH
SOLE
158437
0
370
BLACKROCK FLOATING RATE INCO
COM
09255X100
1303895
111444
SH
SOLE
109361
0
2083
BLACKSTONE LONG SHORT CR INC
COM SHS BN INT
09257D102
2165210
198461
SH
SOLE
197952
0
509
BLACKSTONE SENI FLTN RAT 202
COM
09256U105
866945
68398
SH
SOLE
66924
0
1474
BNY MELLON HIGH YIELD STRATE
SH BEN INT
09660L105
1288187
589612
SH
SOLE
589612
0
0
BRANDYWINEGBL GBL INCM OPP F
COM
10537L104
507733
63167
SH
SOLE
63167
0
0
CALAMOS GBL DYN INCOME FUND
COM
12811L107
2767891
462858
SH
SOLE
461400
0
1458
CALAMOS GLOBAL TOTAL RETURN
COM SH BEN INT
128118106
275966
29358
SH
SOLE
29358
0
0
CALAMOS LNG SHR EQT DYNAMIC
COM
12812C106
2966138
191983
SH
SOLE
189943
0
2040
CALAMOS STRATEGIC TOTAL RETU
COM SH BEN INT
128125101
611702
43693
SH
SOLE
43693
0
0
CENTRAL SECS CORP
COM
155123102
5827978
167552
SH
SOLE
166989
0
563
CHINA FD INC
COM
169373107
542267
42398
SH
SOLE
42398
0
0
CLOUGH GLOBAL DIVID & INCOME
COM
18913Y103
449286
77731
SH
SOLE
77731
0
0
CLOUGH GLOBAL EQUITY FD
COM
18914C100
499775
82471
SH
SOLE
82471
0
0
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
2004255
409868
SH
SOLE
407166
0
2702
COHEN & STEERS LTD DURATION
COM
19248C105
1268942
71129
SH
SOLE
71129
0
0
CREDIT SUISSE ASSET MGMT INC
COM
224916106
974547
379201
SH
SOLE
379201
0
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
1462842
128658
SH
SOLE
128658
0
0
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
985199
69478
SH
SOLE
69478
0
0
EATON VANCE ENHANCED EQUITY
COM
278274105
563749
37040
SH
SOLE
36464
0
576
EATON VANCE ENHANCED EQUITY
COM
278277108
2394974
146035
SH
SOLE
146035
0
0
EATON VANCE FLTING RATE INC
COM
278279104
2106860
183046
SH
SOLE
180947
0
2099
EATON VANCE LTD DURATION INC
COM
27828H105
547926
55627
SH
SOLE
55627
0
0
EATON VANCE RISK-MANAGED DIV
COM
27829G106
1927820
242493
SH
SOLE
242493
0
0
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
3024232
266923
SH
SOLE
265750
0
1173
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
89511
16731
SH
SOLE
16731
0
0
EATON VANCE TAX ADVT DIV INC
COM
27828G107
2765656
122320
SH
SOLE
122314
0
6
EATON VANCE TAX MNGED BUY WR
COM
27828X100
1720591
131846
SH
SOLE
131622
0
224
EATON VANCE TAX-MANAGED GLOB
COM
27829C105
4416787
546632
SH
SOLE
546632
0
0
EATON VANCE TAX-MANAGED GLOB
COM
27829F108
3926119
502704
SH
SOLE
500730
0
1974
EATON VANCE TX ADV GLBL DIV
COM
27828S101
5431326
336305
SH
SOLE
335688
0
617
ECOFIN SUSTAINABLE AND SOCIA
COM SH BEN INT
27901F109
887006
68389
SH
SOLE
68389
0
0
ELLSWORTH GROWTH & INCOME FD
COM
289074106
298303
36782
SH
SOLE
36782
0
0
EUROPEAN EQUITY FD INC
COM
298768102
2212516
261954
SH
SOLE
261954
0
0
FIRST TR DYNAMIC EUROPE EQUI
COM SHS
33740D107
256762
20154
SH
SOLE
20154
0
0
FIRST TR ENERGY INFRASTRCTR
COM
33738C103
167348
11670
SH
SOLE
11670
0
0
FIRST TR ENHANCED EQUITY INC
COM
337318109
5826720
352707
SH
SOLE
350674
0
2033
FIRST TR HIGH INCOME LONG /
COM
33738E109
1828565
161107
SH
SOLE
161107
0
0
FIRST TR HIGH YIELD OPPRT 20
COM
33741Q107
2112651
151336
SH
SOLE
149274
0
2062
FIRST TR INTER DURATN PFD &
COM
33718W103
1478318
93683
SH
SOLE
93336
0
347
FIRST TR SPECIALTY FIN & FIN
COM BEN INTR
33733G109
830367
264448
SH
SOLE
264448
0
0
FIRST TR SR FLTG RATE INCOME
COM
33733U108
1408095
141517
SH
SOLE
139896
0
1621
FRANKLIN LTD DURATION INCOME
COM
35472T101
2592059
419427
SH
SOLE
417219
0
2208
FRANKLIN UNVL TR
SH BEN INT
355145103
551321
77324
SH
SOLE
77324
0
0
GABELLI DIVID & INCOME TR
COM
36242H104
7900117
379996
SH
SOLE
377982
0
2014
GENERAL AMERN INVS CO INC
COM
368802104
4140336
106408
SH
SOLE
106232
0
176
HANCOCK JOHN INVT TR
TAX ADV GLB SH
41013P749
578521
117825
SH
SOLE
117825
0
0
HANCOCK JOHN INVT TR II
COM
410142103
1752274
138083
SH
SOLE
137058
0
1025
HANCOCK JOHN PFD INCOME FD
SH BEN INT
41013W108
517632
32352
SH
SOLE
32352
0
0
HIGH INCOME SECS FD
SHS BEN INT
42968F108
132600
20400
SH
SOLE
20400
0
0
HIGHLAND GLOBAL ALLOCATION F
COM
43010T104
2637430
291751
SH
SOLE
291751
0
0
INVESCO HIGH INCOME TR II
COM
46131F101
990602
94343
SH
SOLE
94343
0
0
INVESCO QQQ TR
UNIT SER 1
46090E103
201198
626
SH
SOLE
593
0
33
INVESCO SR INCOME TR
COM
46131H107
585120
159000
SH
SOLE
159000
0
0
JAPAN SMALLER CAPITALIZATION
COM
47109U104
522625
75633
SH
SOLE
75633
0
0
JOHN HANCOCK HEDGED EQUITY &
COM
47804L102
253209
21772
SH
SOLE
21772
0
0
KKR INCOME OPPORTUNITIES FD
COM
48249T106
161604
14718
SH
SOLE
14718
0
0
KOREA FD INC
COM NEW
500634209
287096
13069
SH
SOLE
13069
0
0
LAZARD GLOBAL TOTAL RETURN &
COM
52106W103
609763
39518
SH
SOLE
39518
0
0
LIBERTY ALL STAR EQUITY FD
SH BEN INT
530158104
1085620
175100
SH
SOLE
175100
0
0
LIBERTY ALL-STAR GROWTH FD I
COM
529900102
3374903
639186
SH
SOLE
639186
0
0
LMP CAP & INCOME FD INC
COM
50208A102
1141920
90960
SH
SOLE
90960
0
0
MACQUARIE / FIRST TR GLOBAL
COM
55607W100
185594
22469
SH
SOLE
22469
0
0
MEXICO EQUITY & INCOME FD
COM
592834105
893965
88775
SH
SOLE
88775
0
0
MEXICO FD INC
COM
592835102
410591
24124
SH
SOLE
24124
0
0
MFS CHARTER INCOME TR
SH BEN INT
552727109
130430
20736
SH
SOLE
18530
0
2206
MFS INTER INCOME TR
SH BEN INT
55273C107
88640
32000
SH
SOLE
32000
0
0
MFS MULTIMARKET INCOME TR
SH BEN INT
552737108
1054570
232284
SH
SOLE
231982
0
302
MFS SPL VALUE TR
SH BEN INT
55274E102
280557
66641
SH
SOLE
66641
0
0
MORGAN STANLEY CHINA A SH FD
COM
617468103
587095
40884
SH
SOLE
40884
0
0
NEUBERGER BERMAN NEXT GENERA
COMMON STOCK
64133Q108
723277
69479
SH
SOLE
67721
0
1758
NEUBERGER BERMAN REAL ESTATE
COM
64190A103
296096
96135
SH
SOLE
96135
0
0
NEW GERMANY FD INC
COM
644465106
1946742
214163
SH
SOLE
214163
0
0
NUVEEN CORE EQUITY ALPHA FD
COM
67090X107
946108
75609
SH
SOLE
75609
0
0
NUVEEN CORE PLUS IMPACT FUND
COM BEN INT
67080D103
403435
39157
SH
SOLE
39157
0
0
NUVEEN DOW 30 DYNMC OVERWRT
SHS
67075F105
3925241
262625
SH
SOLE
261083
0
1542
NUVEEN FLOATING RATE INCOME
COM
67072T108
163763
18473
SH
SOLE
18473
0
0
NUVEEN FLOATING RATE INCOME
COM SHS
6706EN100
652181
80629
SH
SOLE
80629
0
0
NUVEEN GLOBAL HIGH INCOME FD
SHS
67075G103
435793
39042
SH
SOLE
39042
0
0
NUVEEN MULTI ASSET INCOME FU
COM
670750108
1542558
132257
SH
SOLE
131377
0
880
NUVEEN PFD & INCOME OPPORTUN
COM
67073B106
1068989
161308
SH
SOLE
161308
0
0
NUVEEN PFD & INCOME SECS FD
COM
67072C105
1996044
307060
SH
SOLE
307060
0
0
NUVEEN REAL ASSET INCOME & G
COM
67074Y105
993855
83842
SH
SOLE
83842
0
0
NUVEEN S&P 500 BUY-WRITE INC
COM
6706ER101
818125
62500
SH
SOLE
62500
0
0
NUVEEN S&P 500 DYNAMIC OVERW
COM
6706EW100
818805
51817
SH
SOLE
51080
0
737
NUVEEN SHORT DURATION CR OPP
COM
67074X107
967967
81747
SH
SOLE
79681
0
2066
NUVEEN SR INCOME FD
COM
67067Y104
2756516
592354
SH
SOLE
587625
0
4729
NUVEEN TAXABLE MUNICPAL INM
COM
67074C103
565762
34918
SH
SOLE
34918
0
0
PGIM GLOBAL HIGH YIELD FD FO
COM
69346J106
659396
60109
SH
SOLE
60109
0
0
PGIM HIGH YIELD BOND FUND IN
COM
69346H100
1323761
108505
SH
SOLE
108505
0
0
PGIM SHORT DUR HIG YLD OPP F
COM
69355J104
361772
24411
SH
SOLE
24411
0
0
PIMCO DYNAMIC INCOME OPRNTS
COM BEN SHS
69355M107
1051868
84828
SH
SOLE
84828
0
0
PIMCO INCOME STRATEGY FD
COM
72201H108
1345373
163881
SH
SOLE
163881
0
0
PIMCO INCOME STRATEGY FD II
COM
72201J104
1181275
163305
SH
SOLE
163305
0
0
PIONEER DIVERSIFIED HIGH INC
COM
723653101
2416505
238785
SH
SOLE
237900
0
885
PIONEER FLOATING RATE FUND I
COM
72369J102
788334
90613
SH
SOLE
90613
0
0
PIONEER HIGH INCOME FUND INC
COM
72369H106
3309692
494963
SH
SOLE
491510
0
3453
PRINCIPAL REAL ESTATE INCOME
SHS BEN INT
74255X104
621797
65729
SH
SOLE
65318
0
411
PUTNAM MASTER INTER INCOME T
SH BEN INT
746909100
866349
270565
SH
SOLE
270565
0
0
PUTNAM PREMIER INCOME TR
SH BEN INT
746853100
949179
264695
SH
SOLE
264695
0
0
RIVERNORTH DOUBLELINE STRATE
COM
76882G107
2615166
305510
SH
SOLE
304465
0
1045
RIVERNORTH OPPORTUNITIES FD
COM
76881Y109
2587195
227746
SH
SOLE
224442
0
3304
ROYCE GLOBAL VALUE TR INC
COM
78081T104
986319
109591
SH
SOLE
109591
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
692208
78929
SH
SOLE
78929
0
0
ROYCE VALUE TR INC
COM
780910105
7190160
529857
SH
SOLE
527191
0
2666
SOURCE CAP INC
COM
836144105
5868863
155302
SH
SOLE
154918
0
384
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
2256572
206268
SH
SOLE
203909
0
2359
SPROTT FOCUS TR INC
COM
85208J109
4068929
502647
SH
SOLE
500214
0
2433
SRH TOTAL RETURN FUND INC
COM
101507101
7997572
651268
SH
SOLE
650390
0
878
SWISS HELVETIA FD INC
COM
870875101
2261343
285163
SH
SOLE
279827
0
5336
TAIWAN FD INC
COM
874036106
914511
33921
SH
SOLE
33543
0
378
TEKLA HEALTHCARE INVS
SH BEN INT
87911J103
335350
19000
SH
SOLE
19000
0
0
TEKLA HEALTHCARE OPPORTUNITI
SHS
879105104
944885
50367
SH
SOLE
50367
0
0
TEKLA LIFE SCIENCES INVS
SH BEN INT
87911K100
926736
66528
SH
SOLE
64911
0
1617
TEMPLETON DRAGON FD INC
COM
88018T101
1336374
126192
SH
SOLE
126192
0
0
TEMPLETON EMERGING MKTS FD
COM
880191101
312999
26752
SH
SOLE
26752
0
0
TEMPLETON EMERGING MKTS INCO
COM
880192109
304535
60066
SH
SOLE
60066
0
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
595659
135377
SH
SOLE
133490
0
1887
THORNBURG INCM BUILDER OPP T
COM
885213108
201213
12890
SH
SOLE
12890
0
0
TRI CONTL CORP
COM
895436103
814501
30678
SH
SOLE
30678
0
0
VIRTUS CONVERTIBLE & INC FD
COM
92838U108
377869
124401
SH
SOLE
124401
0
0
VIRTUS DIVERSIFIED INCM & CO
COM
92840N100
370733
19199
SH
SOLE
19199
0
0
VIRTUS DIVIDEND INTEREST & P
COM
92840R101
1425066
121179
SH
SOLE
121179
0
0
VIRTUS GLOBAL MULTI-SECTOR I
COM
92829B101
2967607
382917
SH
SOLE
382917
0
0
VIRTUS TOTAL RETURN FD INC
COM
92835W107
77701
12000
SH
SOLE
12000
0
0
VOYA ASIA PAC HIGH DIV EQT I
COM
92912J102
1216484
189779
SH
SOLE
186030
0
3749
VOYA EMERGING MKTS HIGH DIVI
COM
92912P108
422125
78608
SH
SOLE
78608
0
0
VOYA GLBL ADV & PREM OPP FD
COM
92912R104
3179477
372304
SH
SOLE
371890
0
414
VOYA GLBL EQTY DIV & PREM OP
COM
92912T100
358530
70300
SH
SOLE
70300
0
0
WESTERN ASSET DIVERSIFIED IN
COM SHS BEN INT
95790K109
642505
47841
SH
SOLE
47841
0
0
WESTERN ASSET EMERGING MKTS
COM
95766A101
861100
99449
SH
SOLE
99131
0
318
WESTERN ASSET HIGH INCOME OP
COM
95766K109
247460
64380
SH
SOLE
62579
0
1801