0001172661-12-000801.txt : 20120810 0001172661-12-000801.hdr.sgml : 20120810 20120810073812 ACCESSION NUMBER: 0001172661-12-000801 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120810 DATE AS OF CHANGE: 20120810 EFFECTIVENESS DATE: 20120810 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: 121022547 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 shaker2q12.txt FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2012 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Shaker Financial Services, LLC Address: 1220 N. Fillmore Street Suite 400 Arlington, VA 22201 13F File Number: 028-14234 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Kathryn S. Baummer Title: Partner/Infotech Research and Development Phone: 443-618-6524 Signature, Place, and Date of Signing: /s/ Kathryn S. Baummer Arlington, VA/US August 10, 2012 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 128 Form 13F Information Table Value Total: $112,650 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABERDEEN EMERG MKTS TELE&INF COM 00301T102 640 34024 SH SOLE 34024 0 0 ADAMS EXPRESS CO COM 006212104 121 11439 SH SOLE 11089 0 350 ADVENT CLAY CONV SEC INC FD COM 007639107 1071 167040 SH SOLE 160640 0 6400 ADVENT CLAYMORE CV SECS & IN COM 00764C109 1447 94297 SH SOLE 87843 0 6454 ADVENT CLAYMORE ENH GRW & IN COM 00765E104 1750 187126 SH SOLE 176518 0 10608 AGIC EQUITY & CONV INCOME FD COM 00119P102 175 10600 SH SOLE 9800 0 800 AGIC GLOBAL EQUITY & CONV IN COM 00119R108 318 25018 SH SOLE 22518 0 2500 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 857 103021 SH SOLE 98021 0 5000 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 1723 413102 SH SOLE 392202 0 20900 AMERICAN SELECT PORTFOLIO IN COM 029570108 486 46288 SH SOLE 45288 0 1000 AMERICAN STRATEGIC INCM PTFL COM 030098107 319 27309 SH SOLE 27309 0 0 AMERN STRATEGIC INCOME PTFL COM 030099105 197 22597 SH SOLE 22597 0 0 BLACKROCK CORE BD TR SHS BEN INT 09249E101 388 26825 SH SOLE 24325 0 2500 BLACKROCK CREDIT ALL IN TR I COM SHS 09249V103 626 54902 SH SOLE 53562 0 1340 BLACKROCK CREDIT ALL INC TR COM 09255H105 726 66869 SH SOLE 66869 0 0 BLACKROCK CREDIT ALL INC TR COM 09255J101 320 31455 SH SOLE 31455 0 0 BLACKROCK DEFINED OPPRTY CR COM 09255Q105 1660 121791 SH SOLE 117778 0 4013 BLACKROCK DIVERS OME STRATE COM 09255W102 1576 153898 SH SOLE 140048 0 13850 BLACKROCK ENERGY & RES TR COM 09250U101 1007 44721 SH SOLE 44721 0 0 BLACKROCK ENHANCED EQT DIV T COM 09251A104 2097 289648 SH SOLE 272989 0 16659 BLACKROCK FLOAT RATE OME STR COM 09255X100 363 25219 SH SOLE 23719 0 1500 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 1689 127445 SH SOLE 123945 0 3500 BLACKROCK INCOME OPP TRUST I COM 092475102 288 26379 SH SOLE 25829 0 550 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 1632 229283 SH SOLE 214183 0 15100 BLACKROCK S&P QLTY RK EQ MD SHS BEN INT 09250D109 645 52746 SH SOLE 49546 0 3200 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 3000 238685 SH SOLE 228814 0 9871 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 643 52204 SH SOLE 52204 0 0 CALAMOS GLOBAL TOTAL RETURN COM SH BEN INT 128118106 372 28342 SH SOLE 28342 0 0 CBRE CLARION GLOBAL REAL EST COM 12504G100 304 38338 SH SOLE 35538 0 2800 CENTRAL SECS CORP COM 155123102 1284 63313 SH SOLE 61513 0 1800 CHINA FD INC COM 169373107 906 41334 SH SOLE 36639 0 4695 CLOUGH GLOBAL ALLOCATION FUN COM SHS BEN IN 18913Y103 205 15738 SH SOLE 13238 0 2500 CLOUGH GLOBAL EQUITY FD COM 18914C100 634 52447 SH SOLE 49674 0 2773 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 1470 136720 SH SOLE 132720 0 4000 COHEN & STEERS CLOSED END OP COM 19248P106 1656 135880 SH SOLE 132369 0 3511 COHEN & STEERS GLOBAL INC BL COM 19248M103 285 28378 SH SOLE 26978 0 1400 COHEN & STEERS INFRASTRUCTUR COM 19248A109 299 17400 SH SOLE 17400 0 0 DELAWARE ENHANCED GBL DIV & COM 246060107 1009 87948 SH SOLE 81448 0 6500 DELAWARE INVTS DIV & INCOME COM 245915103 1019 131171 SH SOLE 125108 0 6063 DENALI FD INC COM 24823A102 1170 81670 SH SOLE 80920 0 750 DOW 30 PREMIUM & DIV INC FD COM 260582101 335 24858 SH SOLE 24858 0 0 DWS GLOBAL HIGH INCOME FD COM 23338W104 388 47079 SH SOLE 41379 0 5700 EATON VANCE ENH EQTY INC FD COM 278277108 1326 124888 SH SOLE 118488 0 6400 EATON VANCE ENHANCED EQ INC COM 278274105 396 37312 SH SOLE 35812 0 1500 EATON VANCE RISK MNGD DIV EQ COM 27829G106 1607 156734 SH SOLE 155734 0 1000 EATON VANCE SH TM DR DIVR IN COM 27828V104 1535 92001 SH SOLE 90801 0 1200 EATON VANCE SR INCOME TR SH BEN INT 27826S103 2550 363295 SH SOLE 341410 0 21885 EATON VANCE TAX MNGD GBL DV COM 27829F108 2323 279887 SH SOLE 268187 0 11700 EATON VANCE TX ADV GLB DIV O COM 27828U106 2132 118336 SH SOLE 110986 0 7350 EATON VANCE TX MGD DIV EQ IN COM 27828N102 2485 273966 SH SOLE 261466 0 12500 EATON VANCE TXMGD GL BUYWR O COM 27829C105 1534 146333 SH SOLE 140233 0 6100 ELLSWORTH FUND LTD COM 289074106 827 117688 SH SOLE 114688 0 3000 EUROPEAN EQUITY FUND COM 298768102 517 84754 SH SOLE 81736 0 3018 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 329 19280 SH SOLE 17880 0 1400 FIRST TR ACTIVE DIVID INCOME COM 33731L100 1626 209051 SH SOLE 198851 0 10200 FIRST TR HIGH INCOME L/S FD COM 33738E109 1702 96427 SH SOLE 83727 0 12700 FIRST TR SR FLG RTE INCM FD COM 33733U108 304 20710 SH SOLE 20710 0 0 FORT DEARBORN INCOME SECS IN COM 347200107 241 14703 SH SOLE 13803 0 900 GABELLI DIVD & INCOME TR COM 36242H104 584 37652 SH SOLE 35902 0 1750 GENERAL AMERN INVS INC COM 368802104 2221 81362 SH SOLE 74187 0 7175 GLOBAL HIGH INCOME FUND INC COM 37933G108 246 20024 SH SOLE 20024 0 0 GLOBAL INCOME&CURRENCY FD IN COM 378968101 2349 179035 SH SOLE 171469 0 7566 H & Q HEALTHCARE INVESTORS SH BEN INT 404052102 235 13623 SH SOLE 13623 0 0 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 346 22617 SH SOLE 18217 0 4400 HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 1347 73437 SH SOLE 70637 0 2800 HELIOS HIGH YIELD FD COM 42328Q109 537 53697 SH SOLE 53067 0 630 HELIOS MULTI SEC HI INC FD I COM NEW 42327Y202 198 32813 SH SOLE 32813 0 0 HELIOS STRATEGIC INCOME FD I COM NEW 42328A203 1235 202740 SH SOLE 195000 0 7740 ING GLBL ADV & PREM OPP FUND COM 44982N109 2025 179870 SH SOLE 172992 0 6878 ING PRIME RATE TR SH BEN INT 44977W106 414 71670 SH SOLE 71670 0 0 ING RISK MANAGED NAT RES FD COM 449810100 1437 129194 SH SOLE 123608 0 5586 INVESCO HIGH YIELD INVST FD COM 46133K108 119 18987 SH SOLE 16132 0 2855 INVESCO VAN KAMP DYN CRDT OP COM 46132R104 1592 135737 SH SOLE 130837 0 4900 INVESCO VAN KAMPEN SR INC TR COM 46131H107 861 177263 SH SOLE 169263 0 8000 J F CHINA REGION FD INC COM 46614T107 418 34486 SH SOLE 32586 0 1900 JAPAN EQUITY FD INC COM 471057109 194 37433 SH SOLE 33133 0 4300 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 1139 154188 SH SOLE 142924 0 11264 JOHN HANCOCK HDG EQ & INC FD COM 47804L102 564 35938 SH SOLE 35938 0 0 LATIN AMERN DISCOVERY FD INC COM 51828C106 399 28069 SH SOLE 25326 0 2743 LAZARD WORLD DIVID & INCOME COM 521076109 1032 92002 SH SOLE 88102 0 3900 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 1758 389745 SH SOLE 364790 0 24955 LIBERTY ALL-STAR GROWTH FD I COM 529900102 808 202483 SH SOLE 175673 0 26810 LMP CORPORATE LN FD INC COM 50208B100 377 31209 SH SOLE 26060 0 5149 MADISON CLAYMORE CALL &EQTY COM 556582104 540 70819 SH SOLE 69019 0 1800 MANAGED HIGH YIELD PLUS FD I COM 561911108 375 171077 SH SOLE 167077 0 4000 MEXICO EQUITY & INCOME FD COM 592834105 260 22127 SH SOLE 21527 0 600 MFS GOVT MKTS INCOME TR SH BEN INT 552939100 902 130164 SH SOLE 124164 0 6000 MFS INTERMARKET INCOME TRUST SH BEN INT 59318R103 370 43930 SH SOLE 42430 0 1500 MORGAN STANLEY INCOME SEC INC 61745P874 332 18211 SH SOLE 18211 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 283 25550 SH SOLE 25464 0 86 MORGAN STANLEY EMER MKTS FD COM 61744G107 385 27519 SH SOLE 27519 0 0 MORGAN STANLEY FRNT EMERG FD COM 61757P101 557 47423 SH SOLE 47423 0 0 NASDAQ PREM INCM & GRW FD IN COM 63110R105 259 16979 SH SOLE 16979 0 0 NEW GERMANY FD INC COM 644465106 1421 105711 SH SOLE 100511 0 5200 NEW IRELAND FUND INC COM 645673104 785 107344 SH SOLE 105599 0 1745 NUVEEN BUILD AMER BD FD COM 67074C103 1656 78294 SH SOLE 75695 0 2599 NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 184 13855 SH SOLE 12655 0 1200 NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 133 11739 SH SOLE 8739 0 3000 NUVEEN EQUITY PREM & GROWTH COM 6706EW100 636 49743 SH SOLE 49743 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 1431 123454 SH SOLE 123454 0 0 NUVEEN GBL VL OPPORTUNITIES COM 6706EH103 1631 114604 SH SOLE 113104 0 1500 NUVEEN GLB GOVT ENHANCED IN COM 67073C104 240 16569 SH SOLE 15219 0 1350 NUVEEN MULT CURR ST GV INCM COM 67090N109 521 41995 SH SOLE 39395 0 2600 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 332 38836 SH SOLE 38836 0 0 NUVEEN QUALITY PFD INCOME FD COM 67071S101 710 85280 SH SOLE 84480 0 800 NUVEEN QUALITY PFD INCOME FD COM 67072C105 522 57946 SH SOLE 56147 0 1799 NUVEEN TX ADV TOTAL RET STRG COM 67090H102 1135 112599 SH SOLE 96496 0 16103 PETROLEUM & RES CORP COM 716549100 388 16174 SH SOLE 15374 0 800 PIONEER FLOATING RATE TR COM 72369J102 453 35771 SH SOLE 32571 0 3200 PUTMAN HIGH INCOME SEC FUND SHS BEN INT 746779107 1011 123484 SH SOLE 114784 0 8700 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 1915 374067 SH SOLE 363047 0 11020 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 1956 365660 SH SOLE 351160 0 14500 RMR REAL ESTATE INCOME FUND COM 76970B101 897 53932 SH SOLE 51316 0 2616 ROYCE FOCUS TR COM 78080N108 1990 316857 SH SOLE 304460 0 12397 ROYCE VALUE TR INC COM 780910105 399 31987 SH SOLE 29587 0 2400 SINGAPORE FD INC COM 82929L109 317 25225 SH SOLE 25225 0 0 SOURCE CAP INC COM 836144105 703 14273 SH SOLE 14048 0 225 STRATEGIC GLOBAL INCOME FD COM 862719101 552 51415 SH SOLE 45332 0 6083 SWISS HELVETIA FD INC COM 870875101 1407 138932 SH SOLE 133632 0 5300 TEMPLETON DRAGON FD INC COM 88018T101 533 20100 SH SOLE 18900 0 1200 TEMPLETON EMERGING MKTS FD I COM 880191101 422 23875 SH SOLE 23275 0 600 TRI CONTL CORP COM 895436103 1090 70477 SH SOLE 66977 0 3500 VIRTUS TOTAL RETURN FD COM 92829A103 161 43710 SH SOLE 43710 0 0 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 222 14539 SH SOLE 13939 0 600 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 135 10405 SH SOLE 10405 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 465 22521 SH SOLE 19048 0 3473 WESTERN ASSET GLOBAL CP DEFI COM 95790C107 288 15032 SH SOLE 15032 0 0 WESTERN ASSET INCOME FD COM 95766T100 777 55169 SH SOLE 50619 0 4550