Financial & Investment Management Group

Financial & Investment Management as of Sept. 30, 2014

Portfolio Holdings for Financial & Investment Management

Financial & Investment Management holds 112 positions in its portfolio as reported in the September 2014 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
AllianceBernstein Income Fund 9.0 $31M 4.1M 7.50
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 7.8 $26M 2.3M 11.59
BlackRock Credit All Inc Trust IV (BTZ) 4.7 $16M 1.2M 13.31
American Realty Capital Prop 4.5 $15M 1.3M 12.06
John Hancock Patriot Premium Div Fund II (PDT) 4.1 $14M 1.1M 13.15
Gaiam 3.8 $13M 1.8M 7.34
BlackRock Real Asset Trust 2.9 $9.7M 1.1M 8.47
U.S. Global Investors (GROW) 2.7 $9.1M 2.6M 3.55
Franklin Universal Trust (FT) 2.3 $7.7M 1.1M 7.02
Nuveen Qual Preferred Inc. Fund III 2.2 $7.5M 898k 8.37
Montgomery Street Income Securities 2.2 $7.3M 450k 16.32
Janus Capital 2.1 $7.0M 483k 14.54
Dominion Diamond Corp foreign 1.9 $6.4M 448k 14.24
Life Time Fitness 1.7 $5.8M 116k 50.44
Silver Wheaton Corp 1.7 $5.7M 287k 19.93
Vodafone Group New Adr F (VOD) 1.7 $5.6M 172k 32.89
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 1.6 $5.3M 377k 13.96
Medical Properties Trust (MPW) 1.5 $5.1M 413k 12.26
Strategic Global Income Fund 1.5 $4.9M 560k 8.83
MFS Multimarket Income Trust (MMT) 1.4 $4.9M 765k 6.42
Cohen & Steers Clsd-End Optuny Fnd (FOF) 1.4 $4.9M 375k 13.03
Cott Corp 1.4 $4.6M 674k 6.87
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 1.2 $4.2M 470k 8.93
Coeur d'Alene Mines Corporation (CDE) 1.2 $3.9M 791k 4.96
Kinross Gold Corp (KGC) 1.2 $3.9M 1.2M 3.30
At&t (T) 1.1 $3.8M 109k 35.24
B2gold Corp (BTG) 1.0 $3.5M 1.7M 2.03
John Hancock Tax-Advantage Dvd Incom (HTD) 1.0 $3.4M 165k 20.61
Nuveen Intermediate 1.0 $3.4M 273k 12.47
First Tr Inter Duration Pfd & Income (FPF) 1.0 $3.3M 152k 21.72
Federated Enhanced Treasury 0.9 $3.1M 227k 13.47
Western Asset Global Cp Defi (GDO) 0.9 $3.0M 166k 18.19
Putnam Municipal Opportunities Trust (PMO) 0.8 $2.8M 241k 11.70
BLACKROCK MUN TARGET TERM TR SHARES Of Ben (BTT) 0.8 $2.8M 139k 19.87
Lexington Realty Trust (LXP) 0.8 $2.7M 274k 9.79
Western Ast Clymr Infl Lkd Sc & Incm (WIA) 0.8 $2.7M 230k 11.54
Blackrock Muni Intermediate Drtn Fnd (MUI) 0.8 $2.6M 181k 14.47
Fort Dearborn Income Securities 0.7 $2.5M 173k 14.47
Invesco Quality Municipal Inc Trust (IQI) 0.7 $2.5M 204k 12.12
Goldcorp 0.7 $2.3M 100k 23.03
Invesco Van Kampen Bond Fund (VBF) 0.7 $2.3M 122k 18.58
Harris & Harris 0.7 $2.2M 745k 2.98
Nuveen Global Govt. Enhanced Income Fund 0.7 $2.2M 179k 12.36
Cutwater Select Income 0.6 $2.2M 109k 19.75
Eaton Vance Mun Income Term Tr (ETX) 0.6 $2.2M 126k 17.36
Teradata Corporation (TDC) 0.6 $2.1M 50k 41.92
Invesco Van Kampen Trust For Inv Grd Mun (VGM) 0.6 $2.1M 161k 13.11
Eaton Vance Natl Mun Opport (EOT) 0.6 $2.0M 101k 19.93
Nuveen Int Dur Qual Mun Trm 0.6 $1.9M 146k 12.78
THE GDL FUND Closed-End fund (GDL) 0.5 $1.7M 158k 10.54
TiVo 0.5 $1.6M 125k 12.79
Cohen & Steers infrastucture Fund (UTF) 0.5 $1.6M 70k 23.15
Lifeway Foods (LWAY) 0.5 $1.5M 109k 13.87
Travelzoo (TZOO) 0.5 $1.5M 99k 15.50
Digital Realty Trust (DLR) 0.4 $1.5M 24k 62.38
Cinedigm 0.4 $1.5M 954k 1.55
Western Asset Municipal Partners Fnd 0.4 $1.4M 97k 14.86
LEGG MASON BW GLOBAL Income 0.4 $1.5M 86k 16.92
Northeast Utilities System 0.4 $1.3M 30k 44.31
Morgan Stanley income sec 0.4 $1.3M 74k 17.85
Virtus Total Return Fund Cef 0.4 $1.3M 272k 4.65
Chambers Str Pptys 0.4 $1.2M 166k 7.53
BlackRock Income Opportunity Trust 0.3 $1.2M 114k 10.36
Fastenal Company (FAST) 0.3 $1.2M 26k 44.90
Bancroft Fund (BCV) 0.3 $1.0M 53k 19.76
Dreyfus Mun Bd Infrastructure 0.3 $1.0M 88k 11.76
Berkshire Hathaway (BRK.B) 0.3 $1.0M 7.4k 138.19
MFS InterMarket Income Trust I 0.3 $1.0M 123k 8.35
Special Opportunities Fund (SPE) 0.3 $985k 59k 16.68
Delaware Invt Nat Muni Inc F sh ben int (VFL) 0.3 $997k 78k 12.76
Western Asset Worldwide Income Fund 0.3 $951k 78k 12.24
Nuveen Select Tax-Free Incom Portfolio 3 0.3 $947k 68k 13.87
Templeton Dragon Fund (TDF) 0.3 $929k 36k 25.79
MFS Investment Grade Municipal Trust (CXH) 0.3 $898k 98k 9.14
Dover Saddlery 0.2 $834k 162k 5.14
Colgate-Palmolive Company (CL) 0.2 $805k 12k 65.18
Nuveen Select Tax-Free Income Portfolio (NXP) 0.2 $807k 59k 13.79
Comstock Mining Inc cs 0.2 $817k 675k 1.21
Gabelli mutual funds - (GGZ) 0.2 $747k 73k 10.24
Madison Covered Call Eq Strat (MCN) 0.2 $725k 86k 8.40
Procter & Gamble Company (PG) 0.2 $683k 8.2k 83.70
Zweig Total Return 0.2 $678k 49k 13.85
Boulder Total Return Fund 0.2 $584k 22k 26.33
Noah Holdings (NOAH) 0.2 $593k 44k 13.42
Royce Global Value Tr (RGT) 0.2 $571k 66k 8.70
DTE Energy Company (DTE) 0.2 $538k 7.1k 76.04
Royce Micro Capital Trust (RMT) 0.2 $532k 45k 11.78
Nuveen Select Tax Free Incom Portfolio 2 0.2 $554k 42k 13.23
Blackrock Util & Infrastrctu (BUI) 0.2 $552k 28k 20.00
Birner Dental Mgmt. Services 0.1 $495k 29k 16.98
Coffee Holding (JVA) 0.1 $515k 94k 5.49
Consolidated Edison (ED) 0.1 $473k 8.3k 56.69
Templeton Global Income Fund (SABA) 0.1 $370k 47k 7.94
Apple (AAPL) 0.1 $331k 3.3k 100.82
Putnam Master Int. Income (PIM) 0.1 $337k 67k 5.03
Morgan Stanley Emerging Markets Fund 0.1 $347k 22k 15.49
First Federal of Northern Michigan Bancp 0.1 $340k 64k 5.34
Zweig Fund 0.1 $333k 22k 15.18
Morgan Stanley Asia Pacific Fund 0.1 $295k 18k 16.34
Mainstay Definedterm Mn Opp (MMD) 0.1 $264k 15k 17.84
Pfizer (PFE) 0.1 $242k 8.2k 29.58
Nuveen Quality Preferred Income Fund 0.1 $233k 29k 8.16
Nuveen Multi-Strategy Income & Growth (JPC) 0.1 $200k 22k 9.21
Calamos Strategic Total Return Fund (CSQ) 0.1 $176k 15k 11.68
Templeton Russia & East European Fund 0.1 $185k 15k 12.58
Lazard World Dividend & Income Fund 0.1 $156k 11k 14.34
Power Reit (PW) 0.0 $145k 14k 10.15
Aegon 0.0 $104k 13k 8.24
Real Goods Solar 0.0 $85k 49k 1.73
Western Asset Intm Muni Fd I (SBI) 0.0 $107k 11k 9.73
Cbre Clarion Global Real Estat re (IGR) 0.0 $110k 13k 8.40
Earthlink Holdings 0.0 $52k 15k 3.39