0001172661-13-000773.txt : 20130507 0001172661-13-000773.hdr.sgml : 20130507 20130507075822 ACCESSION NUMBER: 0001172661-13-000773 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130507 DATE AS OF CHANGE: 20130507 EFFECTIVENESS DATE: 20130507 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: 13817976 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 shaker1q13.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, 2013 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 7, 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: 136 Form 13F Information Table Value Total: $143,797 (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 394 50663 SH SOLE 45463 0 5200 ABERDEEN EMERG MKTS TELE&INF COM 00301T102 585 27764 SH SOLE 27764 0 0 ABERDEEN LATIN AMER EQTY FD COM 00306K106 735 19620 SH SOLE 19120 0 500 ADVENT CLAYMORE CV SECS & IN COM 00764C109 1549 91406 SH SOLE 87621 0 3785 ADVENT CLAYMORE ENH GRW & IN COM 00765E104 1060 108937 SH SOLE 103556 0 5381 ALLIANZGI EQUITY & CONV INCO COM 018829101 1428 79316 SH SOLE 76409 0 2907 ALLIANZGI INTL & PREM STRATE COM 01882X108 2205 219384 SH SOLE 217731 0 1653 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 2007 490746 SH SOLE 465048 0 25698 AMERICAN SELECT PORTFOLIO IN COM 029570108 553 51864 SH SOLE 50314 0 1550 AMERICAN STRATEGIC INCM PTFL COM 030098107 209 18436 SH SOLE 15296 0 3140 ARES DYNAMIC CR ALLOCATION F COM 04014F102 620 31023 SH SOLE 28621 0 2402 ASIA PAC FD INC COM 044901106 353 32853 SH SOLE 30220 0 2633 BANCROFT FUND LTD COM 059695106 561 32070 SH SOLE 26543 0 5527 BLACKROCK CORE BD TR SHS BEN INT 09249E101 1784 121043 SH SOLE 113143 0 7900 BLACKROCK CORPOR HI YLD FD V COM 09255N102 807 60966 SH SOLE 60578 0 388 BLACKROCK CORPOR HI YLD III COM 09255M104 433 54411 SH SOLE 46971 0 7440 BLACKROCK CR ALLCTN INC TR COM 092508100 195 13896 SH SOLE 13896 0 0 BLACKROCK ECOSOLUTIONS INVT COM SH 092546100 359 39440 SH SOLE 36425 0 3015 BLACKROCK ENERGY & RES TR COM 09250U101 1071 41417 SH SOLE 39917 0 1500 BLACKROCK ENH CAP & INC FD I COM 09256A109 1625 124928 SH SOLE 118141 0 6787 BLACKROCK ENHANCED EQT DIV T COM 09251A104 1004 128371 SH SOLE 117871 0 10500 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 2429 174971 SH SOLE 168271 0 6700 BLACKROCK INCOME OPP TRUST I COM 092475102 334 29716 SH SOLE 29216 0 500 BLACKROCK INCOME TR INC COM 09247F100 781 108325 SH SOLE 102825 0 5500 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 1738 227730 SH SOLE 210530 0 17200 BLACKROCK REAL ASSET EQUITY COM 09254B109 821 82114 SH SOLE 77914 0 4200 BLACKROCK S&P QLTY RK EQ MD SHS BEN INT 09250D109 1448 112491 SH SOLE 104841 0 7650 BROOKFIELD GLOBL LISTED INFR COM SHS 11273Q109 212 9580 SH SOLE 9580 0 0 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 2367 184766 SH SOLE 173066 0 11700 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 2958 234394 SH SOLE 223244 0 11150 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 915 86220 SH SOLE 76520 0 9700 CENTRAL SECS CORP COM 155123102 2372 114189 SH SOLE 107839 0 6350 CHINA FD INC COM 169373107 357 16981 SH SOLE 15190 0 1791 CLOUGH GLOBAL ALLOCATION FUN COM SHS BEN IN 18913Y103 910 60386 SH SOLE 59386 0 1000 CLOUGH GLOBAL EQUITY FD COM 18914C100 933 63479 SH SOLE 59979 0 3500 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 394 30579 SH SOLE 26038 0 4541 COHEN & STEERS CLOSED END OP COM 19248P106 268 20029 SH SOLE 20029 0 0 COHEN & STEERS DIV MJRS FDIN COM 19248G106 443 29712 SH SOLE 28412 0 1300 COHEN & STEERS REIT & PFD IN COM 19247X100 612 32401 SH SOLE 31401 0 1000 COLUMBIA SELIGM PREM TECH GR COM 19842X109 465 31012 SH SOLE 31012 0 0 DELAWARE ENHANCED GBL DIV & COM 246060107 2589 212549 SH SOLE 201497 0 11052 DELAWARE INVTS DIV & INCOME COM 245915103 1875 207603 SH SOLE 198830 0 8773 DENALI FD INC COM 24823A102 2292 124498 SH SOLE 122148 0 2350 DOW 30 PREMIUM & DIV INC FD COM 260582101 314 21530 SH SOLE 21530 0 0 DOW 30SM ENHANCED PREM & INC COM 260537105 2281 193455 SH SOLE 183790 0 9665 DUFF & PHELPS GLB UTL INC FD COM 26433C105 373 19568 SH SOLE 19568 0 0 DWS HIGH INCOME OPPORT FD IN COM NEW 23339M204 845 54454 SH SOLE 51654 0 2800 EATON VANCE SH TM DR DIVR IN COM 27828V104 1015 58900 SH SOLE 51800 0 7100 EATON VANCE TAX ADVT DIV INC COM 27828G107 490 26267 SH SOLE 22517 0 3750 EATON VANCE TAX MNGED BUY WR COM 27828X100 1118 76344 SH SOLE 73444 0 2900 ELLSWORTH FUND LTD COM 289074106 1500 196348 SH SOLE 186692 0 9656 EUROPEAN EQUITY FUND COM 298768102 973 137030 SH SOLE 135229 0 1801 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 295 16573 SH SOLE 14273 0 2300 FIRST TR ACTIVE DIVID INCOME COM 33731L100 1144 137607 SH SOLE 127905 0 9702 FIRST TR HIGH INCOME L/S FD COM 33738E109 1465 77178 SH SOLE 69440 0 7738 FIRST TR STRATEGIC HIGH INC COM SHS NEW 337353304 404 23414 SH SOLE 22613 0 801 FIRST TRUST MORTGAGE INCM FD COM SHS 33734E103 681 41452 SH SOLE 39852 0 1600 FORT DEARBORN INCOME SECS IN COM 347200107 318 20489 SH SOLE 19139 0 1350 FRANKLIN UNVL TR SH BEN INT 355145103 1640 217460 SH SOLE 196688 0 20772 GABELLI DIVD & INCOME TR COM 36242H104 1987 104807 SH SOLE 102407 0 2400 GABELLI GLOBL UTIL & INCOME COM SH BEN INT 36242L105 410 19232 SH SOLE 14782 0 4450 GLOBAL HIGH INCOME FUND INC COM 37933G108 376 29548 SH SOLE 29548 0 0 GUGGENHEIM EQ WEIGHT ENHANC COM SH BEN INT 40167M106 4003 213713 SH SOLE 198113 0 15600 H & Q HEALTHCARE INVESTORS SH BEN INT 404052102 1618 80971 SH SOLE 78336 0 2635 HANCOCK JOHN PFD INCOME FD I COM 41021P103 478 24229 SH SOLE 21493 0 2736 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 2187 154335 SH SOLE 146735 0 7600 HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 1124 56187 SH SOLE 51687 0 4500 HELIOS ADVANTAGE INCOME FD I COM NEW 42327W206 636 69950 SH SOLE 68981 0 969 HELIOS HIGH INCOME FD INC COM NEW 42327X204 531 60615 SH SOLE 57086 0 3529 HELIOS MULTI SEC HI INC FD I COM NEW 42327Y202 445 71098 SH SOLE 69648 0 1450 HELIOS STRATEGIC INCOME FD I COM NEW 42328A203 823 127808 SH SOLE 121894 0 5914 ING ASIA PAC HGH DIVID EQ IN COM 44983J107 777 48840 SH SOLE 44881 0 3959 ING GLOBAL EQTY DIV & PREM O COM 45684E107 898 96960 SH SOLE 92437 0 4523 ING INFRASTRUCTURE INDLS & M COM 45685U100 729 41965 SH SOLE 41965 0 0 ING RISK MANAGED NAT RES FD COM 449810100 1304 116911 SH SOLE 114761 0 2150 INVESCO BD FD COM 46132L107 389 19544 SH SOLE 19544 0 0 J F CHINA REGION FD INC COM 46614T107 539 37458 SH SOLE 35558 0 1900 JAPAN EQUITY FD INC COM 471057109 150 24026 SH SOLE 19726 0 4300 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 942 109327 SH SOLE 105563 0 3764 JOHN HANCOCK HDG EQ & INC FD COM 47804L102 443 26396 SH SOLE 25146 0 1250 LATIN AMERN DISCOVERY FD INC COM 51828C106 468 29417 SH SOLE 25757 0 3660 LEGG MASON BW GLB INC OPP FD COM 52469B100 1093 54386 SH SOLE 53086 0 1300 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 2802 542060 SH SOLE 510337 0 31723 LIBERTY ALL-STAR GROWTH FD I COM 529900102 1713 384148 SH SOLE 350874 0 33274 LMP CAP & INCOME FD INC COM 50208A102 209 13366 SH SOLE 10066 0 3300 MACQUARIE GLBL INFRA TOTL RE COM 55608D101 265 12539 SH SOLE 11788 0 751 MANAGED HIGH YIELD PLUS FD I COM 561911108 1274 590008 SH SOLE 548508 0 41500 MEXICO EQUITY & INCOME FD COM 592834105 891 53238 SH SOLE 53027 0 211 MFS GOVT MKTS INCOME TR SH BEN INT 552939100 335 51123 SH SOLE 44099 0 7024 MFS INTERMARKET INCOME TRUST SH BEN INT 59318R103 425 49489 SH SOLE 46389 0 3100 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 445 60478 SH SOLE 55315 0 5163 MORGAN STANLEY INCOME SEC INC 61745P874 648 35834 SH SOLE 34884 0 950 MORGAN STANLEY ASIA PAC FD I COM 61744U106 684 42350 SH SOLE 40750 0 1600 MORGAN STANLEY EM MKTS DM DE COM 617477104 3346 200937 SH SOLE 189937 0 11000 MORGAN STANLEY EMER MKTS DEB COM 61744H105 169 14307 SH SOLE 14307 0 0 NEUBERGER BERMAN HGH YLD FD COM 64128C106 2879 202761 SH SOLE 200283 0 2478 NEUBERGER BERMAN RE ES SEC F COM 64190A103 206 40000 SH SOLE 35000 0 5000 NEW GERMANY FD INC COM 644465106 1830 108658 SH SOLE 103058 0 5600 NUVEEN BUILD AMER BD FD COM 67074C103 581 27693 SH SOLE 27693 0 0 NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 608 39994 SH SOLE 36094 0 3900 NUVEEN GBL INCOME OPPORTUN F COM 67073C104 221 15786 SH SOLE 15786 0 0 NUVEEN GBL VL OPPORTUNITIES COM 6706EH103 224 15850 SH SOLE 15850 0 0 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 1418 156500 SH SOLE 148200 0 8300 NUVEEN QUALITY PFD INCOME FD COM 67071S101 718 80244 SH SOLE 77974 0 2270 NUVEEN QUALITY PFD INCOME FD COM 67072C105 760 80613 SH SOLE 78113 0 2500 NUVEEN TAX ADVANTAGED DIV GR COM 67073G105 1584 102678 SH SOLE 97108 0 5570 NUVEEN TX ADV TOTAL RET STRG COM 67090H102 248 21283 SH SOLE 21283 0 0 PIMCO DYNAMIC INCOME FD SHS 72201Y101 1271 40881 SH SOLE 39581 0 1300 PUTMAN HIGH INCOME SEC FUND SHS BEN INT 746779107 2835 345753 SH SOLE 323699 0 22054 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 2018 387379 SH SOLE 368279 0 19100 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 1810 326798 SH SOLE 315098 0 11700 ROYCE MICRO-CAP TR INC COM 780915104 1001 93560 SH SOLE 89607 0 3953 ROYCE VALUE TR INC COM 780910105 207 13724 SH SOLE 12724 0 1000 SINGAPORE FD INC COM 82929L109 358 25225 SH SOLE 25225 0 0 SOURCE CAP INC COM 836144105 289 4923 SH SOLE 4923 0 0 SPECIAL OPPORTUNITIES FD INC COM 84741T104 480 28874 SH SOLE 27074 0 1800 STONE HBR EMERG MKTS TL INC COM 86164W100 1382 57791 SH SOLE 54441 0 3350 STRATEGIC GLOBAL INCOME FD COM 862719101 2590 239417 SH SOLE 231298 0 8119 SWISS HELVETIA FD INC COM 870875101 2240 182680 SH SOLE 174439 0 8241 TEMPLETON DRAGON FD INC COM 88018T101 1116 39950 SH SOLE 36050 0 3900 TEMPLETON EMERGING MKTS FD I COM 880191101 211 10339 SH SOLE 10339 0 0 TRANSAMERICA INCOME SHS INC COM 893506105 1456 67339 SH SOLE 59250 0 8089 TRI CONTL CORP COM 895436103 1125 64128 SH SOLE 60196 0 3932 VIRTUS GLOBAL MULTI-SEC INC COM 92829B101 1621 84211 SH SOLE 80873 0 3338 VIRTUS TOTAL RETURN FD COM 92829A103 712 173184 SH SOLE 159610 0 13574 WELLS FARGO ADV GLB DIV OPP COM 94987C103 447 57200 SH SOLE 52200 0 5000 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 423 42207 SH SOLE 42207 0 0 WELLS FARGO ADVANTAGE UTILS COM 94987E109 1635 138053 SH SOLE 123455 0 14598 WESTERN ASSET GLB HI INCOME COM 95766B109 208 15000 SH SOLE 15000 0 0 WESTERN ASSET GLOBAL CP DEFI COM 95790C107 728 36421 SH SOLE 34781 0 1640 WESTERN ASSET HGH YLD DFNDFD COM 95768B107 2206 116183 SH SOLE 104033 0 12150 WESTERN ASSET HIGH INCM FD I COM 95766H106 234 24264 SH SOLE 19264 0 5000 WESTERN ASSET HIGH INCM OPP COM 95766K109 885 138958 SH SOLE 132758 0 6200 WESTERN ASSET INCOME FD COM 95766T100 917 64206 SH SOLE 54417 0 9789 WESTERN ASSET MGD HI INCM FD COM 95766L107 1073 173291 SH SOLE 161396 0 11895 ZWEIG FD COM NEW 989834205 3580 275407 SH SOLE 261594 0 13813