Financial & Investment Management Group

Financial & Investment Management as of Sept. 30, 2013

Portfolio Holdings for Financial & Investment Management

Financial & Investment Management holds 86 positions in its portfolio as reported in the September 2013 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
AllianceBernstein Income Fund 11.9 $31M 4.4M 7.04
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 9.4 $25M 2.1M 11.60
BlackRock Credit All Inc Trust IV (BTZ) 7.3 $19M 1.5M 13.04
John Hancock Patriot Premium Div Fund II (PDT) 6.5 $17M 1.4M 11.97
Gaiam 3.5 $9.0M 1.8M 5.01
Montgomery Street Income Securities 3.1 $8.2M 519k 15.71
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 2.5 $6.6M 468k 14.14
Federated Enhanced Treasury 2.4 $6.2M 485k 12.86
BlackRock Real Asset Trust 2.4 $6.1M 685k 8.98
Franklin Universal Trust (FT) 2.1 $5.4M 787k 6.83
U.S. Global Investors (GROW) 2.0 $5.3M 1.9M 2.86
Madison Covered Call Eq Strat (MCN) 2.0 $5.2M 653k 7.93
Associated Estates Realty Corporation 1.9 $5.1M 339k 14.91
American Select Portfolio 1.9 $5.0M 524k 9.61
Virtus Total Return Fund Cef 1.9 $5.0M 1.3M 3.94
Rio Tinto (RIO) 1.9 $4.9M 101k 48.76
Nuveen Qual Preferred Inc. Fund III 1.8 $4.6M 585k 7.89
Silver Wheaton Corp 1.8 $4.6M 185k 24.77
Strategic Global Income Fund 1.6 $4.2M 448k 9.29
Royal Gold Inc conv 1.6 $4.2M 4.4M 0.96
Dominion Diamond Corp foreign 1.6 $4.1M 340k 12.19
Hawaiian Electric Industries (HE) 1.5 $3.9M 157k 25.10
Fastenal Company (FAST) 1.4 $3.6M 71k 50.27
American Realty Capital Prop 1.3 $3.4M 282k 12.20
American Strategic Income Portf. Inc II 1.3 $3.4M 417k 8.11
Cutwater Select Income 1.2 $3.3M 183k 17.79
Invesco Van Kampen Bond Fund (VBF) 1.1 $3.0M 169k 17.54
LEGG MASON BW GLOBAL Income 1.1 $2.9M 175k 16.73
Fort Dearborn Income Securities 1.0 $2.7M 192k 13.96
Nippon Telegraph & Telephone (NTTYY) 0.9 $2.5M 95k 26.06
Western Asset Global Cp Defi (GDO) 0.9 $2.4M 136k 17.79
Real Goods Solar 0.9 $2.4M 860k 2.79
Putnam Master Int. Income (PIM) 0.9 $2.3M 468k 4.88
Zweig Total Return 0.8 $2.0M 153k 13.10
Cohen & Steers infrastucture Fund (UTF) 0.7 $1.9M 96k 19.74
BlackRock Income Opportunity Trust 0.7 $1.9M 187k 9.90
Nuveen Global Govt. Enhanced Income Fund 0.7 $1.8M 157k 11.73
Bancroft Fund (BCV) 0.7 $1.7M 97k 17.92
MFS InterMarket Income Trust I 0.7 $1.7M 216k 8.00
Dover Saddlery 0.6 $1.6M 367k 4.49
Morgan Stanley income sec 0.6 $1.7M 99k 16.63
American Strategic Income Portfolio 0.6 $1.6M 165k 9.77
Western Ast Clymr Infl Lkd Sc & Incm (WIA) 0.6 $1.5M 133k 11.64
Lifeway Foods (LWAY) 0.5 $1.4M 104k 13.51
Templeton Dragon Fund (TDF) 0.5 $1.3M 51k 26.03
John Hancock Tax-Advantage Dvd Incom (HTD) 0.5 $1.3M 74k 17.41
Northeast Utilities System 0.5 $1.2M 30k 41.26
DreamWorks Animation SKG 0.5 $1.2M 42k 28.47
B2gold Corp (BTG) 0.5 $1.2M 470k 2.48
Comstock Mining Inc cs 0.4 $1.1M 604k 1.80
Blackrock Util & Infrastrctu (BUI) 0.4 $941k 54k 17.46
Apple (AAPL) 0.3 $922k 1.9k 476.98
First Federal of Northern Michigan Bancp 0.3 $807k 182k 4.43
Boulder Total Return Fund 0.3 $780k 36k 21.80
Berkshire Hathaway (BRK.B) 0.3 $747k 6.6k 113.58
Colgate-Palmolive Company (CL) 0.3 $712k 12k 59.33
MFS Multimarket Income Trust (MMT) 0.3 $674k 102k 6.61
Royce Micro Capital Trust (RMT) 0.2 $640k 55k 11.71
Western Asset Worldwide Income Fund 0.2 $620k 49k 12.56
American Strategic Income Portfolio III 0.2 $550k 79k 6.93
Microsoft Corporation (MSFT) 0.2 $514k 15k 33.31
Consolidated Edison (ED) 0.2 $460k 8.3k 55.14
Procter & Gamble Company (PG) 0.2 $438k 5.8k 75.61
Lazard World Dividend & Income Fund 0.2 $447k 33k 13.39
Morgan Stanley Emerging Markets Fund 0.1 $339k 23k 14.98
Zweig Fund 0.1 $351k 26k 13.53
Archer Daniels Midland Company (ADM) 0.1 $313k 8.5k 36.82
BlackRock Global Opportunities Equity Tr (BOE) 0.1 $318k 23k 13.98
Denali Fund 0.1 $322k 17k 19.03
Wells Fargo & Company (WFC) 0.1 $283k 6.8k 41.35
Travelers Companies (TRV) 0.1 $265k 3.1k 84.77
Teva Pharmaceutical Industries (TEVA) 0.1 $239k 6.3k 37.80
United Parcel Service (UPS) 0.1 $238k 2.6k 91.26
Walgreen Company 0.1 $241k 4.5k 53.79
DTE Energy Company (DTE) 0.1 $236k 3.6k 66.01
Exxon Mobil Corporation (XOM) 0.1 $203k 2.4k 86.20
Apache Corporation 0.1 $210k 2.5k 85.23
Nuveen Multi-Strategy Income & Growth (JPC) 0.1 $194k 22k 8.69
Tofutti Brands (TOFB) 0.1 $184k 87k 2.11
Viasystems 0.1 $162k 11k 14.48
Calamos Strategic Total Return Fund (CSQ) 0.1 $118k 12k 9.96
Calamos Global Dynamic Income Fund (CHW) 0.1 $119k 14k 8.53
Nuveen Quality Preferred Income Fund 0.0 $110k 15k 7.59
MannKind Corporation 0.0 $66k 12k 5.69
Kinross Gold Corp (KGC) 0.0 $52k 10k 5.04
Intel Corp sdcv 0.0 $17k 16k 1.06