0001062993-19-000402.txt : 20190130
0001062993-19-000402.hdr.sgml : 20190130
20190130122705
ACCESSION NUMBER: 0001062993-19-000402
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20181231
FILED AS OF DATE: 20190130
DATE AS OF CHANGE: 20190130
EFFECTIVENESS DATE: 20190130
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD
CENTRAL INDEX KEY: 0001051042
IRS NUMBER: 382562340
STATE OF INCORPORATION: MI
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06648
FILM NUMBER: 19551032
BUSINESS ADDRESS:
STREET 1: 111 CASS STREET
CITY: TRAVERSE CITY
STATE: MI
ZIP: 49684
BUSINESS PHONE: 2319294500
MAIL ADDRESS:
STREET 1: 111 CASS STREET
CITY: TRAVERSE CITY
STATE: MI
ZIP: 49684
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001051042
XXXXXXXX
12-31-2018
12-31-2018
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD
111 CASS STREET
TRAVERSE CITY
MI
49684
13F HOLDINGS REPORT
028-06648
N
Matthew Bohrer
CCO
231-929-4500
Matthew Bohrer
Traverse City
MI
01-29-2019
0
124
274167
false
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
AT&T INC
COM
00206R102
3172
111141
SH
DFND
0
111141
0
ABERDEEN ASIA PACIFIC INCOM
COM
003009107
1844
476377
SH
DFND
0
476377
0
AEGON N V
NY REGISTRY SHS
007924103
65
13971
SH
DFND
0
13971
0
AGIOS PHARMACEUTICALS INC
COM
00847X104
1832
39738
SH
DFND
0
39738
0
ALGONQUIN PWR UTILS CORP
COM
015857105
3293
327647
SH
DFND
0
327647
0
ALGONQUIN PWR UTILS CORP
COM
015857105
164
16277
SH
DFND
0
16277
0
ANALOG DEVICES INC
COM
032654105
226
2632
SH
DFND
0
2632
0
APOLLO SR FLOATING RATE FD I
COM
037636107
3310
230008
SH
DFND
0
230008
0
APPLE INC
COM
037833100
1544
9788
SH
DFND
0
9788
0
ARRAY BIOPHARMA INC
COM
04269X105
4212
295610
SH
DFND
0
295610
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1495
7320
SH
DFND
0
7320
0
BLACKROCK FLOATING RATE INCO
COM
091941104
5532
478926
SH
DFND
0
478926
0
BLACKROCK INVT QUALITY MUN T
COM
09247D105
410
31000
SH
DFND
0
31000
0
BLACKROCK INCOME TR INC
COM
09247F100
126
22292
SH
DFND
0
22292
0
BLACKROCK MUN INCOME TR
SH BEN INT
09248F109
450
36900
SH
DFND
0
36900
0
BLACKROCK STRATEGIC MUN TR
COM
09248T109
548
46000
SH
DFND
0
46000
0
BLACKROCK MUNICIPAL BOND TR
COM
09249H104
508
38028
SH
DFND
0
38028
0
BLACKROCK CR ALLCTN INC TR
COM
092508100
16764
1499442
SH
DFND
0
1499442
0
BLACKROCK MUNIHOLDINGS FD IN
COM
09253N104
191
13000
SH
DFND
0
13000
0
BLACKROCK MUNIVEST FD INC
COM
09253R105
203
24600
SH
DFND
0
24600
0
BLACKROCK MUNIVEST FD II INC
COM
09253T101
188
14375
SH
DFND
0
14375
0
BLACKROCK MUNIYIELD FD INC
COM
09253W104
200
16000
SH
DFND
0
16000
0
BLACKROCK MUNI INTER DR FD I
COM
09253X102
2126
168091
SH
DFND
0
168091
0
BLACKROCK MUNIYIELD QLTY FD
COM
09254E103
2485
206240
SH
DFND
0
206240
0
BLACKROCK MUNIYIELD QUALITY
COM
09254F100
435
33500
SH
DFND
0
33500
0
BLACKROCK MUNIHLDS INVSTM QL
COM
09254P108
204
16000
SH
DFND
0
16000
0
BLACKROCK MUNIYLD MICH QLTY
COM
09254V105
691
55597
SH
DFND
0
55597
0
BLACKROCK FLOAT RATE OME STR
COM
09255X100
3363
282595
SH
DFND
0
282595
0
BLACKROCK MUN 2030 TAR TERM
COM SHS BEN IN
09257P105
808
39412
SH
DFND
0
39412
0
BOULDER GROWTH & INCOME FD I
COM
101507101
447
42831
SH
DFND
0
42831
0
BRANDYWINEGBL GLBAL INM OPRT
COM
10537L104
6477
623997
SH
DFND
0
623997
0
BRIXMOR PPTY GROUP INC
COM
11120U105
6472
440600
SH
DFND
0
440600
0
CBRE CLARION GLOBAL REAL EST
COM
12504G100
1389
225510
SH
DFND
0
225510
0
CITRIX SYS INC
COM
177376100
205
2000
SH
DFND
0
2000
0
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
262
31838
SH
DFND
0
31838
0
COHEN & STEERS REIT & PFD IN
COM
19247X100
245
13773
SH
DFND
0
13773
0
COLGATE PALMOLIVE CO
COM
194162103
726
12200
SH
DFND
0
12200
0
CONSOLIDATED EDISON INC
COM
209115104
609
7966
SH
DFND
0
7966
0
COTT CORP QUE
COM
22163N106
3411
244721
SH
DFND
0
244721
0
DTE ENERGY CO
COM
233331107
824
7471
SH
DFND
0
7471
0
DISNEY WALT CO
COM DISNEY
254687106
4011
36580
SH
DFND
0
36580
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
3762
217101
SH
DFND
0
217101
0
ETF SER SOLUTIONS
US GBL GLD PRE
26922A719
777
68129
SH
DFND
0
68129
0
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
749
124869
SH
DFND
0
124869
0
EATON VANCE MUNI INCOME TRUS
SH BEN INT
27826U108
1220
107869
SH
DFND
0
107869
0
EATON VANCE FLTG RATE INCOM
COM SHS BEN INT
278284104
1166
82010
SH
DFND
0
82010
0
EVERSOURCE ENERGY
COM
30040W108
1839
28272
SH
DFND
0
28272
0
FASTENAL CO
COM
311900104
1165
22284
SH
DFND
0
22284
0
FIRST TR SR FLG RTE INCM FD
COM
33733U108
296
26450
SH
DFND
0
26450
0
FIRST TRUST MORTGAGE INCM FD
COM SHS
33734E103
144
11029
SH
DFND
0
11029
0
FRANKLIN STREET PPTYS CORP
COM
35471R106
3097
497053
SH
DFND
0
497053
0
FRANKLIN UNVL TR
SH BEN INT
355145103
11147
1755395
SH
DFND
0
1755395
0
GDL FUND
COM SH BEN IT
361570104
2886
314726
SH
DFND
0
314726
0
GABELLI HLTHCARE & WELLNESS
SHS
36246K103
641
69331
SH
DFND
0
69331
0
GLOBAL WTR RES INC
COM
379463102
2883
284281
SH
DFND
0
284281
0
GLOBAL SELF STORAGE INC
COM
37955N106
1300
331528
SH
DFND
0
331528
0
GREAT PANTHER SILVER LTD
COM
39115V101
2271
3199264
SH
DFND
0
3199264
0
HANNON ARMSTRONG SUST INFR C
COM
41068X100
2894
151911
SH
DFND
0
151911
0
HANNON ARMSTRONG SUST INFR C
NOTE 4.125% 9/0
41068XAB6
988
1086000
PRN
DFND
0
1086000
0
INVESCO SR INCOME TR
COM
46131H107
4848
1239806
SH
DFND
0
1239806
0
INVESCO DYNAMIC CR OPP FD
COM
46132R104
5900
574519
SH
DFND
0
574519
0
ISHARES TR
TIPS BD ETF
464287176
345
3154
SH
DFND
0
3154
0
ISHARES TR
BARCLAYS 7 10 YR
464287440
2494
23937
SH
DFND
0
23937
0
ISHARES TR
1 3 YR TREAS BD
464287457
2419
28934
SH
DFND
0
28934
0
ISHARES TR
0-5 YR TIPS ETF
46429B747
303
3094
SH
DFND
0
3094
0
ISHARES TR
IBONDS DEC2022
46435G755
510
19911
SH
DFND
0
19911
0
KENNEDY-WILSON HLDGS INC
COM
489398107
9222
507541
SH
DFND
0
507541
0
KIMCO RLTY CORP
COM
49446R109
4547
310345
SH
DFND
0
310345
0
LAZARD WORLD DIVID & INCOME
COM
521076109
88
10332
SH
DFND
0
10332
0
KONINKLIJKE PHILIPS N V
NY REG SH NEW
500472303
4841
137882
SH
DFND
0
137882
0
LIBERTY MEDIA CORP DELAWARE
COM SER C FRMLA
531229854
828
33249
SH
DFND
0
33249
0
LIFEWAY FOODS INC
COM
531914109
252
133979
SH
DFND
0
133979
0
MFS INTER INCOME TR
SH BEN INT
55273C107
1224
333460
SH
DFND
0
333460
0
MFS GOVT MKTS INCOME TR
SH BEN INT
552939100
162
36184
SH
DFND
0
36184
0
MERCK & CO INC
COM
58933Y105
7004
91667
SH
DFND
0
91667
0
MORGAN STANLEY ASIA PAC FD I
COM
61744U106
507
30817
SH
DFND
0
30817
0
NEW SR INVT GROUP INC
COM
648691103
133
32175
SH
DFND
0
32175
0
NUCOR CORP
COM
670346105
2677
51668
SH
DFND
0
51668
0
NUVEEN MUNICIPAL CREDIT INC
COM SH BEN INT
67070X101
188
14000
SH
DFND
0
14000
0
NUVEEN FLOATING RATE INCOME
COM
67072T108
248
26850
SH
DFND
0
26850
0
NUVEEN CR STRATEGIES INCM FD
COM SHS
67073D102
8866
1198082
SH
DFND
0
1198082
0
NUVEEN ENHANCED MUN VALUE FD
COM
67074M101
180
14000
SH
DFND
0
14000
0
NUVEEN MUN VALUE FD INC
COM
670928100
215
23200
SH
DFND
0
23200
0
NUVEEN MICHIGAN QLT MUN INC
COM
670979103
2156
173036
SH
DFND
0
173036
0
OMNICOM GROUP INC
COM
681919106
5588
76299
SH
DFND
0
76299
0
OSISKO GOLD ROYALTIES LTD
COM
68827L101
2589
294878
SH
DFND
0
294878
0
PARKER HANNIFIN CORP
COM
701094104
2602
17448
SH
DFND
0
17448
0
PIMCO MUN INCOME FD II
COM
72200W106
200
15000
SH
DFND
0
15000
0
PIMCO ETF TR
25YR+ ZERO U S
72201R882
852
7573
SH
DFND
0
7573
0
PIONEER FLOATING RATE TR
COM
72369J102
2884
293098
SH
DFND
0
293098
0
PROCTER AND GAMBLE CO
COM
742718109
748
8133
SH
DFND
0
8133
0
REGENERON PHARMACEUTICALS
COM
75886F107
3521
9427
SH
DFND
0
9427
0
RIVERNORTH DOUBLELINE STRATE
COM
76882G107
1933
118929
SH
DFND
0
118929
0
ROYAL GOLD INC
NOTE 2.875% 6/1
780287AA6
275
274000
PRN
DFND
0
274000
0
ROYCE GLOBAL VALUE TR INC
COM
78081T104
243
27370
SH
DFND
0
27370
0
SPDR SERIES TRUST
PORTFOLIO LN TSR
78464A664
752
21474
SH
DFND
0
21474
0
SANDSTORM GOLD LTD
COM NEW
80013R206
5945
1289636
SH
DFND
0
1289636
0
SCHWAB STRATEGIC TR
INTRM TRM TRES
808524854
209
3956
SH
DFND
0
3956
0
SCHWAB STRATEGIC TR
US TIPS ETF
808524870
6053
113674
SH
DFND
0
113674
0
SEQUENTIAL BRNDS GROUP INC N
COM
81734P107
143
178438
SH
DFND
0
178438
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
1224
4
SH
DFND
0
4
0
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
670
56589
SH
DFND
0
56589
0
SPECIAL OPPORTUNITIES FD INC
PFD CONV SE B
84741T302
371
14868
SH
DFND
0
14868
0
SPIRIT MTA REIT
COM SHS BEN IN
84861U105
554
77673
SH
DFND
0
77673
0
TEMPLETON DRAGON FD INC
COM
88018T101
173
10187
SH
DFND
0
10187
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
9775
1620989
SH
DFND
0
1620989
0
U S GLOBAL INVS INC
CL A
902952100
554
503581
SH
DFND
0
503581
0
UNITEDHEALTH GROUP INC
COM
91324P102
353
1418
SH
DFND
0
1418
0
UNITI GROUP INC
COM
91325V108
4276
274601
SH
DFND
0
274601
0
VANGUARD SCOTTSDALE FDS
INTER TERM TREAS
92206C706
258
4070
SH
DFND
0
4070
0
VEREIT INC
COM
92339V100
5997
838796
SH
DFND
0
838796
0
VERIZON COMMUNICATIONS INC
COM
92343V104
3100
55134
SH
DFND
0
55134
0
VODAFONE GROUP PLC NEW
SPONSORED ADR
92857W308
3854
199888
SH
DFND
0
199888
0
VOYA PRIME RATE TR
SH BEN INT
92913A100
6359
1416299
SH
DFND
0
1416299
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
342
5011
SH
DFND
0
5011
0
WESTERN ASST MNGD MUN FD INC
COM
95766M105
203
16000
SH
DFND
0
16000
0
WESTERN ASST INFLTN LKD INM
COM SH BEN INT
95766Q106
134
12682
SH
DFND
0
12682
0
WESTERN AST INFL LKD OPP & I
COM
95766R104
7168
706203
SH
DFND
0
706203
0
WESTERN ASSET MUN DEF OPP TR
COM
95768A109
195
10000
SH
DFND
0
10000
0
WESTERN ASSET GLOBAL CP DEFI
COM
95790C107
2929
195555
SH
DFND
0
195555
0
WESTERN ASSET INTM MUNI FD I
COM
958435109
2962
354781
SH
DFND
0
354781
0
WHEATON PRECIOUS METALS CORP
COM
962879102
3891
199248
SH
DFND
0
199248
0
INGERSOLL-RAND PLC
SHS
G47791101
211
2317
SH
DFND
0
2317
0
NXP SEMICONDUCTORS N V
COM
N6596X109
3225
44011
SH
DFND
0
44011
0