Shaker Financial Services, LLC — Q3 2023 13F-HR

← Shaker Financial Services, LLC

Q3 2023 · 13F-HR

Shaker Financial Services, LLCholdings as filed

Filed 2023-11-02 · accession 0001172661-23-003578

$214.6M

Reported value

155

Positions

2023-09-30

Period end

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Holdings as filed

CUSIP	Ticker	Issuer	Value	% port.	Shares	Class	Voting
27828S101	ETG	EATON VANCE TX ADV GLBL DIV	$8.9M	4.15%	579,151	Common	SOLE
101507101	STEW	SRH TOTAL RETURN FUND INC	$7.9M	3.70%	612,125	Common	SOLE
155123102	CET	CENTRAL SECS CORP	$7.4M	3.43%	207,886	Common	SOLE
09251A104	BDJ	BLACKROCK ENHANCED EQUITY DI	$6.5M	3.05%	860,512	Common	SOLE
36242H104	XGDVX	GABELLI DIVID & INCOME TR	$5.9M	2.73%	301,729	Common	SOLE
85208J109	FUND	SPROTT FOCUS TR INC	$5.1M	2.38%	678,934	Common	SOLE
368802104	GAM	GENERAL AMERN INVS CO INC	$5.0M	2.34%	121,842	Common	SOLE
780910105	RVT	ROYCE VALUE TR INC	$4.6M	2.14%	356,617	Common	SOLE
6706ER101	XBXMX	NUVEEN S&P 500 BUY-WRITE INC	$4.2M	1.97%	329,499	Common	SOLE
529900102	ASG	LIBERTY ALL-STAR GROWTH FD I	$4.0M	1.85%	801,378	Common	SOLE
94987B105	XEADX	ALLSPRING INCOME OPPORTUNIT	$3.5M	1.65%	576,601	Common	SOLE
67072T108	JFR	NUVEEN FLOATING RATE INCOME	$3.4M	1.59%	411,310	Common	SOLE
27829F108	XEXGX	EATON VANCE TAX-MANAGED GLOB	$3.4M	1.57%	457,854	Common	SOLE
43010T104	HGLB	HIGHLAND GLOBAL ALLOCATION F	$3.2M	1.50%	402,845	Common	SOLE
67075F105	XDIAX	NUVEEN DOW 30 DYNMC OVERWRT	$3.1M	1.44%	218,897	Common	SOLE
33738E109	—	FIRST TR HIGH INCOME LONG /	$3.0M	1.41%	282,516	Common	SOLE
92829B101	VGI	VIRTUS GLOBAL MULTI-SECTOR I	$3.0M	1.38%	403,090	Common	SOLE
27828H105	XEVVX	EATON VANCE LTD DURATION INC	$2.7M	1.26%	299,077	Common	SOLE
27828X100	ETB	EATON VANCE TAX MNGED BUY WR	$2.6M	1.23%	209,601	Common	SOLE
67090X107	JCE	NUVEEN CORE EQUITY ALPHA FD	$2.6M	1.20%	200,827	Common	SOLE
09255R202	DSU	BLACKROCK DEBT STRATEGIES FD	$2.5M	1.19%	247,782	Common	SOLE
298768102	EEA	EUROPEAN EQUITY FD INC	$2.4M	1.14%	307,983	Common	SOLE
27828G107	XEVTX	EATON VANCE TAX ADVT DIV INC	$2.4M	1.14%	115,585	Common	SOLE
47804L102	HEQ	JOHN HANCOCK HEDGED EQUITY &	$2.3M	1.09%	244,613	Common	SOLE
895436103	TY	TRI CONTL CORP	$2.3M	1.09%	87,931	Common	SOLE
84741T104	SPE	SPECIAL OPPORTUNITIES FD INC	$2.3M	1.09%	213,508	Common	SOLE
00764C109	AVK	ADVENT CONV & INCOME FD	$2.2M	1.03%	210,683	Common	SOLE
870875101	SWZ	SWISS HELVETIA FD INC	$2.2M	1.01%	284,676	Common	SOLE
723653101	XHNWX	PIONEER DIVERSIFIED HIGH INC	$2.2M	1.01%	212,769	Common	SOLE
836144105	—	SOURCE CAP INC	$2.2M	1.01%	56,225	Common	SOLE
780915104	RMT	ROYCE MICRO-CAP TR INC	$2.2M	1.01%	261,497	Common	SOLE
12811L107	CHW	CALAMOS GBL DYN INCOME FUND	$2.1M	0.99%	383,934	Common	SOLE
67072C105	—	NUVEEN PFD & INCOME SECS FD	$2.1M	0.97%	334,224	Common	SOLE
09249W101	BLW	BLACKROCK LTD DURATION INCOM	$1.9M	0.91%	150,760	Common	SOLE
92912R104	IGA	VOYA GLBL ADV & PREM OPP FD	$1.9M	0.89%	229,915	Common	SOLE
644465106	GF	NEW GERMANY FD INC	$1.9M	0.89%	233,489	Common	SOLE
27829C105	ETW	EATON VANCE TAX-MANAGED GLOB	$1.9M	0.88%	246,354	Common	SOLE
33718W103	FPF	FIRST TR INTER DURATN PFD &	$1.9M	0.86%	124,540	Common	SOLE
410142103	JHI	HANCOCK JOHN INVT TR II	$1.8M	0.85%	150,554	Common	SOLE
94987C103	EOD	ALLSPRING GLOBAL DIVIDEND OP	$1.8M	0.85%	444,344	Common	SOLE
35472T101	FTF	FRANKLIN LTD DURATION INCOME	$1.8M	0.85%	298,668	Common	SOLE
78462F103	SPY	SPDR S&P 500 ETF TR	$1.8M	0.85%	4,250	Common	SOLE
76882G107	OPP	RIVERNORTH DOUBLELINE STRATE	$1.8M	0.83%	225,279	Common	SOLE
72201J104	PFN	PIMCO INCOME STRATEGY FD II	$1.8M	0.83%	268,195	Common	SOLE
27828Y108	ETV	EATON VANCE TAX-MANAGED BUY-	$1.8M	0.82%	146,515	Common	SOLE
880192109	TEI	TEMPLETON EMERGING MKTS INCO	$1.7M	0.79%	368,741	Common	SOLE
12812C106	CPZ	CALAMOS LNG SHR EQT DYNAMIC	$1.7M	0.79%	114,909	Common	SOLE
00302M106	XAGDX	ABRDN GLOBAL DYNAMIC DIVIDEN	$1.7M	0.78%	194,091	Common	SOLE
278277108	EOS	EATON VANCE ENHANCED EQUITY	$1.7M	0.77%	96,203	Common	SOLE
6706EW100	XSSPX	NUVEEN S&P 500 DYNAMIC OVERW	$1.6M	0.75%	104,907	Common	SOLE
530158104	USA	LIBERTY ALL STAR EQUITY FD	$1.6M	0.73%	264,813	Common	SOLE
41013T105	PDT	HANCOCK JOHN PREM DIVID FD	$1.6M	0.73%	162,284	Common	SOLE
69355J104	SDHY	PGIM SHORT DUR HIG YLD OPP F	$1.5M	0.68%	100,435	Common	SOLE
27829G106	ETJ	EATON VANCE RISK-MANAGED DIV	$1.4M	0.67%	186,572	Common	SOLE
69355M107	PDO	PIMCO DYNAMIC INCOME OPRNTS	$1.4M	0.64%	115,135	Common	SOLE
72369H106	XPHTX	PIONEER HIGH INCOME FUND INC	$1.4M	0.63%	201,412	Common	SOLE
18914E106	GLO	CLOUGH GLOBAL OPPORTUNITIES	$1.3M	0.60%	290,247	Common	SOLE
552727109	MCR	MFS CHARTER INCOME TR	$1.3M	0.60%	218,571	Common	SOLE
72201H108	PFL	PIMCO INCOME STRATEGY FD	$1.3M	0.59%	163,603	Common	SOLE
278279104	EFT	EATON VANCE FLTING RATE INC	$1.2M	0.57%	99,117	Common	SOLE
69346H100	ISD	PGIM HIGH YIELD BOND FUND IN	$1.2M	0.57%	103,160	Common	SOLE
09660L105	DHF	BNY MELLON HIGH YIELD STRATE	$1.2M	0.55%	547,865	Common	SOLE
27828Q105	XEFRX	EATON VANCE SR FLTNG RTE TR	$1.2M	0.55%	96,756	Common	SOLE
059695106	BCV	BANCROFT FD LTD	$1.2M	0.55%	74,295	Common	SOLE
46135X108	XHITX	INVESCO HIG INCM 2023 TARG T	$1.1M	0.52%	165,216	Common	SOLE
94987D101	ERC	ALLSPRING MULTI SECTOR INCOM	$1.1M	0.52%	121,675	Common	SOLE
92912J102	IAE	VOYA ASIA PAC HIGH DIV EQT I	$1.1M	0.50%	185,487	Common	SOLE
67073B106	JPC	NUVEEN PFD & INCOME OPPORTUN	$1.1M	0.50%	166,631	Common	SOLE
19248C105	LDP	COHEN & STEERS LTD DURATION	$1.1M	0.49%	61,961	Common	SOLE
95768B107	HYI	WESTERN ASSET HIGH YIELD DEF	$1.1M	0.49%	91,261	Common	SOLE
69346J106	GHY	PGIM GLOBAL HIGH YIELD FD FO	$1.1M	0.49%	97,857	Common	SOLE
88018T101	TDF	TEMPLETON DRAGON FD INC	$1.0M	0.47%	118,649	Common	SOLE
874036106	TWN	TAIWAN FD INC	$1.0M	0.47%	33,522	Common	SOLE
09256U105	BSL	BLACKSTONE SENI FLTN RAT 202	$975,757	0.45%	73,642	Common	SOLE
92835W107	ZTR	VIRTUS TOTAL RETURN FD INC	$973,239	0.45%	202,758	Common	SOLE
46131F101	VLT	INVESCO HIGH INCOME TR II	$962,591	0.45%	96,842	Common	SOLE
78081T104	RGT	ROYCE GLOBAL VALUE TR INC	$935,674	0.44%	107,419	Common	SOLE
33733G109	—	FIRST TR SPECIALTY FIN & FIN	$932,901	0.43%	276,825	Common	SOLE
552737108	MMT	MFS MULTIMARKET INCOME TR	$886,886	0.41%	208,189	Common	SOLE
27828N102	XETYX	EATON VANCE TAX-MANAGED DIVE	$886,688	0.41%	76,836	Common	SOLE
12504G100	IGR	CBRE GBL REAL ESTATE INC FD	$870,300	0.41%	193,400	Common	SOLE
592834105	MXE	MEXICO EQUITY & INCOME FD	$834,485	0.39%	88,775	Common	SOLE
87911K100	HQL	TEKLA LIFE SCIENCES INVS	$829,605	0.39%	66,528	Common	SOLE
670699107	QQQX	NUVEEN NASDAQ 100 DYNAMIC OV	$813,669	0.38%	34,074	Common	SOLE
55274E102	XMFVX	MFS SPL VALUE TR	$803,605	0.37%	206,053	Common	SOLE
72369J102	XPHDX	PIONEER FLOATING RATE FUND I	$769,752	0.36%	85,433	Common	SOLE
09257D102	BGX	BLACKSTONE LONG SHORT CR INC	$740,812	0.35%	63,589	Common	SOLE
33741Q107	FTHY	FIRST TR HIGH YIELD OPPRT 20	$738,022	0.34%	55,407	Common	SOLE
10537L104	BWG	BRANDYWINEGBL GBL INCM OPP F	$654,439	0.31%	86,241	Common	SOLE
92840N100	ACV	VIRTUS DIVERSIFIED INCM & CO	$649,691	0.30%	34,465	Common	SOLE
92838Y100	AIO	VIRTUS ARTIFICIAL INTELLIGEN	$610,771	0.28%	36,994	Common	SOLE
337318109	FFA	FIRST TR ENHANCED EQUITY INC	$599,580	0.28%	34,718	Common	SOLE
092524107	XBGYX	BLACKROCK ENHANCED INTL DIV	$579,115	0.27%	116,055	Common	SOLE
746853100	PPT	PUTNAM PREMIER INCOME TR	$572,729	0.27%	169,613	Common	SOLE
128118106	CGO	CALAMOS GLOBAL TOTAL RETURN	$566,418	0.26%	64,726	Common	SOLE
169373107	XXCHNXX	CHINA FD INC	$564,687	0.26%	53,424	Common	SOLE
95766A101	XEMDX	WESTERN ASSET EMERGING MKTS	$552,288	0.26%	65,870	Common	SOLE
47109U104	JOF	JAPAN SMALLER CAPITALIZATION	$537,751	0.25%	75,633	Common	SOLE
19248P106	XFOFX	COHEN & STEERS CLOSED-END OP	$531,026	0.25%	51,456	Common	SOLE
76881Y109	RIV	RIVERNORTH OPPORTUNITIES FD	$509,462	0.24%	48,474	Common	SOLE
617468103	XCAFX	MORGAN STANLEY CHINA A SH FD	$506,610	0.24%	40,659	Common	SOLE
95766K109	HIO	WESTERN ASSET HIGH INCOME OP	$505,933	0.24%	137,650	Common	SOLE
92840R101	NFJ	VIRTUS DIVIDEND INTEREST & P	$492,855	0.23%	43,500	Common	SOLE
67080D103	NPCT	NUVEEN CORE PLUS IMPACT FUND	$485,420	0.23%	52,525	Common	SOLE
36249W104	GGZ	GABELLI GLOBAL SMALL & MID C	$474,136	0.22%	45,766	Common	SOLE
006212104	ADX	ADAMS DIVERSIFIED EQUITY FD	$470,014	0.22%	28,246	Common	SOLE
592835102	MXF	MEXICO FD INC	$468,243	0.22%	28,430	Common	SOLE
09255P107	HYT	BLACKROCK CORPOR HI YLD FD I	$466,875	0.22%	54,099	Common	SOLE
06760L100	BGH	BARINGS GLOBAL SHORT DURATIO	$456,832	0.21%	35,689	Common	SOLE
18914C100	XGLQX	CLOUGH GLOBAL EQUITY FD	$443,168	0.21%	80,870	Common	SOLE
52106W103	XLGIX	LAZARD GLOBAL TOTAL RETURN &	$424,058	0.20%	30,640	Common	SOLE
41013P749	—	HANCOCK JOHN INVT TR	$411,198	0.19%	93,454	Common	SOLE
880198106	—	TEMPLETON GLOBAL INCOME FD	$410,762	0.19%	106,415	Common	SOLE
003009107	—	ABRDN ASIA PACIFIC INCOME FU	$405,914	0.19%	165,679	Common	SOLE
67074C103	NBB	NUVEEN TAXABLE MUNICPAL INM	$391,237	0.18%	26,805	Common	SOLE
18913Y103	GLV	CLOUGH GLOBAL DIVID & INCOME	$386,324	0.18%	77,731	Common	SOLE
92912T100	XIGDX	VOYA GLBL EQTY DIV & PREM OP	$376,639	0.18%	76,865	Common	SOLE
48249T106	KIO	KKR INCOME OPPORTUNITIES FD	$365,761	0.17%	30,582	Common	SOLE
00306J109	XJEQX	ABRDN JAPAN EQUITY FUND INC	$355,631	0.17%	66,473	Common	SOLE
00301W105	AEF	ABRDN EMRG MKTS EQTY INCM FD	$351,540	0.16%	73,698	Common	SOLE
557437100	MCN	MADISON COVERED CALL & EQUIT	$344,578	0.16%	48,738	Common	SOLE
92838X102	—	VIRTUS CONVERTIBLE & INCOME	$342,625	0.16%	109,022	Common	SOLE
27828V104	XEVGX	EATON VANCE SHORT DURATION D	$320,776	0.15%	30,933	Common	SOLE
92912P108	IHD	VOYA EMERGING MKTS HIGH DIVI	$317,586	0.15%	64,419	Common	SOLE
46131H107	VVR	INVESCO SR INCOME TR	$312,495	0.15%	79,718	Common	SOLE
33848W106	DFP	FLAHERTY & CRUMRINE DYNAMIC	$307,512	0.14%	18,337	Common	SOLE
27901F109	XTEAX	ECOFIN SUSTAINABLE AND SOCIA	$303,298	0.14%	25,317	Common	SOLE
880191101	EMF	TEMPLETON EMERGING MKTS FD	$302,566	0.14%	26,752	Common	SOLE
95766B109	EHI	WESTERN ASSET GBL HIGH INC F	$300,393	0.14%	45,104	Common	SOLE
33740D107	XFDEX	FIRST TR DYNAMIC EUROPE EQUI	$298,258	0.14%	24,053	Common	SOLE
500634209	KF	KOREA FD INC	$268,049	0.12%	12,746	Common	SOLE
87911J103	HQH	TEKLA HEALTHCARE INVS	$263,439	0.12%	16,941	Common	SOLE
05588N108	XDCFX	BNY MELLON ALCENTRA GLOBAL C	$263,344	0.12%	33,936	Common	SOLE
003011103	—	ABRDN AUSTRALIA EQUITY FD IN	$263,047	0.12%	66,594	Common	SOLE
355145103	FT	FRANKLIN UNVL TR	$259,792	0.12%	40,912	Common	SOLE
33733U108	FCT	FIRST TR SR FLTG RATE INCOME	$246,760	0.12%	24,676	Common	SOLE
41013W108	HPI	HANCOCK JOHN PFD INCOME FD	$236,049	0.11%	16,201	Common	SOLE
95790K109	WDI	WESTERN ASSET DIVERSIFIED IN	$230,000	0.11%	17,190	Common	SOLE
19248Y107	PSF	COHEN & STEERS SELECT PFD &	$225,854	0.11%	12,485	Common	SOLE
337319107	—	FIRST TR ABRDN GBL OPP INCM	$224,729	0.10%	39,426	Common	SOLE
46090E103	QQQ	INVESCO QQQ TR	$224,613	0.10%	626	Common	SOLE
224916106	CIK	CREDIT SUISSE ASSET MGMT INC	$210,650	0.10%	81,332	Common	SOLE
00724F101	ADBE	ADOBE INC	$203,960	0.10%	400	Common	SOLE
722011103	XPGPX	PIMCO GLOBAL STOCKSPLS INCM	$202,645	0.09%	30,611	Common	SOLE
885213108	TBLD	THORNBURG INCM BUILDER OPP T	$173,186	0.08%	11,862	Common	SOLE
92838U108	—	VIRTUS CONVERTIBLE & INC FD	$169,320	0.08%	60,253	Common	SOLE
55273C107	MIN	MFS INTER INCOME TR	$168,934	0.08%	63,035	Common	SOLE
258622109	DSL	DOUBLELINE INCOME SOLUTIONS	$144,156	0.07%	12,300	Common	SOLE
00326L100	XAODX	ABRDN TOTAL DYNAMIC DIVIDEND	$140,972	0.07%	18,647	Common	SOLE
09257R101	BGB	BLACKSTONE STRATEGIC CRED 20	$131,880	0.06%	12,000	Common	SOLE
67073D102	XJQCX	NUVEEN CR STRATEGIES INCOME	$122,736	0.06%	24,000	Common	SOLE
03464A100	FINS	ANGEL OAK FINL STRATEGIES IN	$120,653	0.06%	10,021	Common	SOLE
092508100	BTZ	BLACKROCK CR ALLOCATION INCO	$100,818	0.05%	10,415	Common	SOLE
746909100	PIM	PUTNAM MASTER INTER INCOME T	$58,547	0.03%	19,246	Common	SOLE
64190A103	XNROX	NEUBERGER BERMAN REAL ESTATE	$51,864	0.02%	18,589	Common	SOLE

Source: SEC EDGAR · raw 13F holdings as filed. The Class column shows the option type when reported (Put/Call) or Common when the issuer's equity is held directly. 13F discloses long positions only.