Chief Compliance Officer

0001398344-14-002841.txt : 20140515 0001398344-14-002841.hdr.sgml : 20140515 20140515165948 ACCESSION NUMBER: 0001398344-14-002841 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140515 DATE AS OF CHANGE: 20140515 EFFECTIVENESS DATE: 20140515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TRUST & FIDUCIARY MANAGEMENT SERVICES INC CENTRAL INDEX KEY: 0001141800 IRS NUMBER: 043522132 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-06643 FILM NUMBER: 14848553 BUSINESS ADDRESS: STREET 1: 50 FEDERAL STREET, 6TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 617-896-3689 MAIL ADDRESS: STREET 1: 50 FEDERAL STREET, 6TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001141800 XXXXXXXX 03-31-2014 03-31-2014 true 1 RESTATEMENT false TRUST & FIDUCIARY MANAGEMENT SERVICES INC

50 Federal Street, 6th Floor Boston MA 02110

13F HOLDINGS REPORT 028-06643 N James L. Copell Chief Compliance Officer 617-896-3689 /s/ James L. Copell Boston MA 05-15-2014 1 159 178793 1 0001599368 028-15743 Innovator Management LLC INFORMATION TABLE 2 fp0010549_13fhr-table.xml 13F INFORMATION TABLE ABBOTT LABS COM 002824100 43 1125 SH SOLE 0 0 1125 ABBVIE INC COM 00287Y109 56 1090 SH SOLE 0 0 1090 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 77 963 SH SOLE 0 0 963 ALTISOURCE PORTFOLIO SOLNS S REG SHS L0175J104 72 593 SH SOLE 0 0 593 AMDOCS LTD SHS G02602103 82 1773 SH SOLE 0 0 1773 AMERICAN CAP MTG INVT CORP COM 02504A104 2230 118806 SH SOLE 31916 0 86890 AMERICAN CAP MTG INVT CORP COM 02504A104 4112 219052 SH DFND 1 0 0 219052 AMERICAN CAP LTD COM 02503Y103 38 2376 SH SOLE 0 0 2376 AMERICAN RLTY CAP PPTYS INC COM 02917T104 1057 75430 SH SOLE 23210 0 52220 AMERICAN RLTY CAP PPTYS INC COM 02917T104 2232 159180 SH DFND 1 0 0 159180 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 79 752 SH SOLE 0 0 752 APOLLO COML REAL EST FIN INC COM 03762U105 1200 72144 SH SOLE 20306 0 51838 APOLLO COML REAL EST FIN INC COM 03762U105 2318 139399 SH DFND 1 0 0 139399 ARES CAP CORP COM 04010L103 2312 131241 SH SOLE 37137 0 94104 ARES CAP CORP COM 04010L103 4491 254899 SH DFND 1 0 0 254899 ASTRAZENECA PLC SPONSORED ADR 046353108 78 1202 SH SOLE 0 0 1202 AT&T INC COM 00206R102 4 121 SH SOLE 0 0 121 ATHENAHEALTH INC COM 04685W103 89 556 SH SOLE 0 0 556 AVENUE INCOME CR STRATEGIES COM 05358E106 1522 86461 SH SOLE 23018 0 63443 AVENUE INCOME CR STRATEGIES COM 05358E106 2781 158019 SH DFND 1 0 0 158019 AVG TECHNOLOGIES N V SHS N07831105 95 4552 SH SOLE 0 0 4552 BANCO SANTANDER SA ADR 05964H105 1110 115753 SH SOLE 36260 0 79493 BANCO SANTANDER SA ADR 05964H105 2385 248930 SH DFND 1 0 0 248930 BANK MONTREAL QUE COM 063671101 78 1158 SH SOLE 0 0 1158 BECTON DICKINSON & CO COM 075887109 45 385 SH SOLE 0 0 385 BLACKROCK CORPOR HI YLD FD V COM 09255P107 919 74933 SH SOLE 22321 0 52612 BLACKROCK CORPOR HI YLD FD V COM 09255P107 1879 153243 SH DFND 1 0 0 153243 BLACKROCK DEBT STRAT FD INC COM 09255R103 29 7107 SH SOLE 0 0 7107 BLACKROCK KELSO CAPITAL CORP COM 092533108 5 520 SH SOLE 0 0 520 BP PLC SPONSORED ADR 055622104 115 2389 SH SOLE 0 0 2389 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 2214 26227 SH SOLE 7547 0 18680 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 4372 51776 SH DFND 1 0 0 51776 BRISTOL MYERS SQUIBB CO COM 110122108 82 1577 SH SOLE 0 0 1577 CAPSTEAD MTG CORP COM NO PAR 14067E506 1153 91073 SH SOLE 25816 0 65257 CAPSTEAD MTG CORP COM NO PAR 14067E506 2244 177236 SH DFND 1 0 0 177236 GROUPE CGI INC CL A SUB VTG 39945C109 67 2172 SH SOLE 0 0 2172 CHICAGO BRIDGE & IRON CO N V COM 167250109 83 954 SH SOLE 0 0 954 CITIGROUP INC COM NEW 172967424 42 879 SH SOLE 0 0 879 CONOCOPHILLIPS COM 20825C104 45 645 SH SOLE 0 0 645 CONSTELLIUM NV CL A N22035104 96 3262 SH SOLE 0 0 3262 CORE LABORATORIES N V COM N22717107 78 392 SH SOLE 0 0 392 COVIDIEN PLC SHS G2554F113 80 1086 SH SOLE 0 0 1086 CVR PARTNERS LP COM 126633106 1625 76651 SH SOLE 21174 0 55477 CVR PARTNERS LP COM 126633106 3080 145368 SH DFND 1 0 0 145368 CVR REFNG LP COMUNIT REP LT 12663P107 1245 53501 SH SOLE 14356 0 39145 CVR REFNG LP COMUNIT REP LT 12663P107 2295 98577 SH DFND 1 0 0 98577 DANAHER CORP DEL COM 235851102 43 573 SH SOLE 0 0 573 DELPHI AUTOMOTIVE PLC SHS G27823106 82 1207 SH SOLE 0 0 1207 EATON CORP PLC SHS G29183103 76 1006 SH SOLE 0 0 1006 EATON VANCE LTD DUR INCOME F COM 27828H105 51 3350 SH SOLE 0 0 3350 EMERSON ELEC CO COM 291011104 58 868 SH SOLE 0 0 868 EPR PPTYS COM SH BEN INT 26884U109 2343 43895 SH SOLE 13487 0 30408 EPR PPTYS COM SH BEN INT 26884U109 4944 92597 SH DFND 1 0 0 92597 EXXON MOBIL CORP COM 30231G102 34 352 SH SOLE 0 0 352 FIFTH STREET FINANCE CORP COM 31678A103 1081 114199 SH SOLE 29450 0 84749 FIFTH STREET FINANCE CORP COM 31678A103 1912 202129 SH DFND 1 0 0 202129 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 28 2000 SH SOLE 0 0 2000 FRONTIER COMMUNICATIONS CORP COM 35906A108 3024 530162 SH SOLE 145204 0 384958 FRONTIER COMMUNICATIONS CORP COM 35906A108 5686 996704 SH DFND 1 0 0 996704 GARMIN LTD SHS H2906T109 57 1025 SH SOLE 0 0 1025 GENERAL ELECTRIC CO COM 369604103 52 2018 SH SOLE 0 0 2018 HARRIS CORP DEL COM 413875105 94 1283 SH SOLE 0 0 1283 HEWLETT PACKARD CO COM 428236103 77 2387 SH SOLE 0 0 2387 HOLLYFRONTIER CORP COM 436106108 1214 25518 SH SOLE 7248 0 18270 HOLLYFRONTIER CORP COM 436106108 2369 49786 SH DFND 1 0 0 49786 HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 2157 75112 SH SOLE 22921 0 52191 HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 4518 157317 SH DFND 1 0 0 157317 INTEL CORP COM 458140100 51 1977 SH SOLE 0 0 1977 INTERNATIONAL BUSINESS MACHS COM 459200101 83 429 SH SOLE 0 0 429 INVESCO MORTGAGE CAPITAL INC COM 46131B100 1101 66800 SH SOLE 20306 0 46494 INVESCO MORTGAGE CAPITAL INC COM 46131B100 2296 139399 SH DFND 1 0 0 139399 INVESCO MUNI INCOME OPP TRST COM 46132X101 527 79890 SH SOLE 0 0 79890 ISHARES NAT AMT FREE BD 464288414 1590 14860 SH SOLE 7430 0 7430 JPMORGAN CHASE & CO COM 46625H100 43 708 SH SOLE 0 0 708 KKR & CO L P DEL COM UNITS 48248M102 2298 100611 SH SOLE 31909 0 68702 KKR & CO L P DEL COM UNITS 48248M102 5003 219054 SH DFND 1 0 0 219054 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 79 3330 SH SOLE 0 0 3330 MARKET VECTORS ETF TR HG YLD MUN ETF 57060U878 1590 53860 SH SOLE 26930 0 26930 MASCO CORP COM 574599106 51 2299 SH SOLE 0 0 2299 MCDONALDS CORP COM 580135101 38 383 SH SOLE 0 0 383 MERCK & CO INC NEW COM 58933Y105 65 1138 SH SOLE 0 0 1138 MICROSOFT CORP COM 594918104 59 1450 SH SOLE 0 0 1450 MOODYS CORP COM 615369105 40 500 SH SOLE 0 0 500 MORGAN STANLEY EM MKTS DM DE COM 617477104 2321 176914 SH SOLE 50774 0 126140 MORGAN STANLEY EM MKTS DM DE COM 617477104 4572 348500 SH DFND 1 0 0 348500 MYLAN INC COM 628530107 66 1346 SH SOLE 0 0 1346 NAVIOS MARITIME PARTNERS L P UNIT LPI Y62267102 1970 101083 SH SOLE 27563 0 73520 NAVIOS MARITIME PARTNERS L P UNIT LPI Y62267102 3687 189185 SH DFND 1 0 0 189185 NIPPON TELEG & TEL CORP SPONSORED ADR 654624105 74 2717 SH SOLE 0 0 2717 NISKA GAS STORAGE PARTNERS L UNIT LTD LIABI 654678101 1325 91235 SH SOLE 24229 0 67006 NISKA GAS STORAGE PARTNERS L UNIT LTD LIABI 654678101 2414 166281 SH DFND 1 0 0 166281 NORTHERN TIER ENERGY LP COM UN REPR PART 665826103 1216 47277 SH SOLE 13347 0 33930 NORTHERN TIER ENERGY LP COM UN REPR PART 665826103 2356 91603 SH DFND 1 0 0 91603 NOVARTIS A G SPONSORED ADR 66987V109 83 972 SH SOLE 0 0 972 NU SKIN ENTERPRISES INC CL A 67018T105 79 957 SH SOLE 0 0 957 NUSTAR ENERGY LP UNIT COM 67058H102 1132 20601 SH SOLE 5656 0 14945 NUSTAR ENERGY LP UNIT COM 67058H102 2134 38830 SH DFND 1 0 0 38830 NUVEEN DIVER CURRENCY OPPOR COM 67090N109 9 860 SH SOLE 0 0 860 NUVEEN PFD INCOME OPPRTNY FD COM 67073B106 1139 122663 SH SOLE 37716 0 84947 NUVEEN PFD INCOME OPPRTNY FD COM 67073B106 2405 258882 SH DFND 1 0 0 258882 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 12 900 SH SOLE 0 0 900 OCH ZIFF CAP MGMT GROUP CL A 67551U105 1405 102068 SH SOLE 29011 0 73057 OCH ZIFF CAP MGMT GROUP CL A 67551U105 2742 199144 SH DFND 1 0 0 199144 OPEN TEXT CORP COM 683715106 77 1620 SH SOLE 0 0 1620 PENTAIR LTD SHS H6169Q108 79 992 SH SOLE 0 0 992 PETROLOGISTICS LP UNIT LTD PTH INT 71672U101 1327 106630 SH SOLE 28290 0 78340 PETROLOGISTICS LP UNIT LTD PTH INT 71672U101 2433 195570 SH DFND 1 0 0 195570 PFIZER INC COM 717081103 44 1382 SH SOLE 0 0 1382 PROCTER & GAMBLE CO COM 742718109 55 683 SH SOLE 0 0 683 PROSPECT CAPITAL CORPORATION COM 74348T102 2165 200498 SH SOLE 55117 0 145381 PROSPECT CAPITAL CORPORATION COM 74348T102 4086 378369 SH DFND 1 0 0 378369 PUTNAM MANAGED MUN INCOM TR COM 746823103 289 41580 SH SOLE 0 0 41580 REED ELSEVIER N V SPONS ADR NEW 758204200 84 1929 SH SOLE 0 0 1929 REGENCY ENERGY PARTNERS L P COM UNITS L P 75885Y107 1274 46821 SH SOLE 14255 0 32566 REGENCY ENERGY PARTNERS L P COM UNITS L P 75885Y107 2665 97910 SH DFND 1 0 0 97910 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 75 1022 SH SOLE 0 0 1022 SANOFI RIGHT 12/31/2020 80105N113 0 100 SH SOLE 0 0 100 SANOFI SPONSORED ADR 80105N105 81 1541 SH SOLE 0 0 1541 SAP AG SPON ADR 803054204 74 916 SH SOLE 0 0 916 SASOL LTD SPONSORED ADR 803866300 89 1600 SH SOLE 0 0 1600 SEADRILL LIMITED SHS G7945E105 1767 50242 SH SOLE 15524 0 34718 SEADRILL LIMITED SHS G7945E105 3746 106536 SH DFND 1 0 0 106536 SENIOR HSG PPTYS TR SH BEN INT 81721M109 1134 50450 SH SOLE 15379 0 35071 SENIOR HSG PPTYS TR SH BEN INT 81721M109 2370 105457 SH DFND 1 0 0 105457 SHIP FINANCE INTERNATIONAL L SHS G81075106 1235 68753 SH SOLE 19437 0 49316 SHIP FINANCE INTERNATIONAL L SHS G81075106 2398 133429 SH DFND 1 0 0 133429 SPECTRA ENERGY CORP COM 847560109 39 1050 SH SOLE 0 0 1050 SPX CORP COM 784635104 55 559 SH SOLE 0 0 559 STONE HBR EMERG MRKTS INC FD COM 86164T107 699 37805 SH SOLE 8705 0 29100 STONE HBR EMERG MRKTS INC FD COM 86164T107 1105 59740 SH DFND 1 0 0 59740 STONEMOR PARTNERS L P COM UNITS 86183Q100 1377 54732 SH SOLE 14505 0 40227 STONEMOR PARTNERS L P COM UNITS 86183Q100 2504 99572 SH DFND 1 0 0 99572 STUDENT TRANSN INC COM 86388A108 545 88080 SH SOLE 27130 0 60950 STUDENT TRANSN INC COM 86388A108 1151 185931 SH DFND 1 0 0 185931 TARO PHARMACEUTICAL INDS LTD SHS M8737E108 83 751 SH SOLE 0 0 751 TE CONNECTIVITY LTD REG SHS H84989104 90 1495 SH SOLE 0 0 1495 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 2 40 SH SOLE 0 0 40 TERRA NITROGEN CO L P COM UNIT 881005201 1087 7140 SH SOLE 2030 0 5110 TERRA NITROGEN CO L P COM UNIT 881005201 2121 13940 SH DFND 1 0 0 13940 THERMO FISHER SCIENTIFIC INC COM 883556102 72 595 SH SOLE 0 0 595 TOTAL S A SPONSORED ADR 89151E109 81 1229 SH SOLE 0 0 1229 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 77 680 SH SOLE 0 0 680 TUPPERWARE BRANDS CORP COM 899896104 26 313 SH SOLE 0 0 313 TYCO INTERNATIONAL LTD SHS H89128104 83 1958 SH SOLE 0 0 1958 UNITED PARCEL SERVICE INC CL B 911312106 38 393 SH SOLE 0 0 393 VANGUARD NAT RES LLC COM UNIT 92205F106 2311 77638 SH SOLE 21763 0 55875 VANGUARD NAT RES LLC COM UNIT 92205F106 4446 149358 SH DFND 1 0 0 149358 VERIZON COMMUNICATIONS INC COM 92343V104 41 867 SH SOLE 0 0 867 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