13F-HR filed by Shaker Financial Services, LLC
Shaker Financial Services, LLC filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-02, with 140 holding rows worth $249,890,000.
- Accession
- 0001172661-21-002095
- Filer
- CIK 1511794
- Filed
- 2021-11-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 140 entries on the cover page, a total value of $249,890,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $249,890,000 with VALUE read as thousands by filing date, 13F file number 028-14234. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 639,251 | $8,381,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 226,654 | $7,566,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 174,275 | $7,504,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 169,384 | $7,156,000 | thousands by filing date | |
| VIRTUS DIVIDEND, INTEREST & PR | 92840R101 | COM | 475,512 | $7,052,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 259,559 | $6,694,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 138,562 | $6,184,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 490,424 | $5,601,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 276,243 | $5,470,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 300,394 | $5,413,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 296,633 | $5,268,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 284,109 | $4,759,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 234,213 | $4,626,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 461,580 | $4,523,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 500,753 | $4,321,000 | thousands by filing date | |
| VIRTUS EQUITY & CONV INCM FD | 92841M101 | COM | 131,032 | $3,862,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 221,428 | $3,784,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 233,509 | $3,699,000 | thousands by filing date | |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 235,307 | $3,624,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 304,168 | $3,559,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 240,000 | $3,302,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 518,246 | $3,187,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 156,348 | $3,158,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 300,918 | $3,099,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 180,809 | $3,092,000 | thousands by filing date | |
| ANGEL OAK FINL STRATEGIES IN | 03464A100 | COM BEN INT | 176,758 | $3,008,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 184,150 | $2,913,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 251,029 | $2,799,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 275,692 | $2,790,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 672,712 | $2,738,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 197,459 | $2,735,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 230,415 | $2,712,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 445,263 | $2,605,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 129,493 | $2,594,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 245,827 | $2,490,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 170,091 | $2,420,000 | thousands by filing date | |
| VIRTUS ALLIANZGI ARTIFICIAL IN | 92838Y100 | COM | 89,874 | $2,398,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 351,402 | $2,305,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 483,343 | $2,209,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 170,279 | $2,195,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 79,866 | $2,192,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 212,370 | $2,119,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 173,927 | $2,037,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 86,564 | $1,981,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 68,526 | $1,945,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 117,623 | $1,927,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 227,202 | $1,884,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 230,617 | $1,870,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 70,439 | $1,791,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 109,902 | $1,785,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 130,619 | $1,735,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 306,643 | $1,650,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 396,588 | $1,646,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 141,930 | $1,631,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 115,750 | $1,546,000 | thousands by filing date | |
| SABA CAPITAL INCOME & OPRNT | 78518H103 | SHARES | 336,613 | $1,532,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 155,697 | $1,516,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 122,602 | $1,510,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 128,364 | $1,481,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 221,809 | $1,475,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 70,134 | $1,472,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 143,842 | $1,424,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 74,908 | $1,346,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 143,605 | $1,318,000 | thousands by filing date | |
| VIRTUS ALLIANZGI CONVERTIBLE & | 92838U108 | COM | 238,955 | $1,240,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 65,542 | $1,182,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 96,954 | $1,127,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 84,598 | $1,115,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 70,944 | $1,102,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 20,623 | $1,076,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 86,438 | $1,061,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 123,355 | $1,061,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 199,572 | $1,036,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 34,509 | $1,023,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 68,735 | $1,010,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 63,280 | $1,008,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 102,524 | $981,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 29,694 | $979,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 85,812 | $953,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 108,870 | $910,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 55,501 | $882,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 89,004 | $872,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 23,574 | $830,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 81,979 | $826,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 77,685 | $825,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 134,309 | $817,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 87,663 | $799,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 59,437 | $794,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 57,267 | $779,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 47,675 | $766,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 67,890 | $749,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 84,686 | $745,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 53,653 | $730,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 77,218 | $724,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 74,253 | $672,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 90,061 | $666,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 33,615 | $663,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 80,299 | $642,000 | thousands by filing date | |
| VIRTUS ALLIANZGI CONVERTIBLE & | 92838X102 | COM | 105,030 | $626,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 40,089 | $605,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 31,849 | $570,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 127,811 | $569,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 227,314 | $561,000 | thousands by filing date | |
| VIRTUS DIVERSIFIED INCM & CO | 92840N100 | COM | 16,393 | $555,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 61,099 | $555,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 21,610 | $536,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 145,826 | $528,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 34,595 | $515,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 26,000 | $512,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 38,129 | $467,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 116,118 | $461,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 35,853 | $457,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 26,760 | $454,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 43,176 | $416,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 15,638 | $390,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 9,459 | $387,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 29,834 | $376,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 22,308 | $345,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 36,026 | $343,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 19,935 | $315,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 15,717 | $309,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 47,809 | $273,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 30,648 | $264,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 19,850 | $262,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 43,736 | $258,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 12,024 | $249,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 13,302 | $248,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 28,809 | $240,000 | thousands by filing date | |
| CALAMOS LNG SHR EQT DYNAMIC | 12812C106 | COM | 11,624 | $237,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 16,091 | $235,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 400 | $230,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 18,120 | $227,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 13,861 | $206,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 37,000 | $204,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 21,438 | $161,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 14,700 | $143,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 22,800 | $138,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 18,000 | $106,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 14,685 | $74,000 | thousands by filing date | |
| ANGEL OAK FINL STRATEGIES IN | 03464A118 | RIGHT 10/14/2021 | 139,680 | $30,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001172661-21-002095 | this filing | 2021-11-02 | acceptance time not in the bulk data set |