0001172661-13-000546.txt : 20130214 0001172661-13-000546.hdr.sgml : 20130214 20130214130839 ACCESSION NUMBER: 0001172661-13-000546 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 EFFECTIVENESS DATE: 20130214 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: 13610018 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 shaker4q12.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, 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 February 14, 2013 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: 131 Form 13F Information Table Value Total: $120,450 (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 591 27469 SH SOLE 27469 0 0 ABERDEEN LATIN AMER EQTY FD COM 00306K106 412 11370 SH SOLE 10870 0 500 ADVENT CLAY CONV SEC INC FD COM 007639107 1485 229207 SH SOLE 221207 0 8000 ADVENT CLAYMORE CV SECS & IN COM 00764C109 613 38030 SH SOLE 37745 0 285 ADVENT CLAYMORE ENH GRW & IN COM 00765E104 1735 190705 SH SOLE 180837 0 9868 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 1422 352846 SH SOLE 329448 0 23398 BANCROFT FUND LTD COM 059695106 519 31670 SH SOLE 26143 0 5527 BLACKROCK CORPOR HI YLD FD V COM 09255N102 1005 80013 SH SOLE 79462 0 551 BLACKROCK CORPOR HI YLD III COM 09255M104 797 105223 SH SOLE 95023 0 10200 BLACKROCK CREDIT ALL INC TR COM 092508100 1313 95652 SH SOLE 89251 0 6401 BLACKROCK DEBT STRAT FD INC COM 09255R103 416 96803 SH SOLE 94303 0 2500 BLACKROCK DEFINED OPPRTY CR COM 09255Q105 571 40260 SH SOLE 39660 0 600 BLACKROCK ECOSOLUTIONS INVT COM SH 092546100 692 82444 SH SOLE 71383 0 11061 BLACKROCK ENERGY & RES TR COM 09250U101 369 15665 SH SOLE 14902 0 763 BLACKROCK ENH CAP & INC FD I COM 09256A109 909 73218 SH SOLE 69431 0 3787 BLACKROCK ENHANCED EQT DIV T COM 09251A104 408 56819 SH SOLE 44341 0 12478 BLACKROCK FLOAT RATE OME STR COM 09255X100 634 41839 SH SOLE 35534 0 6305 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 1370 103821 SH SOLE 98621 0 5200 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 1799 244805 SH SOLE 224805 0 20000 BLACKROCK REAL ASSET EQUITY COM 09254B109 757 73760 SH SOLE 68060 0 5700 BLACKROCK S&P QLTY RK EQ MD SHS BEN INT 09250D109 1281 104619 SH SOLE 97669 0 6950 BLACKROCK UTIL & INFRASTRCTU COM 09248D104 318 17800 SH SOLE 17800 0 0 BLACKSTONE GSO LNG SHRT CR I COM SHS BN INT 09257D102 360 19190 SH SOLE 19190 0 0 BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 753 40600 SH SOLE 40000 0 600 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 2082 171340 SH SOLE 159040 0 12300 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 2157 180639 SH SOLE 175489 0 5150 CALAMOS GBL DYN INCOME FUND COM 12811L107 256 30709 SH SOLE 30709 0 0 CALAMOS GLOBAL TOTAL RETURN COM SH BEN INT 128118106 1857 135156 SH SOLE 135131 0 25 CENTRAL EUROPE & RUSSIA FD I COM 153436100 210 6200 SH SOLE 5550 0 650 CENTRAL SECS CORP COM 155123102 1488 74489 SH SOLE 71689 0 2800 CHINA FD INC COM 169373107 361 16861 SH SOLE 14472 0 2389 CLOUGH GLOBAL ALLOCATION FUN COM SHS BEN IN 18913Y103 381 27830 SH SOLE 27830 0 0 CLOUGH GLOBAL EQUITY FD COM 18914C100 1091 83900 SH SOLE 78700 0 5200 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 290 24683 SH SOLE 21783 0 2900 COHEN & STEERS CLOSED END OP COM 19248P106 1237 99564 SH SOLE 94114 0 5450 COHEN & STEERS GLOBAL INC BL COM 19248M103 998 96690 SH SOLE 89590 0 7100 COHEN & STEERS REIT & PFD IN COM 19247X100 962 56646 SH SOLE 55746 0 900 COLUMBIA SELIGM PREM TECH GR COM 19842X109 676 46561 SH SOLE 42379 0 4182 CUTWATER SELECT INCOME FD COM 232229104 449 22835 SH SOLE 21569 0 1266 DELAWARE ENHANCED GBL DIV & COM 246060107 1729 149090 SH SOLE 130238 0 18852 DELAWARE INVTS DIV & INCOME COM 245915103 1183 149349 SH SOLE 136976 0 12373 DENALI FD INC COM 24823A102 1887 116363 SH SOLE 114163 0 2200 DIAMOND HILL FINL TRNDS FD I COM 25264C101 201 17576 SH SOLE 17576 0 0 DOW 30 PREMIUM & DIV INC FD COM 260582101 820 61863 SH SOLE 57139 0 4724 DOW 30SM ENHANCED PREM & INC COM 260537105 502 46775 SH SOLE 42314 0 4461 DWS GLOBAL HIGH INCOME FD COM 23338W104 134 15209 SH SOLE 15209 0 0 DWS HIGH INCOME OPPORT FD IN COM NEW 23339M204 648 42765 SH SOLE 39965 0 2800 DWS STRATEGIC INCOME TR SHS 23338N104 709 49709 SH SOLE 42215 0 7494 EATON VANCE TAX ADVT DIV INC COM 27828G107 305 18482 SH SOLE 18482 0 0 EATON VANCE TX ADV GLB DIV O COM 27828U106 1547 77010 SH SOLE 71010 0 6000 EATON VANCE TX ADV GLBL DIV COM 27828S101 1881 138519 SH SOLE 133880 0 4639 ELLSWORTH FUND LTD COM 289074106 1351 189186 SH SOLE 179530 0 9656 EUROPEAN EQUITY FUND COM 298768102 969 137826 SH SOLE 135108 0 2718 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 632 35381 SH SOLE 34081 0 1300 FIRST TR ACTIVE DIVID INCOME COM 33731L100 703 93128 SH SOLE 87328 0 5800 FIRST TR HIGH INCOME L/S FD COM 33738E109 2097 115740 SH SOLE 102352 0 13388 FIRST TR STRATEGIC HIGH INC COM SHS NEW 337353304 564 33950 SH SOLE 31950 0 2000 FORT DEARBORN INCOME SECS IN COM 347200107 212 12789 SH SOLE 11439 0 1350 FRANKLIN UNVL TR SH BEN INT 355145103 1268 179570 SH SOLE 154595 0 24975 GABELLI CONV & INCOME SECS F CONV SECS FD 36240B109 66 12356 SH SOLE 6356 0 6000 GABELLI DIVD & INCOME TR COM 36242H104 2737 169133 SH SOLE 162733 0 6400 GLOBAL HIGH INCOME FUND INC COM 37933G108 984 76181 SH SOLE 76181 0 0 GUGGENHEIM ENHNCD EQTY INCM COM 40167B100 1531 186677 SH SOLE 176477 0 10200 GUGGENHEIM EQ WEIGHT ENHANC COM SH BEN INT 40167M106 2265 127740 SH SOLE 117090 0 10650 HANCOCK JOHN PFD INCOME FD I COM 41013X106 635 29320 SH SOLE 29320 0 0 HANCOCK JOHN PFD INCOME FD I COM 41021P103 312 16665 SH SOLE 12395 0 4270 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 1422 104817 SH SOLE 102317 0 2500 HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 1151 63827 SH SOLE 56627 0 7200 HELIOS ADVANTAGE INCOME FD I COM NEW 42327W206 721 83376 SH SOLE 82407 0 969 HELIOS HIGH INCOME FD INC COM NEW 42327X204 558 66716 SH SOLE 63187 0 3529 HELIOS MULTI SEC HI INC FD I COM NEW 42327Y202 311 51572 SH SOLE 48513 0 3059 HELIOS STRATEGIC INCOME FD I COM NEW 42328A203 1509 238811 SH SOLE 230275 0 8536 ING ASIA PAC HGH DIVID EQ IN COM 44983J107 516 32840 SH SOLE 31481 0 1359 ING GLBL ADV & PREM OPP FUND COM 44982N109 416 36620 SH SOLE 34720 0 1900 ING GLOBAL EQTY DIV & PREM O COM 45684E107 1677 193411 SH SOLE 182761 0 10650 ING INFRASTRUCTURE INDLS & M COM 45685U100 506 30888 SH SOLE 29388 0 1500 ING INTL HIGH DIVD EQTY INC COM 45684Q100 720 74644 SH SOLE 74644 0 0 ING RISK MANAGED NAT RES FD COM 449810100 499 48288 SH SOLE 45638 0 2650 INVESCO SR INCOME TR COM 46131H107 272 52500 SH SOLE 39300 0 13200 J F CHINA REGION FD INC COM 46614T107 483 34486 SH SOLE 32586 0 1900 JAPAN EQUITY FD INC COM 471057109 243 43715 SH SOLE 39415 0 4300 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 816 113337 SH SOLE 105373 0 7964 JOHN HANCOCK HDG EQ & INC FD COM 47804L102 511 33472 SH SOLE 32722 0 750 LATIN AMERN DISCOVERY FD INC COM 51828C106 344 22068 SH SOLE 18508 0 3560 LEGG MASON BW GLB INC OPP FD COM 52469B100 277 13662 SH SOLE 11162 0 2500 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 2119 444337 SH SOLE 429437 0 14900 LIBERTY ALL-STAR GROWTH FD I COM 529900102 1472 362481 SH SOLE 329207 0 33274 MACQUARIE GLBL INFRA TOTL RE COM 55608D101 296 15539 SH SOLE 14788 0 751 MADISON STRTG SECTOR PREM FD COM 558268108 161 14478 SH SOLE 14478 0 0 MANAGED HIGH YIELD PLUS FD I COM 561911108 667 311494 SH SOLE 303894 0 7600 MEXICO EQUITY & INCOME FD COM 592834105 667 46827 SH SOLE 46227 0 600 MFS GOVT MKTS INCOME TR SH BEN INT 552939100 309 45123 SH SOLE 38099 0 7024 MFS INTERMARKET INCOME TRUST SH BEN INT 59318R103 134 15246 SH SOLE 15246 0 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 533 73211 SH SOLE 69311 0 3900 MORGAN STANLEY ASIA PAC FD I COM 61744U106 198 13250 SH SOLE 12750 0 500 MORGAN STANLEY EM MKTS DM DE COM 617477104 3019 179252 SH SOLE 167452 0 11800 MORGAN STANLEY EMER MKTS DEB COM 61744H105 618 51754 SH SOLE 49754 0 2000 NEUBERGER BERMAN HGH YLD FD COM 64128C106 1480 106507 SH SOLE 100029 0 6478 NEUBERGER BERMAN RE ES SEC F COM 64190A103 101 22000 SH SOLE 19000 0 3000 NEW GERMANY FD INC COM 644465106 1938 124393 SH SOLE 116679 0 7714 NUVEEN BUILD AMER BD FD COM 67074C103 629 29693 SH SOLE 29693 0 0 NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 755 56574 SH SOLE 56574 0 0 NUVEEN DIVER CURRENCY OPPOR COM 67090N109 2397 186220 SH SOLE 177819 0 8401 NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 1142 98447 SH SOLE 92947 0 5500 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 806 90615 SH SOLE 84715 0 5900 NUVEEN QUALITY PFD INCOME FD COM 67071S101 1297 149606 SH SOLE 145006 0 4600 NUVEEN QUALITY PFD INCOME FD COM 67072C105 181 19181 SH SOLE 16681 0 2500 NUVEEN TX ADV TOTAL RET STRG COM 67090H102 1049 99781 SH SOLE 93528 0 6253 PUTMAN HIGH INCOME SEC FUND SHS BEN INT 746779107 2099 264016 SH SOLE 245712 0 18304 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 1887 372906 SH SOLE 350806 0 22100 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 1713 313675 SH SOLE 278075 0 35600 ROYCE FOCUS TR COM 78080N108 1179 178645 SH SOLE 167340 0 11305 ROYCE MICRO-CAP TR INC COM 780915104 442 46736 SH SOLE 46283 0 453 SINGAPORE FD INC COM 82929L109 353 25225 SH SOLE 23225 0 2000 SOURCE CAP INC COM 836144105 916 17543 SH SOLE 15003 0 2540 STRATEGIC GLOBAL INCOME FD COM 862719101 1747 159294 SH SOLE 152583 0 6711 SWISS HELVETIA FD INC COM 870875101 2311 204735 SH SOLE 191994 0 12741 TEMPLETON DRAGON FD INC COM 88018T101 894 31450 SH SOLE 28250 0 3200 TRI CONTL CORP COM 895436103 1008 62828 SH SOLE 58296 0 4532 VIRTUS GLOBAL MULTI-SEC INC COM 92829B101 609 32245 SH SOLE 31533 0 712 VIRTUS TOTAL RETURN FD COM 92829A103 251 64827 SH SOLE 64827 0 0 WELLS FARGO ADV GLB DIV OPP COM 94987C103 310 41000 SH SOLE 41000 0 0 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 804 79857 SH SOLE 78657 0 1200 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 537 33203 SH SOLE 27248 0 5955 WELLS FARGO ADVANTAGE UTILS COM 94987E109 1182 105667 SH SOLE 98974 0 6693 WESTERN ASSET EMRG MKT INCM COM 95766E103 289 18849 SH SOLE 15200 0 3649 WESTERN ASSET HGH YLD DFNDFD COM 95768B107 1639 89430 SH SOLE 76980 0 12450 WESTERN ASSET HIGH INCM FD I COM 95766H106 237 25214 SH SOLE 22714 0 2500 WESTERN ASSET INCOME FD COM 95766T100 369 24891 SH SOLE 22478 0 2413 WESTERN ASSET WORLDWIDE INCO COM 957668106 201 13307 SH SOLE 9609 0 3698 ZWEIG FD COM NEW 989834205 1657 136295 SH SOLE 127732 0 8563