Shaker Financial Services, LLC
Registered adviserFiling Date
Global Rank
#5,084
/ 8,827
▼ 112
· as of Jun 2026
Top Industry
Asset Management
100.0%
Period ended 37 days ago
Filed Oct 14, 2026 · 23d
27 quarters · since Mar 2020
Regulatory profile
From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.
Holder type
Registered adviser
Form ADV roster, Nov 1, 2026
Regulatory AUM
$286,320,400
Main clients
Individuals and high net worth
(100% of AUM)
Form ADV history
Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.
| Rosters | Regulatory AUM | Main clients |
|---|---|---|
| Apr 2026 to Nov 2026 | $286,320,400 | Individuals and high net worth (100%) |
| Apr 2025 to Mar 2026 | $260,612,020 | Individuals and high net worth (100%) |
| Apr 2024 to Mar 2025 | $228,387,456 | Individuals and high net worth (99%) |
| May 2023 to Mar 2024 | $207,583,087 | Individuals and high net worth (99%) |
| Apr 2023 | $207,583,087 | Individuals and high net worth (99%) |
| Apr 2022 to Mar 2023 | $265,941,983 | Individuals and high net worth (99%) |
3 earlier changes not shown.
Portfolio style
Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.
Style
Diversified active
Top 10 weight 26.9%, 70.3 effective positions, active share 97.9% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests
Turnover
High turnover
101.0% over the last four quarters (100%+)
Horizon
Horizon unknown
The value-weighted holding period is at least 10.8 quarters, but 8.7% of the book was already held when coverage starts
Closest benchmark: every 13F filer's combined book, active share 97.9%; sector active share 85.3% against the combined 13F book's sector weights.
Over time 26 measured quarters
How the bands are measured
Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.
Clone Performance
Build a hypothetical price-return history from this filer's public 13F holdings.
View clone backtestPortfolio Concentration
144 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026Top Position
2.9%
−0.8 pts
Top 5
13.4%
−2.2 pts
Top 10
24.1%
−2.8 pts
HHI
128
Diversified−14
Portfolio Trend
27 quarters · across all stocks
Sector Breakdown
As of Sep 30, 2026| Sector | % Portfolio | Value |
|---|---|---|
| Financial Services | 96.4% | $291,497,272 |
| Unclassified | 3.6% | $11,026,975 |
Last Quarter's Activity
Export CSVAdded To
Positions the filer increased
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| PHK | Pimco High Income Fund | +316,668 | 516,772 | $2,118,765 | |
| PFL | Pimco Income Strategy Fund | +253,173 | 548,253 | $3,782,945 | |
| ETY | Eaton Vance Tax-Managed Diversified Equity Income Fund | +225,013 | 383,715 | $5,391,195 | |
| EOD | Allspring Global Dividend Opportunity Fund | +218,236 | 255,731 | $1,636,678 | |
| JPC | Nuveen Preferred & Income Opportunities Fund | +213,720 | 300,720 | $2,050,910 | |
| GLO | Clough Global Opportunities Fund | +170,014 | 378,521 | $2,021,302 | |
| EXG | Eaton Vance Tax-Managed Global Diversified Equity Income Fund | +137,692 | 225,286 | $2,119,941 | |
| MCN | XAI Madison Equity Premium Income Fund | +120,532 | 546,122 | $2,872,601 | |
| ASG | Liberty All Star Growth Fund Inc. | +114,455 | 1,642,101 | $8,292,610 | |
| PDO | PIMCO Dynamic Income Opportunities Fund | +113,619 | 198,795 | $2,357,708 | |
| FOF | Cohen & Steers Closed-End Opportunity Fund, Inc. | +112,087 | 124,694 | $1,554,934 | |
| WDI | Western Asset Diversified Income Fund (WDI) | +103,953 | 123,537 | $1,460,207 | |
| VLT | Invesco High Income Trust II | +101,268 | 149,149 | $1,355,764 | |
| ARDC | Ares Dynamic Credit Allocation Fund, Inc. | +92,604 | 196,145 | $2,255,667 | |
| GF | New Germany Fund Inc | +79,782 | 92,017 | $979,060 | |
| CHW | Calamos Global Dynamic Income Fund | +79,600 | 491,862 | $3,969,326 | |
| PGZ | Principal Real Estate Income Fund | +79,518 | 90,664 | $808,722 | |
| BRW | Saba Capital Income & Opportunities Fund | +77,458 | 153,273 | $921,170 | |
| ACP | abrdn Income Credit Strategies Fund | +73,408 | 514,675 | $2,290,303 | |
| GLV | Clough Global Dividend & Income Fund | +72,277 | 171,750 | $994,432 | |
| ETG | Eaton Vance Tax-Advantaged Global Dividend Income Fund | +68,954 | 158,081 | $3,654,832 | |
| NCV | Virtus Convertible & Income Fund | +63,752 | 74,464 | $1,125,151 | |
| FTF | Franklin Ltd Duration Income Trust | +60,997 | 332,332 | $1,781,299 | |
| DSL | DoubleLine Income Solutions Fund | +59,383 | 415,052 | $4,150,520 | |
| GDV | Gabelli Dividend & Income Trust | +58,949 | 222,969 | $6,307,793 | |
| No positions match the current search. | |||||
Trimmed
Positions the filer reduced
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| GAB | Gabelli Equity Trust Inc | −554,812 | 1,518,357 | $7,956,190 | |
| HIO | Western Asset High Income Opportunity Fund Inc. | −323,034 | 319,464 | $1,041,452 | |
| USA | Liberty All Star Equity Fund | −312,185 | 1,334,591 | $7,700,590 | |
| EHI | Western Asset Global High Income Fund Inc. | −264,314 | 263,590 | $1,436,565 | |
| EAD | Allspring Income Opportunities Fund | −242,911 | 352,947 | $2,121,211 | |
| IGA | Voya Global Advantage & Premium Opportunity Fund | −168,332 | 40,604 | $406,446 | |
| SABA | Saba Capital Income & Opportunities Fund II | −153,597 | 436,616 | $3,479,829 | |
| PFN | PIMCO Income Strategy Fund II | −150,728 | 313,823 | $1,958,255 | |
| HYI | Western Asset High Yield Opportunity Fund Inc. | −149,743 | 179,344 | $1,768,331 | |
| KIO | KKR Income Opportunities Fund | −137,682 | 37,893 | $390,297 | |
| CSQ | Calamos Strategic Total Return Fund | −132,107 | 31,596 | $644,242 | |
| DBL | DoubleLine Opportunistic Credit Fund | −120,883 | 89,661 | $1,214,906 | |
| STEW | SRH Total Return Fund, Inc. | −118,972 | 179,744 | $3,122,153 | |
| CIK | Ubs Asset Management Income Fund, Inc. | −114,828 | 752,927 | $1,761,849 | |
| GHY | PGIM Global High Yield Fund, Inc. | −114,128 | 221,753 | $2,443,718 | |
| NRO | Neuberger Real Estate Securities Income Fund Inc | −109,416 | 272,461 | $708,398 | |
| SPE | Special Opportunities Fund, Inc. | −106,337 | 558,655 | $7,061,399 | |
| CHY | Calamos Convertible & High Income Fund | −101,585 | 55,669 | $651,883 | |
| HGLB | Highland Global Allocation Fund | −100,860 | 419,347 | $2,767,690 | |
| BWG | BrandywineGLOBAL-Global Income Opportunities Fund Inc | −100,538 | 373,225 | $2,582,717 | |
| CPZ | Calamos Long/Short Equity & Dynamic Income Trust | −93,553 | 90,470 | $1,136,303 | |
| AWF | Alliancebernstein Global High Income Fund Inc | −93,476 | 193,518 | $1,882,930 | |
| RVT | Royce Small-Cap Trust, Inc. | −92,006 | 513,739 | $8,800,349 | |
| ETW | Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund | −91,780 | 167,447 | $1,590,746 | |
| ETJ | Eaton Vance Risk-Managed Diversified Equity Income Fund | −89,181 | 117,721 | $961,780 | |
| No positions match the current search. | |||||
New Positions
Positions the filer opened this quarter
19 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| TBLD | Thornburg Income Builder Opportunities Trust | 213,332 | $4,334,906 | |
| CII | BlackRock Enhanced Large Cap Core Fund, Inc. | 141,946 | $3,406,704 | |
| TY | TRI-CONTINENTAL Corp | 86,983 | $2,986,996 | |
| PDI | PIMCO Dynamic Income Fund | 189,156 | $2,653,858 | |
| EVT | Eaton Vance Tax-Advantaged Dividend Income Fund | 94,702 | $2,643,132 | |
| FAX | Abrdn Asia-Pacific Income Fund, Inc. | 155,079 | $2,028,433 | |
| HPS | John Hancock Preferred Income Fund III | 91,089 | $1,096,711 | |
| HTD | John Hancock Tax-Advantaged Dividend Income Fund | 47,893 | $1,062,266 | |
| LGI | Lazard Global Total Return & Income Fund Inc | 51,320 | $873,466 | |
| IAF | Abrdn Australia Equity Fund, Inc. | 46,499 | $582,167 | |
| MEGI | NYLIM CBRE Global Infrastructure Megatrends Term Fund | 40,009 | $538,521 | |
| ETV | Eaton Vance Tax-Managed Buy-Write Opportunities Fund | 34,789 | $519,051 | |
| NHS | Neuberger High Yield Strategies Fund Inc. | 78,392 | $424,884 | |
| EMD | Western Asset Emerging Markets Debt Fund Inc. | 38,135 | $356,943 | |
| EMF | Templeton Emerging Markets Fund | 13,493 | $300,286 | |
| AIO | Virtus Artificial Intelligence & Technology Opportunities Fund | 11,213 | $278,867 | |
| DSU | Blackrock Debt Strategies Fund, Inc. | 22,066 | $198,594 | |
| ZTR | Virtus Total Return Fund Inc. | 30,000 | $180,900 | |
| JMM | Nuveen Multi-Market Income Fund | 13,415 | $73,648 | |
| No positions match the current search. | ||||
Sold Out
Positions the filer fully exited
23 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| MMT | Aberdeen Multi-Market Income Fund | 746,733 | $3,285,625 | |
| PTA | Cohen & Steers Tax-Advantaged Preferred Securities & Income Fund | 97,919 | $1,878,086 | |
| QQQX | Nuveen NASDAQ 100 Dynamic Overwrite Fund | 45,069 | $1,358,379 | |
| PSUS | Pershing Square USA, Ltd. | 26,880 | $1,004,774 | |
| STK | Columbia Seligman Premium Technology Growth Fund, Inc. | 15,785 | $850,337 | |
| GDO | Western Asset Global Corporate Opportunity Fund Inc. | 69,235 | $742,891 | |
| EVG | Eaton Vance Short Duration Diversified Income Fund | 63,944 | $689,316 | |
| PPT | Franklin Premier Income Trust | 192,783 | $672,812 | |
| PDT | John Hancock Premium Dividend Fund | 39,317 | $509,155 | |
| VVR | Invesco Senior Income Trust | 135,189 | $405,567 | |
| FINS | Angel Oak Financial Strategies Income Term Trust | 29,245 | $374,336 | |
| EFT | Eaton Vance Floating-Rate Income Trust | 33,856 | $365,644 | |
| NIE | Virtus Equity & Convertible Income Fund | 13,421 | $360,488 | |
| MIN | Aberdeen Intermediate Income Fund | 142,034 | $350,823 | |
| HEQ | John Hancock Diversified Income Fund | 25,429 | $291,924 | |
| NFJ | Virtus Dividend, Interest & Premium Strategy Fund | 15,025 | $228,229 | |
| HQL | abrdn Life Sciences Investors | 11,026 | $220,630 | |
| THW | abrdn World Healthcare Fund | 16,080 | $215,472 | |
| ACV | Virtus Diversified Income & Convertible Fund | 7,355 | $208,440 | |
| JRS | Nuveen Real Estate Income Fund | 22,364 | $188,528 | |
| JQC | Nuveen Credit Strategies Income Fund | 30,000 | $145,800 | |
| BTZ | Blackrock Credit Allocation Income Trust | 13,149 | $134,382 | |
| DHF | Bny Mellon High Yield Strategies Fund | 29,535 | $71,474 | |
| No positions match the current search. | ||||
144 tracked positions ·
$302,524,247 total
· filing declares
144 positions · $303,136,711
· as of Sep 30, 2026
Showing 1–50
of 144 positions by value
· page 1 of 3
| Ticker | Company | Type | Shares | Value (USD) | % of Portfolio | History |
|---|---|---|---|---|---|---|
| RVT |
Royce Small-Cap Trust, Inc.
Financial Services
|
Reduced | 513,739 | $8,800,349 | 2.91% | |
| ASG |
Liberty All Star Growth Fund Inc.
Financial Services
|
Added | 1,642,101 | $8,292,610 | 2.74% | |
| GAB |
Gabelli Equity Trust Inc
Financial Services
|
Reduced | 1,518,357 | $7,956,190 | 2.63% | |
| JCE |
Nuveen Core Equity Alpha Fund
Financial Services
|
Reduced | 464,820 | $7,874,050 | 2.60% | |
| USA |
Liberty All Star Equity Fund
Financial Services
|
Reduced | 1,334,591 | $7,700,590 | 2.55% | |
| SPE |
Special Opportunities Fund, Inc.
Financial Services
|
Reduced | 558,655 | $7,061,399 | 2.33% | |
| ETB |
Eaton Vance Tax-Managed Buy-Write Income Fund
Financial Services
|
Added | 447,139 | $6,854,640 | 2.27% | |
| GDV |
Gabelli Dividend & Income Trust
Financial Services
|
Added | 222,969 | $6,307,793 | 2.09% | |
| FFA |
First Trust Enhanced Equity Income Fund
Financial Services
|
Reduced | 279,892 | $6,224,798 | 2.06% | |
| SOR |
Source Capital
Financial Services
|
Reduced | 125,834 | $5,716,638 | 1.89% | |
| EOI |
Eaton Vance Enhanced Equity Income Fund
Financial Services
|
Reduced | 273,850 | $5,441,399 | 1.80% | |
| EOS |
Eaton Vance Enhanced Equity Income Fund II
Financial Services
|
Added | 253,907 | $5,408,219 | 1.79% | |
| ETY |
Eaton Vance Tax-Managed Diversified Equity Income Fund
Financial Services
|
Added | 383,715 | $5,391,195 | 1.78% | |
| EEA |
European Equity Fund, Inc
Financial Services
|
Reduced | 493,614 | $5,148,394 | 1.70% | |
| SPXX |
Nuveen S&P 500 Dynamic Overwrite Fund
Financial Services
|
Added | 266,301 | $4,923,905 | 1.63% | |
| TWN |
Taiwan Fund Inc
Financial Services
|
Reduced | 44,417 | $4,527,868 | 1.50% | |
| CET |
Central Securities Corp
Financial Services
|
Added | 79,373 | $4,405,995 | 1.46% | |
| TBLD |
Thornburg Income Builder Opportunities Trust
Financial Services
|
NEW | 213,332 | $4,334,906 | 1.43% | |
| SCD |
Lmp Capital & Income Fund Inc.
Financial Services
|
Reduced | 288,321 | $4,249,851 | 1.40% | |
| DSL |
DoubleLine Income Solutions Fund
Financial Services
|
Added | 415,052 | $4,150,520 | 1.37% | |
| BLW |
BLACKROCK Ltd DURATION INCOME TRUST
Financial Services
|
Added | 348,687 | $4,006,413 | 1.32% | |
| CHW |
Calamos Global Dynamic Income Fund
Financial Services
|
Added | 491,862 | $3,969,326 | 1.31% | |
| GAM |
General American Investors Co Inc
Financial Services
|
Reduced | 61,535 | $3,903,780 | 1.29% | |
| PFL |
Pimco Income Strategy Fund
Financial Services
|
Added | 548,253 | $3,782,945 | 1.25% | |
| VEA |
Vanguard FTSE Developed Markets ETF
|
Added | 52,531 | $3,709,213 | 1.23% | |
| ETG |
Eaton Vance Tax-Advantaged Global Dividend Income Fund
Financial Services
|
Added | 158,081 | $3,654,832 | 1.21% | |
| SABA |
Saba Capital Income & Opportunities Fund II
Financial Services
|
Reduced | 436,616 | $3,479,829 | 1.15% | |
| CII |
BlackRock Enhanced Large Cap Core Fund, Inc.
Financial Services
|
NEW | 141,946 | $3,406,704 | 1.13% | |
| ERC |
Allspring Multi-Sector Income Fund
Financial Services
|
Added | 397,685 | $3,388,276 | 1.12% | |
| SPY |
Spdr S&P 500 ETF Trust
|
Reduced | 4,286 | $3,268,632 | 1.08% | |
| RMT |
Royce Micro-Cap Trust, Inc.
Financial Services
|
Reduced | 233,299 | $3,135,538 | 1.04% | |
| STEW |
SRH Total Return Fund, Inc.
Financial Services
|
Reduced | 179,744 | $3,122,153 | 1.03% | |
| TY |
TRI-CONTINENTAL Corp
Financial Services
|
NEW | 86,983 | $2,986,996 | 0.99% | |
| MCN |
XAI Madison Equity Premium Income Fund
Financial Services
|
Added | 546,122 | $2,872,601 | 0.95% | |
| BGH |
Barings Global Short Duration High Yield Fund
Financial Services
|
Added | 219,769 | $2,872,380 | 0.95% | |
| HGLB |
Highland Global Allocation Fund
Financial Services
|
Reduced | 419,347 | $2,767,690 | 0.91% | |
| IAE |
Voya Asia Pacific High Dividend Equity Income Fund
Financial Services
|
Reduced | 303,062 | $2,694,221 | 0.89% | |
| RGT |
Royce Global Trust, Inc.
Financial Services
|
Added | 189,057 | $2,692,171 | 0.89% | |
| PDI |
PIMCO Dynamic Income Fund
Financial Services
|
NEW | 189,156 | $2,653,858 | 0.88% | |
| EVT |
Eaton Vance Tax-Advantaged Dividend Income Fund
Financial Services
|
NEW | 94,702 | $2,643,132 | 0.87% | |
| PGP |
PIMCO Global StocksPLUS & Income Fund
Financial Services
|
Reduced | 319,717 | $2,615,285 | 0.86% | |
| BWG |
BrandywineGLOBAL-Global Income Opportunities Fund Inc
Financial Services
|
Reduced | 373,225 | $2,582,717 | 0.85% | |
| MSD |
Morgan Stanley Emerging Markets Debt Fund Inc
Financial Services
|
Reduced | 373,948 | $2,520,409 | 0.83% | |
| GHY |
PGIM Global High Yield Fund, Inc.
Financial Services
|
Reduced | 221,753 | $2,443,718 | 0.81% | |
| VOO |
VANGUARD 500 INDEX FUND
|
Reduced | 3,478 | $2,437,591 | 0.81% | |
| SWZ |
Total Return Securities Fund
Financial Services
|
Added | 424,625 | $2,420,362 | 0.80% | |
| CGO |
Calamos Global Total Return Fund
Financial Services
|
Added | 185,151 | $2,388,447 | 0.79% | |
| PDO |
PIMCO Dynamic Income Opportunities Fund
Financial Services
|
Added | 198,795 | $2,357,708 | 0.78% | |
| ACP |
abrdn Income Credit Strategies Fund
Financial Services
|
Added | 514,675 | $2,290,303 | 0.76% | |
| DLY |
DoubleLine Yield Opportunities Fund
Financial Services
|
Added | 170,675 | $2,281,924 | 0.75% |
Showing the top 50 of 144 positions. Create a free account to see every position, past quarters, search, filters and CSV export.
Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.