0001172661-23-003578.txt : 20231102
0001172661-23-003578.hdr.sgml : 20231102
20231102135552
ACCESSION NUMBER: 0001172661-23-003578
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20230930
FILED AS OF DATE: 20231102
DATE AS OF CHANGE: 20231102
EFFECTIVENESS DATE: 20231102
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: 231371310
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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09-30-2023
09-30-2023
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
11-02-2023
0
155
214557121
INFORMATION TABLE
2
infotable.xml
ABRDN ASIA PACIFIC INCOME FU
COM
003009107
405914
165679
SH
SOLE
165679
0
0
ABRDN AUSTRALIA EQUITY FD IN
COM
003011103
263047
66594
SH
SOLE
66594
0
0
ABRDN EMRG MKTS EQTY INCM FD
COM
00301W105
351540
73698
SH
SOLE
73698
0
0
ABRDN GLOBAL DYNAMIC DIVIDEN
COM
00302M106
1680829
194091
SH
SOLE
194091
0
0
ABRDN JAPAN EQUITY FUND INC
COM
00306J109
355631
66473
SH
SOLE
66473
0
0
ABRDN TOTAL DYNAMIC DIVIDEND
COM SH BEN INT
00326L100
140972
18647
SH
SOLE
18647
0
0
ADAMS DIVERSIFIED EQUITY FD
COM
006212104
470014
28246
SH
SOLE
28229
0
17
ADOBE INC
COM
00724F101
203960
400
SH
SOLE
400
0
0
ADVENT CONV & INCOME FD
COM
00764C109
2210065
210683
SH
SOLE
208598
0
2085
ALLSPRING GLOBAL DIVIDEND OP
COM
94987C103
1825983
444344
SH
SOLE
438828
0
5516
ALLSPRING INCOME OPPORTUNIT
INC OPPTY FD
94987B105
3543430
576601
SH
SOLE
576601
0
0
ALLSPRING MULTI SECTOR INCOM
COM
94987D101
1114705
121675
SH
SOLE
120952
0
723
ANGEL OAK FINL STRATEGIES IN
COM BEN INT
03464A100
120653
10021
SH
SOLE
10021
0
0
BANCROFT FD LTD
COM
059695106
1171633
74295
SH
SOLE
73536
0
759
BARINGS GLOBAL SHORT DURATIO
COM
06760L100
456832
35689
SH
SOLE
35689
0
0
BLACKROCK CORPOR HI YLD FD I
COM
09255P107
466875
54099
SH
SOLE
54099
0
0
BLACKROCK CR ALLOCATION INCO
COM
092508100
100818
10415
SH
SOLE
10415
0
0
BLACKROCK DEBT STRATEGIES FD
COM NEW
09255R202
2544722
247782
SH
SOLE
247248
0
534
BLACKROCK ENHANCED EQUITY DI
COM
09251A104
6548494
860512
SH
SOLE
853277
0
7235
BLACKROCK ENHANCED INTL DIV
COM BENE INTER
092524107
579115
116055
SH
SOLE
116055
0
0
BLACKROCK LTD DURATION INCOM
COM SHS
09249W101
1941789
150760
SH
SOLE
148807
0
1953
BLACKSTONE LONG SHORT CR INC
COM SHS BN INT
09257D102
740812
63589
SH
SOLE
63080
0
509
BLACKSTONE SENI FLTN RAT 202
COM
09256U105
975757
73642
SH
SOLE
72168
0
1474
BLACKSTONE STRATEGIC CRED 20
COM SHS BEN IN
09257R101
131880
12000
SH
SOLE
12000
0
0
BNY MELLON ALCENTRA GLOBAL C
COM
05588N108
263344
33936
SH
SOLE
33936
0
0
BNY MELLON HIGH YIELD STRATE
SH BEN INT
09660L105
1172432
547865
SH
SOLE
547865
0
0
BRANDYWINEGBL GBL INCM OPP F
COM
10537L104
654439
86241
SH
SOLE
86241
0
0
CALAMOS GBL DYN INCOME FUND
COM
12811L107
2126995
383934
SH
SOLE
383934
0
0
CALAMOS GLOBAL TOTAL RETURN
COM SH BEN INT
128118106
566418
64726
SH
SOLE
64726
0
0
CALAMOS LNG SHR EQT DYNAMIC
COM
12812C106
1699505
114909
SH
SOLE
112930
0
1979
CBRE GBL REAL ESTATE INC FD
COM
12504G100
870300
193400
SH
SOLE
190718
0
2682
CENTRAL SECS CORP
COM
155123102
7369543
207886
SH
SOLE
206901
0
985
CHINA FD INC
COM
169373107
564687
53424
SH
SOLE
53424
0
0
CLOUGH GLOBAL DIVID & INCOME
COM
18913Y103
386324
77731
SH
SOLE
77731
0
0
CLOUGH GLOBAL EQUITY FD
COM
18914C100
443168
80870
SH
SOLE
80870
0
0
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
1285795
290247
SH
SOLE
287545
0
2702
COHEN & STEERS CLOSED-END OP
COM
19248P106
531026
51456
SH
SOLE
51456
0
0
COHEN & STEERS LTD DURATION
COM
19248C105
1057683
61961
SH
SOLE
61961
0
0
COHEN & STEERS SELECT PFD &
COM
19248Y107
225854
12485
SH
SOLE
11124
0
1361
CREDIT SUISSE ASSET MGMT INC
COM
224916106
210650
81332
SH
SOLE
81332
0
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
144156
12300
SH
SOLE
12288
0
12
EATON VANCE ENHANCED EQUITY
COM
278277108
1652768
96203
SH
SOLE
96203
0
0
EATON VANCE FLTING RATE INC
COM
278279104
1220131
99117
SH
SOLE
98734
0
383
EATON VANCE LTD DURATION INC
COM
27828H105
2703657
299077
SH
SOLE
295461
0
3616
EATON VANCE RISK-MANAGED DIV
COM
27829G106
1432873
186572
SH
SOLE
186572
0
0
EATON VANCE SHORT DURATION D
COM
27828V104
320776
30933
SH
SOLE
30148
0
785
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
1171716
96756
SH
SOLE
95583
0
1173
EATON VANCE TAX ADVT DIV INC
COM
27828G107
2448091
115585
SH
SOLE
113863
0
1722
EATON VANCE TAX MNGED BUY WR
COM
27828X100
2643069
209601
SH
SOLE
206416
0
3185
EATON VANCE TAX-MANAGED BUY-
COM
27828Y108
1753785
146515
SH
SOLE
145487
0
1028
EATON VANCE TAX-MANAGED DIVE
COM
27828N102
886688
76836
SH
SOLE
75997
0
839
EATON VANCE TAX-MANAGED GLOB
COM
27829F108
3374384
457854
SH
SOLE
455880
0
1974
EATON VANCE TAX-MANAGED GLOB
COM
27829C105
1882145
246354
SH
SOLE
246153
0
201
EATON VANCE TX ADV GLBL DIV
COM
27828S101
8907343
579151
SH
SOLE
576191
0
2960
ECOFIN SUSTAINABLE AND SOCIA
COM SH BEN INT
27901F109
303298
25317
SH
SOLE
25317
0
0
EUROPEAN EQUITY FD INC
COM
298768102
2448435
307983
SH
SOLE
307707
0
276
FIRST TR ABRDN GBL OPP INCM
COM SHS
337319107
224729
39426
SH
SOLE
39426
0
0
FIRST TR DYNAMIC EUROPE EQUI
COM SHS
33740D107
298258
24053
SH
SOLE
24053
0
0
FIRST TR ENHANCED EQUITY INC
COM
337318109
599580
34718
SH
SOLE
34718
0
0
FIRST TR HIGH INCOME LONG /
COM
33738E109
3028572
282516
SH
SOLE
281149
0
1367
FIRST TR HIGH YIELD OPPRT 20
COM
33741Q107
738022
55407
SH
SOLE
54861
0
546
FIRST TR INTER DURATN PFD &
COM
33718W103
1855646
124540
SH
SOLE
123422
0
1118
FIRST TR SPECIALTY FIN & FIN
COM BEN INTR
33733G109
932901
276825
SH
SOLE
276825
0
0
FIRST TR SR FLTG RATE INCOME
COM
33733U108
246760
24676
SH
SOLE
23055
0
1621
FLAHERTY & CRUMRINE DYNAMIC
SHS
33848W106
307512
18337
SH
SOLE
18337
0
0
FRANKLIN LTD DURATION INCOME
COM
35472T101
1818889
298668
SH
SOLE
298277
0
391
FRANKLIN UNVL TR
SH BEN INT
355145103
259792
40912
SH
SOLE
40912
0
0
GABELLI DIVID & INCOME TR
COM
36242H104
5865612
301729
SH
SOLE
301729
0
0
GABELLI GLOBAL SMALL & MID C
COM
36249W104
474136
45766
SH
SOLE
45766
0
0
GENERAL AMERN INVS CO INC
COM
368802104
5012580
121842
SH
SOLE
121362
0
480
HANCOCK JOHN INVT TR
TAX ADV GLB SH
41013P749
411198
93454
SH
SOLE
90818
0
2636
HANCOCK JOHN INVT TR II
COM
410142103
1829232
150554
SH
SOLE
149529
0
1025
HANCOCK JOHN PFD INCOME FD
SH BEN INT
41013W108
236049
16201
SH
SOLE
16201
0
0
HANCOCK JOHN PREM DIVID FD
COM SH BEN INT
41013T105
1561173
162284
SH
SOLE
162284
0
0
HIGHLAND GLOBAL ALLOCATION F
COM
43010T104
3222760
402845
SH
SOLE
399159
0
3686
INVESCO HIG INCM 2023 TARG T
COM
46135X108
1125121
165216
SH
SOLE
165216
0
0
INVESCO HIGH INCOME TR II
COM
46131F101
962591
96842
SH
SOLE
96842
0
0
INVESCO QQQ TR
UNIT SER 1
46090E103
224613
626
SH
SOLE
593
0
33
INVESCO SR INCOME TR
COM
46131H107
312495
79718
SH
SOLE
79718
0
0
JAPAN SMALLER CAPITALIZATION
COM
47109U104
537751
75633
SH
SOLE
75633
0
0
JOHN HANCOCK HEDGED EQUITY &
COM
47804L102
2340947
244613
SH
SOLE
242734
0
1879
KKR INCOME OPPORTUNITIES FD
COM
48249T106
365761
30582
SH
SOLE
30582
0
0
KOREA FD INC
COM NEW
500634209
268049
12746
SH
SOLE
12746
0
0
LAZARD GLOBAL TOTAL RETURN &
COM
52106W103
424058
30640
SH
SOLE
30640
0
0
LIBERTY ALL STAR EQUITY FD
SH BEN INT
530158104
1567693
264813
SH
SOLE
264813
0
0
LIBERTY ALL-STAR GROWTH FD I
COM
529900102
3958808
801378
SH
SOLE
799874
0
1504
MADISON COVERED CALL & EQUIT
COM
557437100
344578
48738
SH
SOLE
48738
0
0
MEXICO EQUITY & INCOME FD
COM
592834105
834485
88775
SH
SOLE
88775
0
0
MEXICO FD INC
COM
592835102
468243
28430
SH
SOLE
28430
0
0
MFS CHARTER INCOME TR
SH BEN INT
552727109
1278641
218571
SH
SOLE
213005
0
5566
MFS INTER INCOME TR
SH BEN INT
55273C107
168934
63035
SH
SOLE
61603
0
1432
MFS MULTIMARKET INCOME TR
SH BEN INT
552737108
886886
208189
SH
SOLE
206153
0
2036
MFS SPL VALUE TR
SH BEN INT
55274E102
803605
206053
SH
SOLE
206043
0
10
MORGAN STANLEY CHINA A SH FD
COM
617468103
506610
40659
SH
SOLE
40659
0
0
NEUBERGER BERMAN REAL ESTATE
COM
64190A103
51864
18589
SH
SOLE
18589
0
0
NEW GERMANY FD INC
COM
644465106
1907606
233489
SH
SOLE
231990
0
1499
NUVEEN CORE EQUITY ALPHA FD
COM
67090X107
2569491
200827
SH
SOLE
199800
0
1027
NUVEEN CORE PLUS IMPACT FUND
COM BEN INT
67080D103
485420
52525
SH
SOLE
52525
0
0
NUVEEN CR STRATEGIES INCOME
COM SHS
67073D102
122736
24000
SH
SOLE
24000
0
0
NUVEEN DOW 30 DYNMC OVERWRT
SHS
67075F105
3099597
218897
SH
SOLE
218220
0
677
NUVEEN FLOATING RATE INCOME
COM
67072T108
3413656
411310
SH
SOLE
404763
0
6547
NUVEEN NASDAQ 100 DYNAMIC OV
COM SHS
670699107
813669
34074
SH
SOLE
34041
0
33
NUVEEN PFD & INCOME OPPORTUN
COM
67073B106
1062106
166631
SH
SOLE
166631
0
0
NUVEEN PFD & INCOME SECS FD
COM
67072C105
2074816
334224
SH
SOLE
332995
0
1229
NUVEEN S&P 500 BUY-WRITE INC
COM
6706ER101
4233844
329499
SH
SOLE
328385
0
1114
NUVEEN S&P 500 DYNAMIC OVERW
COM
6706EW100
1609409
104907
SH
SOLE
104603
0
304
NUVEEN TAXABLE MUNICPAL INM
COM
67074C103
391237
26805
SH
SOLE
26805
0
0
PGIM GLOBAL HIGH YIELD FD FO
COM
69346J106
1054899
97857
SH
SOLE
97857
0
0
PGIM HIGH YIELD BOND FUND IN
COM
69346H100
1215228
103160
SH
SOLE
102288
0
872
PGIM SHORT DUR HIG YLD OPP F
COM
69355J104
1455304
100435
SH
SOLE
100435
0
0
PIMCO DYNAMIC INCOME OPRNTS
COM BEN SHS
69355M107
1367804
115135
SH
SOLE
115135
0
0
PIMCO GLOBAL STOCKSPLS INCM
COM
722011103
202645
30611
SH
SOLE
30611
0
0
PIMCO INCOME STRATEGY FD
COM
72201H108
1262101
163603
SH
SOLE
163603
0
0
PIMCO INCOME STRATEGY FD II
COM
72201J104
1776356
268195
SH
SOLE
268195
0
0
PIONEER DIVERSIFIED HIGH INC
COM
723653101
2174500
212769
SH
SOLE
211884
0
885
PIONEER FLOATING RATE FUND I
COM
72369J102
769752
85433
SH
SOLE
85433
0
0
PIONEER HIGH INCOME FUND INC
COM
72369H106
1351475
201412
SH
SOLE
200330
0
1082
PUTNAM MASTER INTER INCOME T
SH BEN INT
746909100
58547
19246
SH
SOLE
19246
0
0
PUTNAM PREMIER INCOME TR
SH BEN INT
746853100
572729
169613
SH
SOLE
169593
0
20
RIVERNORTH DOUBLELINE STRATE
COM
76882G107
1781957
225279
SH
SOLE
224234
0
1045
RIVERNORTH OPPORTUNITIES FD
COM
76881Y109
509462
48474
SH
SOLE
48474
0
0
ROYCE GLOBAL VALUE TR INC
COM
78081T104
935674
107419
SH
SOLE
107419
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
2165196
261497
SH
SOLE
261497
0
0
ROYCE VALUE TR INC
COM
780910105
4589661
356617
SH
SOLE
356342
0
275
SOURCE CAP INC
COM
836144105
2169723
56225
SH
SOLE
56225
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
1816790
4250
SH
SOLE
4250
0
0
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
2333643
213508
SH
SOLE
210421
0
3087
SPROTT FOCUS TR INC
COM
85208J109
5112374
678934
SH
SOLE
672843
0
6091
SRH TOTAL RETURN FUND INC
COM
101507101
7945383
612125
SH
SOLE
611247
0
878
SWISS HELVETIA FD INC
COM
870875101
2174926
284676
SH
SOLE
279340
0
5336
TAIWAN FD INC
COM
874036106
1004990
33522
SH
SOLE
33144
0
378
TEKLA HEALTHCARE INVS
SH BEN INT
87911J103
263439
16941
SH
SOLE
16941
0
0
TEKLA LIFE SCIENCES INVS
SH BEN INT
87911K100
829605
66528
SH
SOLE
64911
0
1617
TEMPLETON DRAGON FD INC
COM
88018T101
1013262
118649
SH
SOLE
118649
0
0
TEMPLETON EMERGING MKTS FD
COM
880191101
302566
26752
SH
SOLE
26752
0
0
TEMPLETON EMERGING MKTS INCO
COM
880192109
1699897
368741
SH
SOLE
368741
0
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
410762
106415
SH
SOLE
104132
0
2283
THORNBURG INCM BUILDER OPP T
COM
885213108
173186
11862
SH
SOLE
11630
0
232
TRI CONTL CORP
COM
895436103
2338086
87931
SH
SOLE
87691
0
240
VIRTUS ARTIFICIAL INTELLIGEN
COM
92838Y100
610771
36994
SH
SOLE
36994
0
0
VIRTUS CONVERTIBLE & INC FD
COM
92838U108
169320
60253
SH
SOLE
60253
0
0
VIRTUS CONVERTIBLE & INCOME
COM
92838X102
342625
109022
SH
SOLE
109022
0
0
VIRTUS DIVERSIFIED INCM & CO
COM
92840N100
649691
34465
SH
SOLE
34465
0
0
VIRTUS DIVIDEND INTEREST & P
COM
92840R101
492855
43500
SH
SOLE
43500
0
0
VIRTUS GLOBAL MULTI-SECTOR I
COM
92829B101
2958681
403090
SH
SOLE
403090
0
0
VIRTUS TOTAL RETURN FD INC
COM
92835W107
973239
202758
SH
SOLE
202056
0
702
VOYA ASIA PAC HIGH DIV EQT I
COM
92912J102
1073968
185487
SH
SOLE
181738
0
3749
VOYA EMERGING MKTS HIGH DIVI
COM
92912P108
317586
64419
SH
SOLE
64419
0
0
VOYA GLBL ADV & PREM OPP FD
COM
92912R104
1908295
229915
SH
SOLE
229915
0
0
VOYA GLBL EQTY DIV & PREM OP
COM
92912T100
376639
76865
SH
SOLE
76865
0
0
WESTERN ASSET DIVERSIFIED IN
COM SHS BEN INT
95790K109
230000
17190
SH
SOLE
17190
0
0
WESTERN ASSET EMERGING MKTS
COM
95766A101
552288
65870
SH
SOLE
65870
0
0
WESTERN ASSET GBL HIGH INC F
COM
95766B109
300393
45104
SH
SOLE
45104
0
0
WESTERN ASSET HIGH INCOME OP
COM
95766K109
505933
137650
SH
SOLE
137650
0
0
WESTERN ASSET HIGH YIELD DEF
COM
95768B107
1057246
91261
SH
SOLE
90536
0
725