SHAKER FINANCIAL SERVICES LLC
Q3 2022 Form 13-F
ARLINGTON, VIRGINIA
CIK 0001511794
· CRD 121534
· SEC-registered investment adviser
$202.5M Reported Value Total
SHAKER FINANCIAL SERVICES reports 632 total accounts under management (AUM). There are 632 discretionary accounts valued at $207,583,087, and 0 non-discretionary accounts.
Source: Form ADV filed * Note that certain holdings are exempt from Form 13-F reporting, so the AUM totals may be greater than the Form 13-F total.
Source: Form ADV filed 2026-03-27
Reported value
$202.5M
Quarter over quarter
-7.2%
Holdings
154
Top-10 concentration
29.1%
Key People
Form ADV owners & control persons
Kathryn Shaker Baummer
PARTNER
Robert M. Shaker
CHIEF COMPLIANCE OFFICER
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Coverage begins with the second quarter of 2013. Earlier quarters are not shown while their accuracy is being verified.
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Q3 2022 13F record
Q3 2022 13F filing summary
| Period of report | September 30, 2022 |
|---|---|
| Filed | November 09, 2022 |
| Form | 13F-HR |
| Reported value | $202.5M |
| Positions | 154 |
| Change in reported value | -1.5% |
| New positions | 38 |
| Exited positions | 16 |
| Position turnover | 31.8% |
| Top-10 concentration | 29.1% |
13F filings by quarter
| Quarter | Positions | Value |
|---|---|---|
|
Q3 2026 13F
Filed Oct 14, 2026
|
144 | $303.1M |
|
Q2 2026 13F
Filed Jul 15, 2026
|
148 | $319.2M |
|
Q1 2026 13F
Filed May 12, 2026
|
145 | $286.9M |
|
Q4 2025 13F
Filed Jan 26, 2026
|
165 | $315.5M |
|
Q3 2025 13F
Filed Oct 22, 2025
|
148 | $291.6M |
|
Q2 2025 13F
Filed Aug 5, 2025
|
147 | $275.8M |
|
Q1 2025 13F
Filed May 9, 2025
|
153 | $256.9M |
|
Q4 2024 13F
Filed Feb 13, 2025
|
176 | $261.0M |
|
Q3 2024 13F
Filed Oct 31, 2024
|
157 | $265.3M |
|
Q2 2024 13F
Filed Aug 2, 2024
|
157 | $247.3M |
|
Q1 2024 13F
Filed May 13, 2024
|
157 | $258.4M |
|
Q4 2023 13F
Filed Feb 7, 2024
|
152 | $243.6M |
|
Q3 2023 13F
Filed Nov 2, 2023
|
155 | $214.6M |
|
Q2 2023 13F
Filed Aug 7, 2023
|
159 | $228.9M |
|
Q1 2023 13F
Filed May 8, 2023
|
152 | $228.8M |
|
Q4 2022 13F
Filed Feb 3, 2023
|
147 | $213.7M |
|
Q3 2022 13F
Filed Nov 9, 2022
|
154 | $202.5M |
|
Q2 2022 13F
Filed Aug 1, 2022
|
132 | $205.6M |
|
Q1 2022 13F
Filed May 6, 2022
|
147 | $265.5M |
|
Q4 2021 13F
Filed Feb 7, 2022
|
161 | $283.2M |
34 earlier quarters on file — choose one from the quarter menu above.
Top 20 holdings · Q3 2022
| # | Holding | Reported value | % of portfolio |
|---|---|---|---|
| 1 | GDV GABELLI DIVID & INCOME TR | $8.2M | 4.07% |
| 2 | FFA FIRST TR ENHANCED EQUITY INC | $7.6M | 3.75% |
| 3 | NFJ VIRTUS DIVIDEND INTEREST & P | $7.2M | 3.56% |
| 4 | ADX ADAMS DIVERSIFIED EQUITY FD | $6.7M | 3.32% |
| 5 | SPY SPDR S&P 500 ETF TR | $5.7M | 2.79% |
| 6 | CET CENTRAL SECS CORP | $5.4M | 2.65% |
| 7 | RMT ROYCE MICRO-CAP TR INC | $5.2M | 2.56% |
| 8 | SOR SOURCE CAP INC | $4.8M | 2.39% |
| 9 | FUND SPROTT FOCUS TR INC | $4.1M | 2.01% |
| 10 | STEW SRH TOTAL RETURN FUND INC | $4.0M | 1.96% |
| 11 | GAM GENERAL AMERN INVS CO INC | $3.8M | 1.9% |
| 12 | CII BLACKROCK ENHANCD CAP & INM | $3.8M | 1.89% |
| 13 | DSU BLACKROCK DEBT STRATEGIES FD | $3.7M | 1.83% |
| 14 | AIF APOLLO TACTICAL INCOME FD IN | $3.4M | 1.66% |
| 15 | DIAX NUVEEN DOW 30 DYNMC OVERWRT | $3.2M | 1.57% |
| 16 | AGD ABRDN GLOBAL DYNAMIC DIVIDEN | $3.1M | 1.54% |
| 17 | VGI VIRTUS GLOBAL MULTI-SECTOR I | $2.9M | 1.41% |
| 18 | ARDC ARES DYNAMIC CR ALLOCATION F | $2.9M | 1.41% |
| 19 | NSL NUVEEN SR INCOME FD | $2.8M | 1.39% |
| 20 | NMAI NUVEEN MULTI ASSET INCOME FU | $2.7M | 1.32% |
Values as reported on the Q3 2022 Form 13F. Every position is in the holdings table below.