0001172661-12-001070.txt : 20121109 0001172661-12-001070.hdr.sgml : 20121109 20121109111203 ACCESSION NUMBER: 0001172661-12-001070 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121109 DATE AS OF CHANGE: 20121109 EFFECTIVENESS DATE: 20121109 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: 121192221 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 shaker3q12.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, 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 November 9, 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: 119 Form 13F Information Table Value Total: $125,814 (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 EMERG MKTS TELE&INF COM 00301T102 822 39769 SH SOLE 39769 0 0 ADVENT CLAY CONV SEC INC FD COM 007639107 2068 307331 SH SOLE 298931 0 8400 ADVENT CLAYMORE CV SECS & IN COM 00764C109 2207 133977 SH SOLE 126755 0 7222 ADVENT CLAYMORE ENH GRW & IN COM 00765E104 2772 287595 SH SOLE 268085 0 19510 AGIC EQUITY & CONV INCOME FD COM 00119P102 664 38000 SH SOLE 37000 0 1000 AGIC GLOBAL EQUITY & CONV IN COM 00119R108 213 15850 SH SOLE 13350 0 2500 AGIC INTL & PREM STRATEGY FD COM 00119Q100 647 65313 SH SOLE 62813 0 2500 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 709 82021 SH SOLE 82021 0 0 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 2161 487914 SH SOLE 467014 0 20900 AMERICAN STRATEGIC INCM PTFL COM 030098107 163 13249 SH SOLE 12249 0 1000 BANCROFT FUND LTD COM 059695106 716 42621 SH SOLE 33779 0 8842 BLACKROCK CREDIT ALL IN TR I COM SHS 09249V103 1420 117286 SH SOLE 112152 0 5134 BLACKROCK CREDIT ALL INC TR COM 09255J101 1073 100911 SH SOLE 99911 0 1000 BLACKROCK DEFINED OPPRTY CR COM 09255Q105 1729 123159 SH SOLE 116897 0 6262 BLACKROCK DIVERS OME STRATE COM 09255W102 1236 114506 SH SOLE 104371 0 10135 BLACKROCK ECOSOLUTIONS INVT COM SH 092546100 105 12000 SH SOLE 12000 0 0 BLACKROCK ENHANCED EQT DIV T COM 09251A104 862 114044 SH SOLE 107897 0 6147 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 1943 142538 SH SOLE 135538 0 7000 BLACKROCK HEALTH SCIENCES TR COM 09250W107 424 14862 SH SOLE 14862 0 0 BLACKROCK INCOME OPP TRUST I COM 092475102 811 70219 SH SOLE 62219 0 8000 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 2305 316148 SH SOLE 296848 0 19300 BLACKROCK S&P QLTY RK EQ MD SHS BEN INT 09250D109 1012 79720 SH SOLE 75220 0 4500 BROOKFIELD GLOBL LISTED INFR COM SHS 11273Q109 542 27270 SH SOLE 25370 0 1900 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 2922 230845 SH SOLE 218095 0 12750 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 155 12166 SH SOLE 12166 0 0 CALAMOS GBL DYN INCOME FUND COM 12811L107 2005 234766 SH SOLE 222866 0 11900 CALAMOS GLOBAL TOTAL RETURN COM SH BEN INT 128118106 1642 120058 SH SOLE 120033 0 25 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 692 68000 SH SOLE 63300 0 4700 CENTRAL SECS CORP COM 155123102 1813 89876 SH SOLE 85076 0 4800 CHINA FD INC COM 169373107 431 19314 SH SOLE 17165 0 2149 COHEN & STEERS CLOSED END OP COM 19248P106 2504 192641 SH SOLE 181941 0 10700 COHEN & STEERS INFRASTRUCTUR COM 19248A109 193 10600 SH SOLE 10600 0 0 COLUMBIA SELIGM PREM TECH GR COM 19842X109 1617 101418 SH SOLE 94836 0 6582 DELAWARE ENHANCED GBL DIV & COM 246060107 1055 93577 SH SOLE 83477 0 10100 DELAWARE INVTS DIV & INCOME COM 245915103 1197 145065 SH SOLE 137692 0 7373 DENALI FD INC COM 24823A102 1682 103014 SH SOLE 101264 0 1750 DIAMOND HILL FINL TRNDS FD I COM 25264C101 123 10882 SH SOLE 10882 0 0 DOW 30 PREMIUM & DIV INC FD COM 260582101 889 63669 SH SOLE 63669 0 0 DOW 30SM ENHANCED PREM & INC COM 260537105 1001 89899 SH SOLE 83738 0 6161 DWS GLOBAL HIGH INCOME FD COM 23338W104 468 53131 SH SOLE 47331 0 5800 EATON VANCE ENH EQTY INC FD COM 278277108 365 32973 SH SOLE 30373 0 2600 EATON VANCE ENHANCED EQ INC COM 278274105 329 29712 SH SOLE 28212 0 1500 EATON VANCE SH TM DR DIVR IN COM 27828V104 819 46504 SH SOLE 44149 0 2355 EATON VANCE TAX ADVT DIV INC COM 27828G107 1090 63733 SH SOLE 60833 0 2900 EATON VANCE TAX MNGD GBL DV COM 27829F108 1497 169898 SH SOLE 165547 0 4351 EATON VANCE TX ADV GLB DIV O COM 27828U106 2052 103743 SH SOLE 96393 0 7350 EATON VANCE TX ADV GLBL DIV COM 27828S101 601 43041 SH SOLE 41541 0 1500 EATON VANCE TX MGD DIV EQ IN COM 27828N102 2460 258716 SH SOLE 246216 0 12500 EATON VANCE TXMGD GL BUYWR O COM 27829C105 1096 98750 SH SOLE 94450 0 4300 ELLSWORTH FUND LTD COM 289074106 1615 219788 SH SOLE 210132 0 9656 EUROPEAN EQUITY FUND COM 298768102 744 111115 SH SOLE 108397 0 2718 FEDERATED ENHANC TREAS INCM COM SH BEN INT 314162108 292 20435 SH SOLE 20435 0 0 FIRST TR ENHANCED EQTY INC F COM 337318109 358 29353 SH SOLE 28105 0 1248 FIRST TR HIGH INCOME L/S FD COM 33738E109 2431 129740 SH SOLE 118652 0 11088 FORT DEARBORN INCOME SECS IN COM 347200107 435 25292 SH SOLE 23092 0 2200 FRANKLIN UNVL TR SH BEN INT 355145103 580 78179 SH SOLE 54958 0 23221 GABELLI DIVD & INCOME TR COM 36242H104 915 53999 SH SOLE 53299 0 700 GENERAL AMERN INVS INC COM 368802104 2783 95753 SH SOLE 87547 0 8206 GLOBAL HIGH INCOME FUND INC COM 37933G108 653 49588 SH SOLE 49588 0 0 GLOBAL INCOME&CURRENCY FD IN COM 378968101 1740 127633 SH SOLE 121721 0 5912 GUGGENHEIM ENHNCD EQTY INCM COM 40167B100 1181 129607 SH SOLE 123207 0 6400 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 622 43797 SH SOLE 41322 0 2475 HELIOS ADVANTAGE INCOME FD I COM NEW 42327W206 630 68371 SH SOLE 59609 0 8762 HELIOS MULTI SEC HI INC FD I COM NEW 42327Y202 858 134276 SH SOLE 129626 0 4650 HELIOS STRATEGIC INCOME FD I COM NEW 42328A203 2349 368807 SH SOLE 344328 0 24479 ING GLBL ADV & PREM OPP FUND COM 44982N109 905 76446 SH SOLE 73831 0 2615 ING GLOBAL EQTY DIV & PREM O COM 45684E107 1275 137841 SH SOLE 128991 0 8850 ING INFRASTRUCTURE INDLS & M COM 45685U100 548 31399 SH SOLE 30799 0 600 INVESCO VAN KAMP DYN CRDT OP COM 46132R104 548 43233 SH SOLE 43233 0 0 INVESCO VAN KAMPEN HIGH INCO COM 46131F101 219 12755 SH SOLE 12755 0 0 INVESCO VAN KAMPEN SR INC TR COM 46131H107 550 109801 SH SOLE 94801 0 15000 J F CHINA REGION FD INC COM 46614T107 435 34486 SH SOLE 32586 0 1900 JAPAN EQUITY FD INC COM 471057109 191 37433 SH SOLE 33133 0 4300 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 1135 157388 SH SOLE 146124 0 11264 LATIN AMERN DISCOVERY FD INC COM 51828C106 297 20224 SH SOLE 18164 0 2060 LAZARD WORLD DIVID & INCOME COM 521076109 1174 96438 SH SOLE 91514 0 4924 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 2247 465199 SH SOLE 439278 0 25921 LIBERTY ALL-STAR GROWTH FD I COM 529900102 745 176179 SH SOLE 170429 0 5750 MADISON CLAYMORE CALL &EQTY COM 556582104 583 73666 SH SOLE 66366 0 7300 MANAGED HIGH YIELD PLUS FD I COM 561911108 189 85491 SH SOLE 77891 0 7600 MEXICO EQUITY & INCOME FD COM 592834105 295 22977 SH SOLE 22377 0 600 MFS CHARTER INCOME TR SH BEN INT 552727109 1150 113662 SH SOLE 109062 0 4600 MFS INTERMARKET INCOME TRUST SH BEN INT 59318R103 218 23962 SH SOLE 22562 0 1400 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 1413 193251 SH SOLE 182051 0 11200 MONTGOMERY STR INCOME SECS I COM 614115103 625 36808 SH SOLE 34808 0 2000 MORGAN STANLEY INCOME SEC INC 61745P874 745 38930 SH SOLE 38930 0 0 MORGAN STANLEY EM MKTS DM DE COM 617477104 2964 179947 SH SOLE 172547 0 7400 MORGAN STANLEY EMER MKTS DEB COM 61744H105 1089 90361 SH SOLE 86463 0 3898 MORGAN STANLEY EMER MKTS FD COM 61744G107 334 22820 SH SOLE 22820 0 0 NEW GERMANY FD INC COM 644465106 1883 129436 SH SOLE 122516 0 6920 NFJ DIVID INT & PREM STRTGY COM SHS 65337H109 1654 98355 SH SOLE 97755 0 600 NUVEEN BUILD AMER BD FD COM 67074C103 886 41406 SH SOLE 40706 0 700 NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 253 17936 SH SOLE 15836 0 2100 NUVEEN GBL VL OPPORTUNITIES COM 6706EH103 1735 115666 SH SOLE 113166 0 2500 NUVEEN GLB GOVT ENHANCED IN COM 67073C104 434 29681 SH SOLE 27045 0 2636 NUVEEN MULT CURR ST GV INCM COM 67090N109 2400 181838 SH SOLE 175138 0 6700 NUVEEN QUALITY PFD INCOME FD COM 67071S101 1440 160917 SH SOLE 152847 0 8070 NUVEEN QUALITY PFD INCOME FD COM 67072C105 143 15000 SH SOLE 15000 0 0 NUVEEN TX ADV TOTAL RET STRG COM 67090H102 873 79186 SH SOLE 69360 0 9826 PETROLEUM & RES CORP COM 716549100 404 15414 SH SOLE 14614 0 800 PUTMAN HIGH INCOME SEC FUND SHS BEN INT 746779107 1711 203688 SH SOLE 194159 0 9529 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 2160 417028 SH SOLE 397796 0 19232 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 429 74813 SH SOLE 73147 0 1666 REAVES UTIL INCOME FD COM SH BEN INT 756158101 420 16633 SH SOLE 15283 0 1350 RMR REAL ESTATE INCOME FUND COM 76970B101 386 21752 SH SOLE 21752 0 0 ROYCE FOCUS TR COM 78080N108 2388 355320 SH SOLE 340038 0 15282 ROYCE MICRO-CAP TR INC COM 780915104 219 23143 SH SOLE 22690 0 453 ROYCE VALUE TR INC COM 780910105 1178 90129 SH SOLE 81107 0 9022 SINGAPORE FD INC COM 82929L109 349 25225 SH SOLE 25225 0 0 STRATEGIC GLOBAL INCOME FD COM 862719101 1043 92995 SH SOLE 88673 0 4322 SWISS HELVETIA FD INC COM 870875101 1951 181151 SH SOLE 171910 0 9241 TEMPLETON DRAGON FD INC COM 88018T101 892 34800 SH SOLE 31600 0 3200 TEMPLETON EMERGING MKTS FD I COM 880191101 429 23275 SH SOLE 22675 0 600 TRI CONTL CORP COM 895436103 1782 109845 SH SOLE 106345 0 3500 VIRTUS TOTAL RETURN FD COM 92829A103 315 80454 SH SOLE 80454 0 0 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 814 49892 SH SOLE 48892 0 1000 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 138 10405 SH SOLE 10405 0 0 ZWEIG FD COM NEW 989834205 1439 113685 SH SOLE 110272 0 3413 ZWEIG TOTAL RETURN FD INC COM NEW 989837208 304 23990 SH SOLE 23190 0 800