0001172661-17-001905.txt : 20171109
0001172661-17-001905.hdr.sgml : 20171109
20171109150337
ACCESSION NUMBER: 0001172661-17-001905
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171109
DATE AS OF CHANGE: 20171109
EFFECTIVENESS DATE: 20171109
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: 171190371
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
primary_doc.xml
13F-HR
LIVE
false
true
false
0001511794
XXXXXXXX
09-30-2017
09-30-2017
false
Shaker Financial Services, LLC
1220 N. Fillmore St.
Suite 400
Arlington
VA
22201
13F HOLDINGS REPORT
028-14234
N
Kathryn S. Baummer
Partner/Infotech Research and Development
410-224-0572
/s/ Kathryn S. Baummer
Arlington
VA
11-09-2017
0
98
188781
INFORMATION TABLE
2
infotable.xml
ABERDEEN GTR CHINA FD INC
COM
003031101
225
19212
SH
SOLE
19212
0
0
ADAMS DIVERSIFIED EQUITY FD
COM
006212104
507
33351
SH
SOLE
30335
0
3016
ADVENT CLAY CONV SEC INC FD
COM
007639107
1255
201174
SH
SOLE
199776
0
1398
ADVENT CLAYMORE CV SECS & IN
COM
00764C109
1039
64182
SH
SOLE
62500
0
1682
ADVENT CLAYMORE ENH GRW & IN
COM
00765e104
1552
180259
SH
SOLE
171416
0
8843
ALLIANCEBERNSTEIN GBL HGH IN
COM
01879R106
1307
100162
SH
SOLE
85982
0
14180
ALLIANZGI DIVERS INC & CNV F
COM
01883J108
874
40692
SH
SOLE
35005
0
5687
APOLLO SR FLOATING RATE FD I
COM
037636107
1580
94346
SH
SOLE
86857
0
7489
APOLLO TACTICAL INCOME FD IN
COM
037638103
2817
173808
SH
SOLE
164222
0
9586
ARES DYNAMIC CR ALLOCATION F
COM
04014F102
233
14200
SH
SOLE
14200
0
0
BANCROFT FUND LTD
COM
059695106
602
27481
SH
SOLE
24382
0
3099
BLACKROCK CORPOR HI YLD FD I
COM
09255P107
146
12928
SH
SOLE
11231
0
1697
BLACKROCK DEBT STRAT FD INC
COM NEW
09255R202
1098
94129
SH
SOLE
89597
0
4532
BLACKROCK ENH CAP & INC FD I
COM
09256A109
256
16390
SH
SOLE
15520
0
870
BLACKROCK ENHANCED EQT DIV T
COM
09251A104
2540
280032
SH
SOLE
277587
0
2445
BLACKROCK ENHANCED INTL DIV
COM BENE INTER
092524107
410
62559
SH
SOLE
62559
0
0
BLACKSTONE GSO LNG SHRT CR I
COM SHS BN INT
09257D102
2411
149967
SH
SOLE
142478
0
7489
BLACKSTONE GSO STRATEGIC CR
COM SHS BEN IN
09257R101
484
30264
SH
SOLE
30264
0
0
BOULDER GROWTH & INCOME FD I
COM
101507101
4331
424642
SH
SOLE
397918
0
26724
BROOKFIELD GLOBL LISTED INFR
COM SHS
11273Q109
387
28612
SH
SOLE
22580
0
6032
BROOKFIELD REAL ASSETS INCOM
SHS BEN INT
112830104
285
12000
SH
SOLE
10450
0
1550
CALAMOS STRATEGIC TOTL RETN
COM SH BEN INT
128125101
136
11199
SH
SOLE
11199
0
0
CENTRAL SECS CORP
COM
155123102
9687
374738
SH
SOLE
354477
0
20261
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
1361
121936
SH
SOLE
114063
0
7873
COHEN & STEERS GLOBAL INC BL
COM
19248M103
2282
234987
SH
SOLE
228647
0
6340
CREDIT SUISSE ASSET MGMT INC
COM
224916106
1797
529962
SH
SOLE
474582
0
55380
DELAWARE ENHANCED GBL DIV &
COM
246060107
915
77172
SH
SOLE
70423
0
6749
DELAWARE INVTS DIV & INCOME
COM
245915103
5978
555617
SH
SOLE
529021
0
26596
DEUTSCHE MULTI-MKT INCOME TR
SHS
25160E102
2054
229285
SH
SOLE
194465
0
34820
DEUTSCHE STRATEGIC INCOME TR
SHS
25160F109
806
64685
SH
SOLE
64685
0
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
683
32118
SH
SOLE
29520
0
2598
DREYFUS HIGH YIELD STRATEGIE
SH BEN INT
26200S101
102
29000
SH
SOLE
29000
0
0
DUFF & PHELPS UTIL CORP BD T
COM
26432K108
1872
202619
SH
SOLE
193720
0
8899
EAGLE GRWTH & INCOME OPPTY F
COM SHS BEN IN
26958j105
2184
129178
SH
SOLE
122727
0
6451
EATON VANCE FLTG RATE INCOM
COM SHS BEN INT
278284104
3937
236998
SH
SOLE
223854
0
13144
EATON VANCE LTD DUR INCOME F
COM
27828H105
1290
91981
SH
SOLE
91025
0
956
EATON VANCE RISK MNGD DIV EQ
COM
27829G106
2925
310151
SH
SOLE
290196
0
19955
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
1630
246160
SH
SOLE
216469
0
29691
EATON VANCE TX ADV GLBL DIV
COM
27828S101
1886
109661
SH
SOLE
106902
0
2759
EUROPEAN EQUITY FUND
COM
298768102
2579
266442
SH
SOLE
250954
0
15488
FIRST TR ABERDEEN GLBL OPP F
COM SHS
337319107
2286
193915
SH
SOLE
174680
0
19235
FIRST TR ENHANCED EQTY INC F
COM
337318109
650
43210
SH
SOLE
41609
0
1601
FIRST TR HIGH INCOME L/S FD
COM
33738E109
2038
119740
SH
SOLE
108389
0
11351
FRANKLIN UNVL TR
SH BEN INT
355145103
542
74516
SH
SOLE
74516
0
0
GABELLI DIVD & INCOME TR
COM
36242H104
8961
400222
SH
SOLE
377483
0
22739
GABELLI GLB SML & MD CP VAL
COM
36249W104
1066
80650
SH
SOLE
75555
0
5095
GABELLI GLOBL UTIL & INCOME
COM SH BEN INT
36242L105
287
13968
SH
SOLE
13968
0
0
GENERAL AMERN INVS INC
COM
368802104
8931
247950
SH
SOLE
232620
0
15330
GUGGENHEIM ENHNCD EQTY INCM
COM
40167B100
336
39263
SH
SOLE
37614
0
1649
HANCOCK JOHN PFD INCOME FD I
COM
41021P103
573
30472
SH
SOLE
27518
0
2954
HERZFELD CARIBBEAN BASIN FD
COM
42804T106
763
105296
SH
SOLE
102575
0
2721
INVESCO DYNAMIC CR OPP FD
COM
46132R104
3741
313842
SH
SOLE
285956
0
27886
INVESCO HIGH INCOME TR II
COM
46131F101
162
10715
SH
SOLE
10715
0
0
INVESCO SR INCOME TR
COM
46131H107
838
186644
SH
SOLE
180360
0
6284
LAZARD GLB TTL RET&INCM FD I
COM
52106W103
3401
202894
SH
SOLE
189724
0
13170
LAZARD WORLD DIVID & INCOME
COM
521076109
1194
105484
SH
SOLE
100290
0
5194
LEGG MASON BW GLB INC OPP FD
COM
52469B100
584
43484
SH
SOLE
39905
0
3579
MADISON CVRED CALL & EQ STR
COM
557437100
3538
450717
SH
SOLE
433282
0
17435
MFS CHARTER INCOME TR
SH BEN INT
552727109
2576
297142
SH
SOLE
288437
0
8705
MFS MULTIMARKET INCOME TR
SH BEN INT
552737108
120
19160
SH
SOLE
19160
0
0
MORGAN STANLEY CHINA A SH FD
COM
617468103
1015
42544
SH
SOLE
40312
0
2232
NEW GERMANY FD INC
COM
644465106
3560
191709
SH
SOLE
185561
0
6148
NEW IRELAND FUND INC
COM
645673104
1223
89138
SH
SOLE
84742
0
4396
NUVEEN CORE EQUITY ALPHA FUN
COM
67090X107
1813
116641
SH
SOLE
106902
0
9739
NUVEEN CR STRATEGIES INCM FD
COM SHS
67073D102
970
114212
SH
SOLE
108914
0
5298
NUVEEN DOW 30 DYN OVERWRITE
SHS
67075F105
5959
351357
SH
SOLE
329201
0
22156
NUVEEN PFD & INCOME TERM FD
COM
67075A106
474
18839
SH
SOLE
18289
0
550
NUVEEN S&P 500 BUY-WRITE INC
COM
6706ER101
2558
182963
SH
SOLE
170626
0
12337
NUVEEN S&P 500 DYN OVERWRITE
COM
6706EW100
874
55880
SH
SOLE
53213
0
2667
NUVEEN TAX ADVANTAGED DIV GR
COM
67073G105
2520
149621
SH
SOLE
143939
0
5682
NUVEEN TX ADV TOTAL RET STRG
COM
67090H102
4184
304972
SH
SOLE
286613
0
18359
PIMCO DYNMIC CREDIT AND MRT
COM SHS
72202D106
1414
61328
SH
SOLE
57832
0
3496
PIONEER DIV HIGH INCOME TRUS
COM
723653101
1145
69075
SH
SOLE
67688
0
1387
PIONEER FLOATING RATE TR
COM
72369J102
740
61895
SH
SOLE
61295
0
600
PIONEER HIGH INCOME TR
COM
72369H106
2842
283621
SH
SOLE
277899
0
5722
PRUDENTIAL GLB SHT DUR HG YL
COM
74433A109
1385
92788
SH
SOLE
86699
0
6089
PRUDENTIAL SHT DURATION HG Y
COM
74442F107
4719
309232
SH
SOLE
282225
0
27007
PUTMAN HIGH INCOME SEC FUND
SHS BEN INT
746779107
365
40894
SH
SOLE
40894
0
0
RMR REAL ESTATE INCOME FUND
COM
76970B101
546
28273
SH
SOLE
27134
0
1139
ROYCE GLOBAL VALUE TR INC
COM
78081T104
1197
115611
SH
SOLE
110517
0
5094
ROYCE MICRO-CAP TR INC
COM
780915104
5099
543598
SH
SOLE
519044
0
24554
SOURCE CAP INC
COM
836144105
5999
149152
SH
SOLE
142139
0
7013
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
6137
386999
SH
SOLE
360937
0
26062
SPECIAL OPPORTUNITIES FD INC
PFD CONV SE B
84741T302
934
36515
SH
SOLE
35683
0
832
SPROTT FOCUS TR INC
COM
85208J109
2397
310029
SH
SOLE
270424
0
39605
SWISS HELVETIA FD INC
COM
870875101
335
26211
SH
SOLE
25777
0
434
TEMPLETON DRAGON FD INC
COM
88018T101
225
10841
SH
SOLE
10841
0
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
901
133717
SH
SOLE
127638
0
6079
THL CR SR LN FD
COM
87244R103
880
50250
SH
SOLE
47978
0
2272
TRI CONTL CORP
COM
895436103
1134
44369
SH
SOLE
43993
0
376
VOYA PRIME RATE TR
SH BEN INT
92913A100
819
156581
SH
SOLE
113673
0
42908
WELLS FARGO INCOME OPPORTUNI
WF INC OPPTY FD
94987B105
1593
182026
SH
SOLE
178551
0
3475
WELLS FARGO MULTI SECTOR INC
COM
94987D101
1788
133250
SH
SOLE
131574
0
1676
WESTERN ASSET EMRG MKT DEBT
COM
95766A101
865
54940
SH
SOLE
50987
0
3953
WESTERN ASSET GLB HI INCOME
COM
95766B109
3295
320178
SH
SOLE
308487
0
11691
WESTERN ASSET HGH YLD DFNDFD
COM
95768B107
1732
111369
SH
SOLE
101866
0
9503
WESTERN ASSET HIGH INCM FD I
COM
95766J102
3869
536678
SH
SOLE
487844
0
48834
WESTERN ASSET HIGH INCM OPP
COM
95766K109
246
47915
SH
SOLE
42262
0
5653