Financial & Investment Management Group

Financial & Investment Management as of Dec. 31, 2013

Portfolio Holdings for Financial & Investment Management

Financial & Investment Management holds 120 positions in its portfolio as reported in the December 2013 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 9.3 $30M 2.6M 11.27
AllianceBernstein Income Fund 5.9 $19M 2.6M 7.13
BlackRock Credit All Inc Trust IV (BTZ) 5.8 $19M 1.4M 13.06
John Hancock Patriot Premium Div Fund II (PDT) 5.8 $18M 1.6M 11.60
BlackRock Real Asset Trust 5.1 $16M 1.9M 8.71
Gaiam 3.7 $12M 1.8M 6.62
John Hancock Tax-Advantage Dvd Incom (HTD) 2.7 $8.5M 467k 18.22
Montgomery Street Income Securities 2.3 $7.4M 478k 15.54
Nuveen Qual Preferred Inc. Fund III 2.2 $6.9M 879k 7.85
Franklin Universal Trust (FT) 2.1 $6.6M 956k 6.94
Federated Enhanced Treasury 1.8 $5.8M 451k 12.78
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 1.7 $5.3M 375k 14.06
Brookfield Ppty Partners L P unit ltd partn 1.6 $5.2M 262k 19.94
Dominion Diamond Corp foreign 1.6 $5.0M 350k 14.36
Virtus Total Return Fund Cef 1.5 $4.9M 1.2M 3.93
American Realty Capital Prop 1.5 $4.8M 374k 12.85
U.S. Global Investors (GROW) 1.5 $4.7M 1.8M 2.54
Strategic Global Income Fund 1.5 $4.7M 519k 9.03
American Select Portfolio 1.4 $4.6M 499k 9.26
Associated Estates Realty Corporation 1.4 $4.5M 279k 16.05
Silver Wheaton Corp 1.3 $4.2M 206k 20.19
Royal Gold Inc conv 1.3 $4.2M 4.3M 0.96
First Tr Inter Duration Pfd & Income (FPF) 1.3 $4.1M 194k 21.25
Hawaiian Electric Industries (HE) 1.3 $4.1M 156k 26.06
Madison Covered Call Eq Strat (MCN) 1.1 $3.6M 444k 8.17
Fastenal Company (FAST) 1.0 $3.3M 70k 47.51
Cole Real Estate Invts 1.0 $3.3M 235k 14.04
Newmont Mining Corporation (NEM) 1.0 $3.1M 135k 23.03
Coeur d'Alene Mines Corporation (CDE) 1.0 $3.1M 283k 10.85
Nuveen Intermediate 0.9 $3.0M 261k 11.51
Cohen & Steers Clsd-End Optuny Fnd (FOF) 0.8 $2.6M 207k 12.57
Western Asset Global Cp Defi (GDO) 0.8 $2.6M 145k 18.07
Invesco Van Kampen Bond Fund (VBF) 0.8 $2.6M 145k 17.69
Fort Dearborn Income Securities 0.8 $2.4M 178k 13.80
Digital Realty Trust (DLR) 0.8 $2.4M 49k 49.13
Western Ast Clymr Infl Lkd Sc & Incm (WIA) 0.8 $2.4M 213k 11.42
Cutwater Select Income 0.8 $2.4M 131k 18.31
Blackrock Muni Intermediate Drtn Fnd (MUI) 0.7 $2.3M 163k 13.90
Invesco Quality Municipal Inc Trust (IQI) 0.7 $2.2M 198k 11.12
Putnam Municipal Opportunities Trust (PMO) 0.7 $2.1M 200k 10.74
BLACKROCK MUN TARGET TERM TR SHARES Of Ben (BTT) 0.7 $2.1M 123k 17.12
Harris & Harris 0.6 $2.0M 664k 2.98
Cohen & Steers infrastucture Fund (UTF) 0.6 $2.0M 95k 20.60
Dover Saddlery 0.6 $1.9M 364k 5.35
LEGG MASON BW GLOBAL Income 0.6 $2.0M 116k 16.87
Nuveen Real (JRI) 0.6 $1.9M 113k 16.75
Eaton Vance Natl Mun Opport (EOT) 0.6 $1.9M 101k 18.46
Eaton Vance Mun Income Term Tr (ETX) 0.6 $1.9M 127k 14.65
Nuveen Global Govt. Enhanced Income Fund 0.6 $1.8M 159k 11.39
BlackRock Income Opportunity Trust 0.6 $1.8M 184k 9.70
Invesco Van Kampen Trust For Inv Grd Mun (VGM) 0.6 $1.7M 143k 12.18
Goldcorp 0.5 $1.7M 79k 21.67
Lifeway Foods (LWAY) 0.5 $1.7M 105k 15.98
Nuveen Int Dur Qual Mun Trm 0.5 $1.6M 142k 11.50
Bancroft Fund (BCV) 0.5 $1.6M 86k 18.60
American Strategic Income Portfolio 0.5 $1.6M 174k 8.99
Mainstay Definedterm Mn Opp (MMD) 0.5 $1.6M 100k 15.77
DreamWorks Animation SKG 0.4 $1.4M 38k 35.49
Western Asset Municipal Partners Fnd 0.4 $1.3M 97k 13.75
Templeton Dragon Fund (TDF) 0.4 $1.3M 50k 25.88
Northeast Utilities System 0.4 $1.3M 30k 42.40
Morgan Stanley income sec 0.4 $1.3M 77k 16.81
Apple (AAPL) 0.4 $1.1M 2.0k 561.05
B2gold Corp (BTG) 0.3 $1.1M 544k 2.02
Blackrock Util & Infrastrctu (BUI) 0.3 $1.1M 62k 17.87
MFS InterMarket Income Trust I 0.3 $1.1M 133k 8.11
Comstock Mining Inc cs 0.3 $1.1M 625k 1.75
American Strategic Income Portf. Inc II 0.3 $1.0M 134k 7.71
Teva Pharmaceutical Industries (TEVA) 0.3 $967k 24k 40.06
First Federal of Northern Michigan Bancp 0.3 $943k 175k 5.40
Nuveen Select Tax-Free Incom Portfolio 3 0.3 $880k 68k 12.88
Berkshire Hathaway (BRK.B) 0.3 $866k 7.3k 118.60
Delaware Invt Nat Muni Inc F sh ben int (VFL) 0.3 $842k 72k 11.69
Colgate-Palmolive Company (CL) 0.2 $796k 12k 65.25
Boulder Total Return Fund 0.2 $782k 34k 23.02
Zweig Total Return 0.2 $783k 56k 13.94
Nuveen Select Tax-Free Income Portfolio (NXP) 0.2 $754k 59k 12.89
Real Goods Solar 0.2 $734k 243k 3.02
Royce Micro Capital Trust (RMT) 0.2 $712k 57k 12.61
Procter & Gamble Company (PG) 0.2 $683k 8.4k 81.46
Kinross Gold Corp (KGC) 0.2 $680k 155k 4.38
Invesco Municipal Income Opp Trust (OIA) 0.2 $614k 99k 6.20
Dreyfus Mun Bd Infrastructure 0.2 $580k 56k 10.36
MFS Multimarket Income Trust (MMT) 0.2 $527k 80k 6.62
Federated Premier Intermediate Municipal 0.2 $538k 44k 12.19
Nuveen Select Tax Free Incom Portfolio 2 0.2 $518k 42k 12.37
Calamos Strategic Total Return Fund (CSQ) 0.1 $477k 44k 10.89
Consolidated Edison (ED) 0.1 $461k 8.3k 55.26
Noah Holdings (NOAH) 0.1 $405k 23k 18.02
Western Asset Worldwide Income Fund 0.1 $423k 35k 12.18
Archer Daniels Midland Company (ADM) 0.1 $369k 8.5k 43.41
Putnam Master Int. Income (PIM) 0.1 $369k 73k 5.04
Morgan Stanley Emerging Markets Fund 0.1 $367k 24k 15.46
Coffee Holding (JVA) 0.1 $380k 75k 5.09
Exxon Mobil Corporation (XOM) 0.1 $349k 3.4k 101.22
Zweig Fund 0.1 $346k 23k 14.84
Wells Fargo & Company (WFC) 0.1 $315k 6.9k 45.36
MFS Investment Grade Municipal Trust (CXH) 0.1 $314k 37k 8.60
Denali Fund 0.1 $319k 17k 19.36
Lazard World Dividend & Income Fund 0.1 $327k 23k 14.50
Pfizer (PFE) 0.1 $300k 9.8k 30.62
United Parcel Service (UPS) 0.1 $280k 2.7k 104.95
Travelers Companies (TRV) 0.1 $283k 3.1k 90.53
Walgreen Company 0.1 $292k 5.1k 57.47
Tofutti Brands (TOFB) 0.1 $291k 85k 3.41
Microsoft Corporation (MSFT) 0.1 $240k 6.4k 37.37
DTE Energy Company (DTE) 0.1 $262k 3.9k 66.40
Ingersoll-rand Co Ltd-cl A 0.1 $254k 4.1k 61.59
Nuveen Quality Preferred Income Fund 0.1 $240k 31k 7.69
Apache Corporation 0.1 $215k 2.5k 85.93
Allegion Plc equity (ALLE) 0.1 $237k 5.4k 44.25
Nuveen Multi-Strategy Income & Growth (JPC) 0.1 $198k 22k 8.87
Viasystems 0.1 $153k 11k 13.67
Dividend & Income Fund (BXSY) 0.1 $169k 11k 15.13
Calamos Global Dynamic Income Fund (CHW) 0.0 $125k 14k 8.96
Power Reit (PW) 0.0 $126k 14k 8.79
Western Asset Intm Muni Fd I (SBI) 0.0 $109k 12k 9.08
EarthLink 0.0 $57k 11k 5.04
MannKind Corporation 0.0 $60k 12k 5.17
Cinedigm Digital Cinema 0.0 $46k 23k 2.02