0001172661-12-000090.txt : 20120213 0001172661-12-000090.hdr.sgml : 20120213 20120213065931 ACCESSION NUMBER: 0001172661-12-000090 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120213 DATE AS OF CHANGE: 20120213 EFFECTIVENESS DATE: 20120213 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: 12595136 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 Shaker4q11.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: December 31, 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 February 13, 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: 134 Form 13F Information Table Value Total: $102,159 (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 AUSTRALIA EQTY FD I COM 003011103 90 10000 SH SOLE 10000 0 0 ABERDEEN EMERG MKTS TELE&INF COM 00301T102 309 17621 SH SOLE 17621 0 0 ADAMS EXPRESS CO COM 006212104 959 99504 SH SOLE 89824 0 9680 ADVENT CLAY GBL CONV SEC INC COM BENE INTER 007639107 530 84158 SH SOLE 83558 0 600 ADVENT CLAYMORE CV SECS & IN COM 00764C109 1076 73047 SH SOLE 72347 0 700 ADVENT CLAYMORE ENH GRW & IN COM 00765E104 369 41058 SH SOLE 40680 0 378 AGIC EQUITY & CONV INCOME FD COM 00119P102 343 22015 SH SOLE 22015 0 0 ALPINE GLOBAL DYNAMIC DIVD F COM 02082E106 313 60500 SH SOLE 60500 0 0 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 1513 345502 SH SOLE 335502 0 10000 AMERICAN STRATEGIC INCOME II COM 03009T101 717 109946 SH SOLE 104221 0 5725 AMERN STRATEGIC INCOME PTFL COM 030099105 152 18854 SH SOLE 18854 0 0 BLACKROCK CREDIT ALL IN TR I COM SHS 09249V103 924 87652 SH SOLE 87652 0 0 BLACKROCK CREDIT ALL INC TR COM 092508100 274 22532 SH SOLE 21832 0 700 BLACKROCK CREDIT ALL INC TR COM 09255H105 972 98837 SH SOLE 93337 0 5500 BLACKROCK DEBT STRAT FD INC COM 09255R103 837 215785 SH SOLE 201785 0 14000 BLACKROCK DEFINED OPPRTY CR COM 09255Q105 1432 115014 SH SOLE 111514 0 3500 BLACKROCK DIVERS OME STRATE COM 09255W102 870 91572 SH SOLE 85208 0 6364 BLACKROCK ECOSOLUTIONS INVT COM SH 092546100 419 53635 SH SOLE 48037 0 5598 BLACKROCK ENERGY & RES TR COM 09250U101 1009 41286 SH SOLE 41286 0 0 BLACKROCK ENH CAP & INC FD I COM 09256A109 815 66246 SH SOLE 63246 0 3000 BLACKROCK ENHANCED EQT DIV T COM 09251A104 510 72082 SH SOLE 65984 0 6098 BLACKROCK FL RATE OME STRA I COM SHS 09255Y108 308 24989 SH SOLE 24989 0 0 BLACKROCK FLOAT RATE OME STR COM 09255X100 724 54175 SH SOLE 54175 0 0 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 1599 121029 SH SOLE 118529 0 2500 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 961 134217 SH SOLE 128917 0 5300 BLACKROCK REAL ASSET EQUITY COM 09254B109 193 18100 SH SOLE 18100 0 0 BLACKROCK SR HIGH INCOME FD COM 09255T109 1884 489403 SH SOLE 479403 0 10000 BLACKROCK STRAT EQUITY DIV T COM 09249Y107 1515 154572 SH SOLE 149772 0 4800 BLACKROCK STRTGC BOND TR COM 09249G106 187 14378 SH SOLE 14378 0 0 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 3024 261556 SH SOLE 250385 0 11171 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 732 65000 SH SOLE 65000 0 0 CALAMOS GBL DYN INCOME FUND COM 12811L107 220 30196 SH SOLE 28696 0 1500 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 468 56000 SH SOLE 56000 0 0 CBRE CLARION GLOBAL REAL EST COM 12504G100 1569 229321 SH SOLE 224521 0 4800 CENTRAL SECS CORP COM 155123102 1223 59779 SH SOLE 59259 0 520 CHINA FD INC COM 169373107 773 37700 SH SOLE 33455 0 4245 CLOUGH GLOBAL ALLOCATION FUN COM SHS BEN IN 18913Y103 973 76351 SH SOLE 73751 0 2600 CLOUGH GLOBAL EQUITY FD COM 18914C100 171 14180 SH SOLE 14180 0 0 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 1297 122692 SH SOLE 118692 0 4000 COHEN & STEERS GLOBAL INC BL COM 19248M103 1143 122924 SH SOLE 121624 0 1300 COHEN & STEERS INFRASTRUCTUR COM 19248A109 435 27539 SH SOLE 25139 0 2400 COLUMBIA SELIGM PREM TECH GR COM 19842X109 353 22543 SH SOLE 22543 0 0 DELAWARE ENHANCED GBL DIV & COM 246060107 168 15555 SH SOLE 15555 0 0 DELAWARE INVTS DIV & INCOME COM 245915103 942 133152 SH SOLE 127400 0 5752 DIAMOND HILL FINL TRNDS FD I COM 25264C101 150 18185 SH SOLE 18185 0 0 DOW 30 PREMIUM & DIV INC FD COM 260582101 195 14866 SH SOLE 14866 0 0 DWS GLOBAL HIGH INCOME FD COM 23338W104 194 25689 SH SOLE 20689 0 5000 EATON VANCE ENH EQTY INC FD COM 278277108 1240 121401 SH SOLE 120001 0 1400 EATON VANCE ENHANCED EQ INC COM 278274105 599 58816 SH SOLE 58816 0 0 EATON VANCE FLTING RATE INC COM 278279104 886 62267 SH SOLE 62267 0 0 EATON VANCE RISK MNGD DIV EQ COM 27829G106 1622 155234 SH SOLE 154234 0 1000 EATON VANCE SR FLTNG RTE TR COM 27828Q105 332 23100 SH SOLE 20900 0 2200 EATON VANCE SR INCOME TR SH BEN INT 27826S103 1102 168694 SH SOLE 167694 0 1000 EATON VANCE TAX ADVT DIV INC COM 27828G107 1599 109541 SH SOLE 107241 0 2300 EATON VANCE TAX MNGD GBL DV COM 27829F108 1465 177634 SH SOLE 172234 0 5400 EATON VANCE TAX MNGED BUY WR COM 27828X100 282 21974 SH SOLE 21974 0 0 EATON VANCE TX ADV GLB DIV O COM 27828U106 1684 99071 SH SOLE 94671 0 4400 EATON VANCE TX MGD DIV EQ IN COM 27828N102 1936 218306 SH SOLE 213906 0 4400 EATON VANCE TXMGD GL BUYWR O COM 27829C105 391 38060 SH SOLE 35560 0 2500 ELLSWORTH FUND LTD COM 289074106 769 116548 SH SOLE 116548 0 0 EUROPEAN EQUITY FUND COM 298768102 180 30353 SH SOLE 30353 0 0 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 994 63056 SH SOLE 61919 0 1137 FIRST TR ACTIVE DIVID INCOME COM 33731L100 826 98544 SH SOLE 93114 0 5430 FIRST TR ENHANCED EQTY INC F COM 337318109 621 57311 SH SOLE 57311 0 0 FIRST TR HIGH INCOME L/S FD COM 33738E109 740 48485 SH SOLE 44285 0 4200 FRANKLIN UNVL TR SH BEN INT 355145103 262 39207 SH SOLE 39207 0 0 GABELLI EQUITY TR INC COM 362397101 180 36000 SH SOLE 33000 0 3000 GENERAL AMERN INVS INC COM 368802104 1473 59151 SH SOLE 55151 0 4000 GLOBAL HIGH INCOME FUND INC COM 37933G108 1416 117216 SH SOLE 109916 0 7300 GLOBAL INCOME&CURRENCY FD IN COM 378968101 788 61542 SH SOLE 56642 0 4900 HELIOS ADVANTAGE INCOME FD I COM NEW 42327W206 707 90401 SH SOLE 85401 0 5000 HELIOS MULTI SEC HI INC FD I COM NEW 42327Y202 84 15189 SH SOLE 15189 0 0 HELIOS STRATEGIC INCOME FD I COM NEW 42328A203 573 104305 SH SOLE 104305 0 0 INDIA FD INC COM 454089103 229 12007 SH SOLE 11507 0 500 ING GLBL ADV & PREM OPP FUND COM 44982N109 764 71346 SH SOLE 67646 0 3700 ING GLOBAL EQTY DIV & PREM O COM 45684E107 1448 167578 SH SOLE 164078 0 3500 ING PRIME RATE TR SH BEN INT 44977W106 1614 316388 SH SOLE 304388 0 12000 ING RISK MANAGED NAT RES FD COM 449810100 804 70545 SH SOLE 70545 0 0 INVESCO VAN KAMP DYN CRDT OP COM 46132R104 929 87911 SH SOLE 86411 0 1500 INVESCO VAN KAMPEN SR INC TR COM 46131H107 821 191796 SH SOLE 178796 0 13000 J F CHINA REGION FD INC COM 46614T107 389 35286 SH SOLE 33386 0 1900 JAPAN EQUITY FD INC COM 471057109 430 85934 SH SOLE 76934 0 9000 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 723 100730 SH SOLE 91414 0 9316 LATIN AMERN DISCOVERY FD INC COM 51828C106 409 29017 SH SOLE 25517 0 3500 LAZARD GLB TTL RET&INCM FD I COM 52106W103 213 15935 SH SOLE 15935 0 0 LAZARD WORLD DIVID & INCOME COM 521076109 1081 99576 SH SOLE 94876 0 4700 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 1433 339540 SH SOLE 321572 0 17968 LIBERTY ALL-STAR GROWTH FD I COM 529900102 215 56545 SH SOLE 50035 0 6510 LMP CORPORATE LN FD INC COM 50208B100 152 13687 SH SOLE 13687 0 0 LMP REAL ESTATE INCOME FD IN COM 50208C108 250 27078 SH SOLE 27078 0 0 MADISON CLAYMORE CALL &EQTY COM 556582104 995 133204 SH SOLE 128704 0 4500 MFS SPL VALUE TR SH BEN INT 55274E102 387 60205 SH SOLE 57605 0 2600 MORGAN STANLEY EM MKTS DM DE COM 617477104 375 26485 SH SOLE 22385 0 4100 MORGAN STANLEY EMER MKTS DEB COM 61744H105 1171 112444 SH SOLE 112444 0 0 MORGAN STANLEY EMER MKTS FD COM 61744G107 330 25519 SH SOLE 25519 0 0 MORGAN STANLEY FRNT EMERG FD COM 61757P101 583 55877 SH SOLE 55877 0 0 NASDAQ PREM INCM & GRW FD IN COM 63110R105 778 59711 SH SOLE 58561 0 1150 NEUBERGER BERMAN RE ES SEC F COM 64190A103 75 20000 SH SOLE 20000 0 0 NEW GERMANY FD INC COM 644465106 308 25187 SH SOLE 21387 0 3800 NEW IRELAND FUND INC COM 645673104 1106 159351 SH SOLE 156601 0 2750 NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 1804 144648 SH SOLE 141148 0 3500 NUVEEN EQTY PRM OPPORTUNITYF COM 6706EM102 135 11813 SH SOLE 11813 0 0 NUVEEN EQUITY PREM & GROWTH COM 6706EW100 484 40117 SH SOLE 37417 0 2700 NUVEEN EQUITY PREM ADV FD COM 6706ET107 539 46998 SH SOLE 45698 0 1300 NUVEEN EQUITY PREM INCOME FD COM 6706ER101 569 50928 SH SOLE 50928 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 611 56247 SH SOLE 55497 0 750 NUVEEN MULT CURR ST GV INCM COM 67090N109 1032 85199 SH SOLE 84299 0 900 NUVEEN QUALITY PFD INCOME FD COM 67071S101 182 24100 SH SOLE 24100 0 0 NUVEEN QUALITY PFD INCOME FD COM 67072C105 342 43732 SH SOLE 41232 0 2500 NUVEEN TX ADV TOTAL RET STRG COM 67090H102 506 52911 SH SOLE 49611 0 3300 PETROLEUM & RES CORP COM 716549100 202 8240 SH SOLE 7440 0 800 PUTMAN HIGH INCOME SEC FUND SHS BEN INT 746779107 1434 186748 SH SOLE 181650 0 5098 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 1773 349091 SH SOLE 339271 0 9820 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 679 130792 SH SOLE 130792 0 0 RMR ASIA PAC REAL EST FD NEW COM 76970B101 576 41099 SH SOLE 40399 0 700 RMR REAL ESTATE INCOME FD COM SHS 74964K609 332 11755 SH SOLE 10755 0 1000 ROYCE FOCUS TR COM 78080N108 1599 253756 SH SOLE 243409 0 10347 ROYCE MICRO-CAP TR INC COM 780915104 557 63467 SH SOLE 63467 0 0 ROYCE VALUE TR INC COM 780910105 739 60202 SH SOLE 58702 0 1500 SINGAPORE FD INC COM 82929L109 275 25225 SH SOLE 25225 0 0 SOURCE CAP INC COM 836144105 1038 22083 SH SOLE 20258 0 1825 STRATEGIC GLOBAL INCOME FD COM 862719101 366 35971 SH SOLE 35971 0 0 SUNAMERICA FCSED ALPHA GRW F COM 867037103 1024 56030 SH SOLE 54930 0 1100 SWISS HELVETIA FD INC COM 870875101 300 30186 SH SOLE 30186 0 0 TEMPLETON DRAGON FD INC COM 88018T101 407 16000 SH SOLE 14200 0 1800 TEMPLETON EMERGING MKTS FD I COM 880191101 382 21375 SH SOLE 21375 0 0 TRI CONTL CORP COM 895436103 296 20800 SH SOLE 20100 0 700 TS&W CLAYMORE TAX ADVNTG BL COM 87280R108 237 20277 SH SOLE 19577 0 700 WELLS FARGO ADV GLB DIV OPP COM 94987C103 758 99819 SH SOLE 85119 0 14700 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 140 11105 SH SOLE 11105 0 0 WESTERN ASSET EMRG MKT INCM COM 95766E103 369 27500 SH SOLE 23750 0 3750 WESTERN ASSET VAR RT STRG FD COM 957667108 1621 109156 SH SOLE 107356 0 1800 ZWEIG FD COM 989834106 1477 509449 SH SOLE 500399 0 9050 ZWEIG TOTAL RETURN FD INC COM 989837109 2777 916508 SH SOLE 860351 0 56157