Financial & Investment Management Group

Financial & Investment Management as of Sept. 30, 2015

Portfolio Holdings for Financial & Investment Management

Financial & Investment Management holds 124 positions in its portfolio as reported in the September 2015 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 10.5 $38M 3.6M 10.40
BlackRock Credit All Inc Trust IV (BTZ) 3.9 $14M 1.1M 12.17
Gamco Global Gold Natural Reso (GGN) 3.7 $13M 2.7M 4.99
Government Properties Income Trust 3.5 $13M 787k 16.00
Cohen & Steers Clsd-End Optuny Fnd (FOF) 3.2 $12M 1.1M 10.80
Pimco Dynamic Credit Income other 3.2 $11M 627k 18.27
Gaiam 2.9 $10M 1.7M 6.15
Franklin Universal Trust (FT) 2.8 $10M 1.7M 5.91
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 2.7 $9.8M 1.2M 7.98
MFS Multimarket Income Trust (MMT) 2.5 $9.2M 1.6M 5.59
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 2.5 $8.8M 779k 11.35
Western Asset Global Cp Defi (GDO) 2.3 $8.3M 525k 15.83
Western Ast Clymr Infl Lkd Sc & Incm (WIA) 2.3 $8.3M 784k 10.55
Janus Capital 2.0 $7.2M 526k 13.60
Lexington Realty Trust (LXP) 1.9 $6.9M 853k 8.10
Cott Corp 1.8 $6.4M 590k 10.83
Strategic Global Income Fund 1.7 $6.0M 754k 7.93
Senior Housing Properties Trust 1.6 $5.9M 362k 16.20
Invesco Van Kampen Senior Income Trust (VVR) 1.6 $5.6M 1.3M 4.18
Duff & Phelps Global (DPG) 1.6 $5.6M 369k 15.14
Medical Properties Trust (MPW) 1.5 $5.3M 477k 11.06
Chambers Str Pptys 1.5 $5.3M 815k 6.49
Vareit, Inc reits 1.5 $5.3M 683k 7.72
Silver Wheaton Corp 1.4 $5.1M 427k 12.01
Blackstone Gso Strategic (BGB) 1.4 $5.1M 357k 14.21
Eaton Vance Fltg Rate In 1.4 $5.1M 345k 14.68
U.S. Global Investors (GROW) 1.2 $4.4M 2.7M 1.67
Cohen & Steers infrastucture Fund (UTF) 1.2 $4.4M 232k 19.07
BlackRock Floating Rate Income Strat. Fn (FRA) 1.2 $4.4M 341k 12.94
New Senior Inv Grp 1.2 $4.2M 405k 10.46
Nuveen Qual Preferred Inc. Fund III 1.1 $4.1M 510k 8.02
MFS Charter Income Trust (MCR) 1.1 $4.0M 512k 7.75
New Gold Inc Cda (NGD) 1.1 $3.9M 1.7M 2.27
Royce Micro Capital Trust (RMT) 1.0 $3.6M 469k 7.74
Pioneer Floating Rate Trust (PHD) 1.0 $3.6M 316k 11.32
LEGG MASON BW GLOBAL Income 1.0 $3.5M 298k 11.61
B2gold Corp (BTG) 0.9 $3.2M 3.1M 1.05
Franklin Templeton (FTF) 0.8 $2.8M 260k 10.90
Invesco Van Kampen Dyn Cr Opp Fund 0.8 $2.7M 259k 10.57
Kinder Morgan (KMI) 0.7 $2.6M 96k 27.68
Harris & Harris 0.7 $2.4M 1.1M 2.14
THE GDL FUND Closed-End fund (GDL) 0.7 $2.4M 243k 9.80
Invesco Quality Municipal Inc Trust (IQI) 0.6 $2.3M 190k 12.15
Sunopta (STKL) 0.6 $2.2M 453k 4.86
Blackrock Muni Intermediate Drtn Fnd 0.6 $2.2M 158k 13.92
Eaton Vance Short Duration Diversified I (EVG) 0.6 $2.2M 164k 13.23
Wells Fargo Adv Global Dividend Opport (EOD) 0.6 $2.1M 349k 5.91
GATX Corporation (GATX) 0.5 $1.9M 93k 20.77
TiVo 0.5 $1.9M 217k 8.66
Dominion Diamond Corp foreign 0.4 $1.6M 146k 10.68
Dws Strategic Income Trust 0.4 $1.6M 151k 10.28
Royce Value Trust (RVT) 0.4 $1.5M 131k 11.50
Eaton Vance Mun Income Term Tr (ETX) 0.4 $1.5M 87k 17.32
Eversource Energy (ES) 0.4 $1.5M 30k 50.60
EATON VANCE MI Municipal 0.4 $1.4M 110k 12.47
LeapFrog Enterprises 0.4 $1.3M 1.9M 0.71
Voya Prime Rate Trust sh ben int 0.4 $1.3M 257k 5.06
Doubleline Income Solutions (DSL) 0.3 $1.3M 73k 17.29
LMP Corporate Loan Fund 0.3 $1.2M 119k 10.28
Royce Global Value Tr (RGT) 0.3 $1.2M 166k 7.01
Genworth Financial (GNW) 0.3 $1.1M 240k 4.62
Spark Networks 0.3 $1.1M 370k 2.88
Birner Dental Mgmt. Services 0.3 $1.0M 79k 12.75
Zweig Total Return 0.3 $1.0M 88k 11.42
Dreyfus Mun Bd Infrastructure 0.3 $1.0M 86k 11.86
Fastenal Company (FAST) 0.3 $986k 27k 36.62
Alpine Global Premier Properties Fund 0.3 $959k 172k 5.58
John Hancock Patriot Premium Div Fund II (PDT) 0.3 $973k 78k 12.55
Berkshire Hathaway (BRK.B) 0.3 $934k 7.2k 130.41
Nuveen Global High (JGH) 0.2 $853k 59k 14.42
Bancroft Fund (BCV) 0.2 $821k 44k 18.71
Delaware Invt Nat Muni Inc F sh ben int (VFL) 0.2 $843k 66k 12.79
Colgate-Palmolive Company (CL) 0.2 $774k 12k 63.44
Nuveen Michigan Qlity Incom Municipal 0.2 $801k 61k 13.18
MFS Intermediate Income Trust (MIN) 0.2 $752k 165k 4.55
Travelzoo (TZOO) 0.2 $756k 91k 8.27
Procter & Gamble Company (PG) 0.2 $716k 10k 71.92
Special Opportunities Fund (SPE) 0.2 $714k 51k 14.07
Gabelli mutual funds - (GGZ) 0.2 $730k 74k 9.92
Western Asset Worldwide Income Fund 0.2 $696k 71k 9.83
BlackRock Floating Rate Income Trust (BGT) 0.2 $649k 52k 12.44
Invesco Van Kampen Trust For Inv Grd Mun (VGM) 0.2 $640k 50k 12.92
Nuveen Insd Dividend Advantage (NVG) 0.2 $647k 46k 13.94
Western Asset Municipal Partners Fnd 0.2 $640k 43k 14.91
Putnam Municipal Opportunities Trust (PMO) 0.2 $612k 51k 11.96
Consolidated Edison (ED) 0.2 $558k 8.3k 66.88
DTE Energy Company (DTE) 0.2 $569k 7.1k 80.42
Depository Vipshop Holdings Ltd - Ads receipt (VIPS) 0.2 $571k 34k 16.80
Rcs Cap 0.2 $584k 721k 0.81
Lazard World Dividend & Income Fund 0.1 $525k 58k 9.11
Nuveen Int Dur Qual Mun Trm 0.1 $545k 44k 12.44
AllianceBernstein Income Fund 0.1 $513k 65k 7.87
BlackRock Ltd. Duration Income Trust (BLW) 0.1 $515k 36k 14.45
Stag Industrial (STAG) 0.1 $496k 27k 18.20
Cinedigm 0.1 $505k 902k 0.56
Boulder Growth & Income Fund (STEW) 0.1 $422k 57k 7.46
Walgreen Boots Alliance 0.1 $414k 5.0k 83.13
Nuveen Performance Plus Municipal Fund 0.1 $407k 29k 14.18
Virtus Total Return Fund Cef 0.1 $390k 103k 3.78
Madison Covered Call Eq Strat (MCN) 0.1 $398k 56k 7.07
Royal Gold Inc conv 0.1 $349k 363k 0.96
Templeton Dragon Fund (TDF) 0.1 $332k 18k 18.70
Cbre Clarion Global Real Estat re (IGR) 0.1 $317k 43k 7.38
At&t (T) 0.1 $277k 8.5k 32.58
International Business Machines (IBM) 0.1 $296k 2.0k 144.81
BlackRock Global Opportunities Equity Tr (BOE) 0.1 $281k 23k 12.10
Pfizer (PFE) 0.1 $247k 7.9k 31.46
Invesco Van Kampen Bond Fund (VBF) 0.1 $249k 14k 17.66
Morgan Stanley Emerging Markets Fund 0.1 $239k 19k 12.66
Blackrock Util & Infrastrctu (BUI) 0.1 $256k 16k 16.28
Zweig Fund 0.1 $269k 21k 12.82
Morgan Stanley Asia Pacific Fund 0.1 $223k 17k 12.95
Diversified Real Asset Inc F 0.1 $225k 14k 16.06
Templeton Global Income Fund 0.1 $179k 29k 6.08
Calamos Strategic Total Return Fund (CSQ) 0.1 $172k 19k 9.29
Ford Motor Company (F) 0.0 $147k 11k 13.57
BlackRock Core Bond Trust (BHK) 0.0 $140k 11k 12.96
Blackrock Res & Commodities Strategy Tr (BCX) 0.0 $154k 22k 7.10
BlackRock Income Trust 0.0 $106k 17k 6.31
Putnam Master Int. Income (PIM) 0.0 $113k 25k 4.49
Aegon 0.0 $68k 12k 5.72
Coffee Holding (JVA) 0.0 $65k 17k 3.89
Avon Products 0.0 $34k 11k 3.21
Alcatel-Lucent 0.0 $49k 14k 3.63