0001172661-12-000513.txt : 20120509 0001172661-12-000513.hdr.sgml : 20120509 20120509075414 ACCESSION NUMBER: 0001172661-12-000513 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120509 DATE AS OF CHANGE: 20120509 EFFECTIVENESS DATE: 20120509 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: 12823799 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 shakerfinancial1q12.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: March 31, 2012 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 May 09, 2012 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: 125 Form 13F Information Table Value Total: $121,181 (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 1018 139589 SH SOLE 128589 0 11000 ABERDEEN EMERG MKTS TELE&INF COM 00301T102 846 43694 SH SOLE 43694 0 0 ADAMS EXPRESS CO COM 006212104 1076 98004 SH SOLE 89824 0 8180 ADVENT CLAY CONV SEC INC FD COM 007639107 1035 150478 SH SOLE 150478 0 0 ADVENT CLAYMORE CV SECS & IN COM 00764C109 1233 75594 SH SOLE 70704 0 4890 ADVENT CLAYMORE ENH GRW & IN COM 00765E104 934 93331 SH SOLE 89680 0 3651 AGIC EQUITY & CONV INCOME FD COM 00119P102 375 21088 SH SOLE 20288 0 800 AGIC GLOBAL EQUITY & CONV IN COM 00119R108 262 18400 SH SOLE 18400 0 0 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 434 53000 SH SOLE 53000 0 0 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 2129 449202 SH SOLE 434802 0 14400 AMERICAN STRATEGIC INCOME II COM 03009T101 675 96449 SH SOLE 93624 0 2825 AMERN STRATEGIC INCOME PTFL COM 030099105 188 22597 SH SOLE 22597 0 0 BANCROFT FUND LTD COM 059695106 322 19278 SH SOLE 16778 0 2500 BLACKROCK CREDIT ALL IN TR I COM SHS 09249V103 1279 113871 SH SOLE 113871 0 0 BLACKROCK CREDIT ALL INC TR COM 09255H105 1968 187227 SH SOLE 181727 0 5500 BLACKROCK DEFINED OPPRTY CR COM 09255Q105 1295 96621 SH SOLE 96621 0 0 BLACKROCK DIVERS OME STRATE COM 09255W102 1565 152257 SH SOLE 148927 0 3330 BLACKROCK ENERGY & RES TR COM 09250U101 1249 47686 SH SOLE 47686 0 0 BLACKROCK ENH CAP & INC FD I COM 09256A109 718 53211 SH SOLE 52511 0 700 BLACKROCK ENHANCED EQT DIV T COM 09251A104 2487 331552 SH SOLE 315859 0 15693 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 1551 101064 SH SOLE 97564 0 3500 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 1464 186560 SH SOLE 179960 0 6600 BLACKROCK SR HIGH INCOME FD COM 09255T109 698 169888 SH SOLE 159888 0 10000 BLACKROCK STRTGC BOND TR COM 09249G106 335 23773 SH SOLE 19773 0 4000 BROOKFIELD GLOBL LISTED INFR COM SHS 11273Q109 1057 54638 SH SOLE 52138 0 2500 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 3206 251228 SH SOLE 242407 0 8821 CENTRAL SECS CORP COM 155123102 1660 75054 SH SOLE 72734 0 2320 CHINA FD INC COM 169373107 923 39634 SH SOLE 35389 0 4245 CLOUGH GLOBAL ALLOCATION FUN COM SHS BEN IN 18913Y103 498 35705 SH SOLE 34005 0 1700 CLOUGH GLOBAL EQUITY FD COM 18914C100 486 37122 SH SOLE 35222 0 1900 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 1488 126341 SH SOLE 122341 0 4000 DELAWARE INVTS DIV & INCOME COM 245915103 567 69601 SH SOLE 65868 0 3733 DENALI FD INC COM 24823A102 204 13773 SH SOLE 13773 0 0 DOW 30 PREMIUM & DIV INC FD COM 260582101 214 15101 SH SOLE 15101 0 0 DOW 30SM ENHANCED PREM & INC COM 260537105 1005 89304 SH SOLE 85804 0 3500 DWS GLOBAL HIGH INCOME FD COM 23338W104 414 51288 SH SOLE 45888 0 5400 EATON VANCE ENH EQTY INC FD COM 278277108 1554 142843 SH SOLE 140143 0 2700 EATON VANCE ENHANCED EQ INC COM 278274105 551 49816 SH SOLE 49816 0 0 EATON VANCE RISK MNGD DIV EQ COM 27829G106 1549 146234 SH SOLE 145234 0 1000 EATON VANCE SR INCOME TR SH BEN INT 27826S103 1441 199859 SH SOLE 194359 0 5500 EATON VANCE TAX ADVT DIV INC COM 27828G107 892 53289 SH SOLE 53289 0 0 EATON VANCE TAX MNGD GBL DV COM 27829F108 1726 193670 SH SOLE 187270 0 6400 EATON VANCE TX ADV GLB DIV O COM 27828U106 1785 91153 SH SOLE 85903 0 5250 EATON VANCE TX MGD DIV EQ IN COM 27828N102 2145 225106 SH SOLE 220706 0 4400 EATON VANCE TXMGD GL BUYWR O COM 27829C105 937 84872 SH SOLE 82372 0 2500 ELLSWORTH FUND LTD COM 289074106 1502 204336 SH SOLE 202336 0 2000 EUROPEAN EQUITY FUND COM 298768102 372 54925 SH SOLE 54925 0 0 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 183 10502 SH SOLE 10502 0 0 FIRST TR ACTIVE DIVID INCOME COM 33731L100 1340 153975 SH SOLE 147545 0 6430 FIRST TR ENHANCED EQTY INC F COM 337318109 1186 98161 SH SOLE 95761 0 2400 FIRST TR HIGH INCOME L/S FD COM 33738E109 822 45358 SH SOLE 42958 0 2400 FRANKLIN UNVL TR SH BEN INT 355145103 583 84744 SH SOLE 76944 0 7800 GABELLI DIVD & INCOME TR COM 36242H104 435 26558 SH SOLE 26558 0 0 GENERAL AMERN INVS INC COM 368802104 1778 61301 SH SOLE 57301 0 4000 GLOBAL INCOME&CURRENCY FD IN COM 378968101 1283 93434 SH SOLE 90834 0 2600 HANCOCK JOHN PFD INCOME FD I COM 41021P103 1348 75744 SH SOLE 73544 0 2200 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 343 25501 SH SOLE 17551 0 7950 HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 1973 111336 SH SOLE 109036 0 2300 HELIOS STRATEGIC INCOME FD I COM NEW 42328A203 1379 232161 SH SOLE 227161 0 5000 INDIA FD INC COM 454089103 208 9323 SH SOLE 8935 0 388 ING GLBL ADV & PREM OPP FUND COM 44982N109 1722 142811 SH SOLE 137906 0 4905 ING PRIME RATE TR SH BEN INT 44977W106 1590 278879 SH SOLE 272879 0 6000 ING RISK MANAGED NAT RES FD COM 449810100 808 65854 SH SOLE 65854 0 0 INVESCO VAN KAMP DYN CRDT OP COM 46132R104 1340 114737 SH SOLE 113237 0 1500 INVESCO VAN KAMPEN SR INC TR COM 46131H107 725 147726 SH SOLE 147726 0 0 J F CHINA REGION FD INC COM 46614T107 439 34486 SH SOLE 32586 0 1900 JAPAN EQUITY FD INC COM 471057109 487 85934 SH SOLE 76934 0 9000 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 1024 130730 SH SOLE 121414 0 9316 JOHN HANCOCK HDG EQ & INC FD COM 47804L102 287 17427 SH SOLE 17427 0 0 KOREA EQUITY FD INC COM 50063B104 126 12945 SH SOLE 12945 0 0 LATIN AMERN DISCOVERY FD INC COM 51828C106 468 28619 SH SOLE 25326 0 3293 LAZARD GLB TTL RET&INCM FD I COM 52106W103 245 16351 SH SOLE 16351 0 0 LAZARD WORLD DIVID & INCOME COM 521076109 1280 104938 SH SOLE 101038 0 3900 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 2215 449261 SH SOLE 421372 0 27889 LIBERTY ALL-STAR GROWTH FD I COM 529900102 820 188408 SH SOLE 181898 0 6510 LMP CORPORATE LN FD INC COM 50208B100 589 49467 SH SOLE 47967 0 1500 MADISON CLAYMORE CALL &EQTY COM 556582104 1252 151381 SH SOLE 146881 0 4500 MEXICO EQUITY & INCOME FD COM 592834105 137 12027 SH SOLE 12027 0 0 MFS CHARTER INCOME TR SH BEN INT 552727109 443 46329 SH SOLE 46329 0 0 MFS INTERMARKET INCOME TRUST SH BEN INT 59318R103 269 32165 SH SOLE 32165 0 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 304 43600 SH SOLE 40800 0 2800 MONTGOMERY STR INCOME SECS I COM 614115103 322 20394 SH SOLE 19956 0 438 MORGAN STANLEY INCOME SEC INC 61745P874 604 33977 SH SOLE 33527 0 450 MORGAN STANLEY EM MKTS DM DE COM 617477104 709 43688 SH SOLE 41888 0 1800 MORGAN STANLEY EMER MKTS DEB COM 61744H105 1557 143544 SH SOLE 142044 0 1500 MORGAN STANLEY EMER MKTS FD COM 61744G107 403 27519 SH SOLE 27519 0 0 MORGAN STANLEY FRNT EMERG FD COM 61757P101 693 60810 SH SOLE 60810 0 0 NASDAQ PREM INCM & GRW FD IN COM 63110R105 265 16794 SH SOLE 16344 0 450 NEW GERMANY FD INC COM 644465106 1483 98357 SH SOLE 93157 0 5200 NEW IRELAND FUND INC COM 645673104 1463 180172 SH SOLE 177422 0 2750 NUVEEN BUILD AMER BD FD COM 67074C103 1916 94930 SH SOLE 90906 0 4024 NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 2121 153168 SH SOLE 151364 0 1804 NUVEEN EQUITY PREM ADV FD COM 6706ET107 716 59111 SH SOLE 59111 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 666 55861 SH SOLE 55111 0 750 NUVEEN GBL VL OPPORTUNITIES COM 6706EH103 2873 176133 SH SOLE 169833 0 6300 NUVEEN GLB GOVT ENHANCED IN COM 67073C104 812 56643 SH SOLE 54230 0 2413 NUVEEN MULT CURR ST GV INCM COM 67090N109 1479 111913 SH SOLE 109013 0 2900 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 559 67142 SH SOLE 67142 0 0 NUVEEN QUALITY PFD INCOME FD COM 67071S101 400 49015 SH SOLE 49015 0 0 NUVEEN QUALITY PFD INCOME FD COM 67072C105 259 30000 SH SOLE 30000 0 0 NUVEEN TAX ADVANTAGED DIV GR COM 67073G105 559 40681 SH SOLE 40681 0 0 NUVEEN TX ADV TOTAL RET STRG COM 67090H102 674 60697 SH SOLE 55697 0 5000 PETROLEUM & RES CORP COM 716549100 287 11040 SH SOLE 10240 0 800 PIONEER FLOATING RATE TR COM 72369J102 981 75706 SH SOLE 73706 0 2000 PUTMAN HIGH INCOME SEC FUND SHS BEN INT 746779107 259 30598 SH SOLE 29098 0 1500 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 2057 399335 SH SOLE 387015 0 12320 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 829 150392 SH SOLE 144392 0 6000 RMR REAL ESTATE INCOME FUND COM 76970B101 889 55189 SH SOLE 52573 0 2616 ROYCE FOCUS TR COM 78080N108 2475 355643 SH SOLE 343246 0 12397 ROYCE MICRO-CAP TR INC COM 780915104 174 18483 SH SOLE 18483 0 0 ROYCE VALUE TR INC COM 780910105 921 66328 SH SOLE 63928 0 2400 SINGAPORE FD INC COM 82929L109 327 25225 SH SOLE 25225 0 0 SOURCE CAP INC COM 836144105 1959 37003 SH SOLE 34178 0 2825 STRATEGIC GLOBAL INCOME FD COM 862719101 986 92290 SH SOLE 87942 0 4348 SWISS HELVETIA FD INC COM 870875101 681 60709 SH SOLE 57709 0 3000 TEMPLETON DRAGON FD INC COM 88018T101 624 22000 SH SOLE 20200 0 1800 TEMPLETON EMERG MKTS INCOME COM 880192109 909 58000 SH SOLE 57400 0 600 TEMPLETON EMERGING MKTS FD I COM 880191101 467 23875 SH SOLE 23275 0 600 TRANSAMERICA INCOME SHS INC COM 893506105 246 11289 SH SOLE 11289 0 0 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 1122 74093 SH SOLE 69943 0 4150 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 141 11105 SH SOLE 11105 0 0 WESTERN ASSET GLB HI INCOME COM 95766B109 262 19800 SH SOLE 19800 0 0 WESTERN ASSET VAR RT STRG FD COM 957667108 319 19210 SH SOLE 18410 0 800 ZWEIG FD COM 989834106 1803 561601 SH SOLE 538126 0 23475 ZWEIG TOTAL RETURN FD INC COM 989837109 1187 371049 SH SOLE 341086 0 29963