0001172661-11-000625.txt : 20111028 0001172661-11-000625.hdr.sgml : 20111028 20111028151849 ACCESSION NUMBER: 0001172661-11-000625 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111028 DATE AS OF CHANGE: 20111028 EFFECTIVENESS DATE: 20111028 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: 111165024 BUSINESS ADDRESS: STREET 1: 1220 N. FILLMORE ST. STREET 2: SUITE 400 CITY: ARLINGTON STATE: VA ZIP: 22201 BUSINESS PHONE: (703) 258-0090 MAIL ADDRESS: STREET 1: 1220 N. FILLMORE ST. STREET 2: SUITE 400 CITY: ARLINGTON STATE: VA ZIP: 22201 13F-HR 1 sha3q11.txt FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Shaker Financial Services, LLC Address: 1220 N. Fillmore Street Suite 400 Arlington, VA 22201 13F File Number: 028-14234 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Kathryn S. Baummer Title: Partner/Infotech Research and Development Phone: 443-618-6524 Signature, Place, and Date of Signing: /s/ Kathryn S. Baummer Arlington, VA/US October 28, 2011 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 120 Form 13F Information Table Value Total: $96,739 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABERDEEN ASIA PACIFIC INCOM COM 003009107 203 29470 SH SOLE 23270 0 6200 ADVENT CLAY GBL CONV SEC INC COM BENE INTER 007639107 1777 282124 SH SOLE 271624 0 10500 ADVENT CLAYMORE CV SECS & IN COM 00764C109 2157 149054 SH SOLE 140454 0 8600 ADVENT CLAYMORE ENH GRW & IN COM 00765E104 119 13051 SH SOLE 12673 0 378 AGIC EQUITY & CONV INCOME FD COM 00119P102 382 25215 SH SOLE 25215 0 0 AGIC INTL & PREM STRATEGY FD COM 00119Q100 400 39607 SH SOLE 39607 0 0 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 221 49100 SH SOLE 49100 0 0 AMERICAN STRATEGIC INCM PTFL COM 030098107 121 11525 SH SOLE 9925 0 1600 AMERICAN STRATEGIC INCOME II COM 03009T101 378 55000 SH SOLE 53700 0 1300 AMERN STRATEGIC INCOME PTFL COM 030099105 256 31429 SH SOLE 28790 0 2639 BLACKROCK CORPOR HI YLD FD V COM 09255N102 271 25127 SH SOLE 22127 0 3000 BLACKROCK CORPOR HI YLD FD V COM 09255P107 915 86523 SH SOLE 84723 0 1800 BLACKROCK CORPOR HI YLD III COM 09255M104 298 46029 SH SOLE 38534 0 7495 BLACKROCK CREDIT ALL IN TR I COM SHS 09249V103 991 100271 SH SOLE 100271 0 0 BLACKROCK CREDIT ALL INC TR COM 092508100 289 25132 SH SOLE 25132 0 0 BLACKROCK CREDIT ALL INC TR COM 09255H105 928 99394 SH SOLE 93894 0 5500 BLACKROCK CREDIT ALL INC TR COM 09255J101 228 25946 SH SOLE 25946 0 0 BLACKROCK DEFINED OPPRTY CR COM 09255Q105 1167 95170 SH SOLE 95170 0 0 BLACKROCK DIVERS OME STRATE COM 09255W102 812 88371 SH SOLE 85371 0 3000 BLACKROCK ECOSOLUTIONS INVT COM SH 092546100 423 52665 SH SOLE 47067 0 5598 BLACKROCK ENH CAP & INC FD I COM 09256A109 1458 123439 SH SOLE 120439 0 3000 BLACKROCK ENHANCED EQT DIV T COM 09251A104 1809 259127 SH SOLE 238629 0 20498 BLACKROCK FL RATE OME STRA I COM SHS 09255Y108 210 18089 SH SOLE 18089 0 0 BLACKROCK FLOAT RATE OME STR COM 09255X100 677 53196 SH SOLE 53196 0 0 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 752 53300 SH SOLE 52420 0 880 BLACKROCK REAL ASSET EQUITY COM 09254B109 125 12000 SH SOLE 12000 0 0 BLACKROCK SR HIGH INCOME FD COM 09255T109 1776 486524 SH SOLE 478524 0 8000 BLACKROCK STRAT EQUITY DIV T COM 09249Y107 1021 112020 SH SOLE 107220 0 4800 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 1909 171950 SH SOLE 168529 0 3421 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 88 11100 SH SOLE 11100 0 0 CBRE CLARION GLOBAL REAL EST COM 12504G100 1477 220794 SH SOLE 216794 0 4000 CENTRAL SECS CORP COM 155123102 416 21126 SH SOLE 20335 0 791 CHINA FD INC COM 169373107 419 18200 SH SOLE 16400 0 1800 CLOUGH GLOBAL ALLOCATION FUN COM SHS BEN IN 18913Y103 1478 119168 SH SOLE 115268 0 3900 CLOUGH GLOBAL EQUITY FD COM 18914C100 758 64992 SH SOLE 60092 0 4900 COHEN & STEERS GLOBAL INC BL COM 19248M103 2283 263021 SH SOLE 256921 0 6100 DELAWARE INVTS DIV & INCOME COM 245915103 1062 159640 SH SOLE 158440 0 1200 DIAMOND HILL FINL TRNDS FD I COM 25264C101 361 47847 SH SOLE 47847 0 0 DIVIDEND & INCOME FD INC COM 25538A105 863 245782 SH SOLE 223777 0 22005 DWS GLOBAL HIGH INCOME FD COM 23338W104 80 11085 SH SOLE 11085 0 0 EATON VANCE ENH EQTY INC FD COM 278277108 1898 192484 SH SOLE 184984 0 7500 EATON VANCE ENHANCED EQ INC COM 278274105 1244 127155 SH SOLE 121455 0 5700 EATON VANCE FLTING RATE INC COM 278279104 295 20972 SH SOLE 20972 0 0 EATON VANCE LTD DUR INCOME F COM 27828H105 185 12637 SH SOLE 11637 0 1000 EATON VANCE RISK MNGD DIV EQ COM 27829G106 2241 204677 SH SOLE 203677 0 1000 EATON VANCE SR FLTNG RTE TR COM 27828Q105 363 25534 SH SOLE 23334 0 2200 EATON VANCE SR INCOME TR SH BEN INT 27826S103 1217 192828 SH SOLE 187828 0 5000 EATON VANCE TAX ADVT DIV INC COM 27828G107 2850 208473 SH SOLE 204223 0 4250 EATON VANCE TAX MNGD GBL DV COM 27829F108 2536 316945 SH SOLE 306945 0 10000 EATON VANCE TAX MNGED BUY WR COM 27828X100 147 12679 SH SOLE 12679 0 0 EATON VANCE TX ADV GLB DIV O COM 27828U106 1986 121555 SH SOLE 117855 0 3700 EATON VANCE TX MGD DIV EQ IN COM 27828N102 2666 312530 SH SOLE 308130 0 4400 EATON VANCE TX MNG BY WRT OP COM 27828Y108 171 15685 SH SOLE 15685 0 0 EATON VANCE TXMGD GL BUYWR O COM 27829C105 481 49310 SH SOLE 49310 0 0 ELLSWORTH FUND LTD COM 289074106 697 108453 SH SOLE 106453 0 2000 EUROPEAN EQUITY FUND COM 298768102 98 16624 SH SOLE 14824 0 1800 FIRST TR ENHANCED EQTY INC F COM 337318109 597 58527 SH SOLE 57466 0 1061 FIRST TR STRAT HGH INC FD II COM 33735C106 953 240012 SH SOLE 240012 0 0 FIRST TRUST MORTGAGE INCM FD COM SHS 33734E103 252 15704 SH SOLE 15704 0 0 GDL FUND COM SH BEN IT 361570104 215 18054 SH SOLE 18054 0 0 GENERAL AMERN INVS INC COM 368802104 732 31897 SH SOLE 30797 0 1100 GLOBAL INCOME&CURRENCY FD IN COM 378968101 1027 79004 SH SOLE 78404 0 600 GREATER CHINA FD INC COM 39167B102 267 27360 SH SOLE 26360 0 1000 H & Q LIFE SCIENCES INVS SH BEN INT 404053100 731 69853 SH SOLE 68553 0 1300 HELIOS STRATEGIC INCOME FD I COM NEW 42328A203 96 18044 SH SOLE 18044 0 0 ING GLBL ADV & PREM OPP FUND COM 44982N109 410 37454 SH SOLE 37454 0 0 ING PRIME RATE TR SH BEN INT 44977W106 1305 254979 SH SOLE 242979 0 12000 ING RISK MANAGED NAT RES FD COM 449810100 453 36302 SH SOLE 36302 0 0 INVESCO VAN KAMP DYN CRDT OP COM 46132R104 1782 167316 SH SOLE 165816 0 1500 INVESCO VAN KAMPEN SR INC TR COM 46131H107 718 170050 SH SOLE 141450 0 28600 J F CHINA REGION FD INC COM 46614T107 834 76687 SH SOLE 70296 0 6391 JAPAN EQUITY FD INC COM 471057109 442 83634 SH SOLE 74634 0 9000 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 771 103543 SH SOLE 97491 0 6052 KOREA EQUITY FD INC COM 50063B104 243 21740 SH SOLE 21740 0 0 LATIN AMERN DISCOVERY FD INC COM 51828C106 628 46486 SH SOLE 44586 0 1900 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 350 85407 SH SOLE 72807 0 12600 LMP CORPORATE LN FD INC COM 50208B100 122 11367 SH SOLE 11367 0 0 LMP REAL ESTATE INCOME FD IN COM 50208C108 170 19532 SH SOLE 19532 0 0 MADISON CLAYMORE CALL &EQTY COM 556582104 420 59108 SH SOLE 55008 0 4100 MADISON STRTG SECTOR PREM FD COM 558268108 145 14049 SH SOLE 14049 0 0 MFS INTERMEDIATE HIGH INC FD SH BEN INT 59318T109 139 50796 SH SOLE 50796 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 1188 122844 SH SOLE 121344 0 1500 MORGAN STANLEY EMER MKTS FD COM 61744G107 946 75369 SH SOLE 72869 0 2500 MORGAN STANLEY FRNT EMERG FD COM 61757P101 704 63799 SH SOLE 62599 0 1200 NASDAQ PREM INCM & GRW FD IN COM 63110R105 488 37779 SH SOLE 36629 0 1150 NEW GERMANY FD INC COM 644465106 525 41064 SH SOLE 39264 0 1800 NEW IRELAND FUND INC COM 645673104 1289 184148 SH SOLE 181398 0 2750 NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 2191 188535 SH SOLE 187885 0 650 NUVEEN EQTY PRM OPPORTUNITYF COM 6706EM102 541 49764 SH SOLE 46564 0 3200 NUVEEN EQUITY PREM & GROWTH COM 6706EW100 715 62200 SH SOLE 62200 0 0 NUVEEN EQUITY PREM ADV FD COM 6706ET107 1246 113451 SH SOLE 108951 0 4500 NUVEEN EQUITY PREM INCOME FD COM 6706ER101 728 68205 SH SOLE 68205 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 641 63247 SH SOLE 62497 0 750 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 419 40109 SH SOLE 40109 0 0 NUVEEN QUALITY PFD INCOME FD COM 67072C105 1069 140979 SH SOLE 135881 0 5098 PETROLEUM & RES CORP COM 716549100 208 9200 SH SOLE 8400 0 800 PIONEER DIV HIGH INCOME TRUS COM BENE INTER 723653101 223 12001 SH SOLE 12001 0 0 PUTMAN HIGH INCOME SEC FUND SHS BEN INT 746779107 417 56101 SH SOLE 56101 0 0 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 2445 484140 SH SOLE 478440 0 5700 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 384 71863 SH SOLE 71863 0 0 RMR ASIA PAC REAL EST FD NEW COM 76970B101 491 36812 SH SOLE 36112 0 700 RMR REAL ESTATE INCOME FD COM SHS 74964K609 297 11025 SH SOLE 11025 0 0 ROYCE FOCUS TR COM 78080N108 1381 228604 SH SOLE 224004 0 4600 ROYCE MICRO-CAP TR INC COM 780915104 814 106544 SH SOLE 102644 0 3900 ROYCE VALUE TR INC COM 780910105 572 51596 SH SOLE 50996 0 600 SINGAPORE FD INC COM 82929L109 320 28025 SH SOLE 28025 0 0 SOURCE CAP INC COM 836144105 850 20457 SH SOLE 18932 0 1525 STRATEGIC GLOBAL INCOME FD COM 862719101 402 38939 SH SOLE 38939 0 0 SWISS HELVETIA FD INC COM 870875101 200 17851 SH SOLE 17851 0 0 TEMPLETON EMERGING MKTS FD I COM 880191101 410 24375 SH SOLE 24075 0 300 TEMPLETON RUS AND EAST EUR F COM 88022F105 183 12500 SH SOLE 11700 0 800 TRI CONTL CORP COM 895436103 212 16700 SH SOLE 16700 0 0 WELLS FARGO ADVANTAGE UTILS COM 94987E109 554 54020 SH SOLE 47960 0 6060 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 432 34105 SH SOLE 34105 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 838 46344 SH SOLE 44144 0 2200 WESTERN ASSET INCOME FD COM 95766T100 618 46714 SH SOLE 44449 0 2265 WESTERN ASSET INFL MGMT FD I COM 95766U107 176 10077 SH SOLE 10077 0 0 WESTERN ASSET VAR RT STRG FD COM 957667108 2027 131359 SH SOLE 126659 0 4700 ZWEIG FD COM 989834106 1171 415078 SH SOLE 402978 0 12100 ZWEIG TOTAL RETURN FD INC COM 989837109 4189 1382554 SH SOLE 1324797 0 57757