Financial & Investment Management Group

Financial & Investment Management as of Sept. 30, 2016

Portfolio Holdings for Financial & Investment Management

Financial & Investment Management holds 96 positions in its portfolio as reported in the September 2016 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 14.3 $44M 3.9M 11.19
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 4.3 $13M 1.6M 8.48
Silver Wheaton Corp 4.0 $12M 455k 27.03
Royal Gold (RGLD) 3.2 $9.9M 128k 77.43
Apollo Sr Floating Rate Fd I (AFT) 3.1 $9.6M 569k 16.93
Western Ast Clymr Infl Lkd Sc & Incm (WIA) 2.9 $8.8M 767k 11.45
Sandstorm Gold (SAND) 2.6 $8.0M 1.6M 5.03
Invesco Van Kampen Dyn Cr Opp Fund 2.6 $8.0M 678k 11.76
Franklin Universal Trust (FT) 2.5 $7.7M 1.1M 6.80
Invesco Van Kampen Senior Income Trust (VVR) 2.5 $7.5M 1.7M 4.33
Claymore Exchange-traded Fd gugg crp bd 2017 2.3 $7.0M 307k 22.68
Eaton Vance Fltg Rate In 2.2 $6.7M 426k 15.64
BlackRock Floating Rate Income Strat. Fn (FRA) 2.1 $6.5M 471k 13.86
New Senior Inv Grp 2.1 $6.4M 558k 11.54
Medical Properties Trust (MPW) 2.0 $6.2M 420k 14.77
Pioneer Floating Rate Trust (PHD) 1.8 $5.6M 475k 11.80
Templeton Global Income Fund 1.8 $5.6M 897k 6.24
St. Jude Medical 1.7 $5.2M 66k 79.76
Global Self Storage (SELF) 1.7 $5.2M 991k 5.26
Cohen & Steers infrastucture Fund (UTF) 1.6 $4.9M 230k 21.54
Duff & Phelps Global (DPG) 1.6 $4.9M 286k 17.08
Nokia Corporation (NOK) 1.6 $4.8M 827k 5.79
Voya Prime Rate Trust sh ben int 1.6 $4.7M 898k 5.28
Schwab Strategic Tr intrm trm (SCHR) 1.5 $4.7M 84k 55.57
U.S. Global Investors (GROW) 1.5 $4.6M 2.5M 1.84
Gaiam 1.5 $4.5M 630k 7.20
Sunopta (STKL) 1.4 $4.3M 609k 7.06
MFS Multimarket Income Trust (MMT) 1.4 $4.2M 682k 6.09
Lexington Realty Trust (LXP) 1.3 $4.0M 388k 10.30
LEGG MASON BW GLOBAL Income 1.3 $3.8M 283k 13.58
Royce Micro Capital Trust (RMT) 1.2 $3.6M 457k 7.81
Claymore Exchange-traded Fd gugg crp bd 2016 1.2 $3.6M 161k 22.06
Alphabet Inc Class C cs (GOOG) 1.1 $3.5M 4.5k 777.18
Covanta Holding Corporation 1.1 $3.5M 224k 15.39
Global Wtr Res (GWRS) 1.0 $3.0M 374k 8.01
Cohen & Steers Clsd-End Optuny Fnd (FOF) 0.9 $2.7M 218k 12.29
iShares Lehman 1-3 Year Treas.Bond (SHY) 0.8 $2.5M 29k 85.06
THE GDL FUND Closed-End fund (GDL) 0.8 $2.4M 245k 9.95
Senior Housing Properties Trust 0.8 $2.4M 107k 22.71
Walt Disney Company (DIS) 0.7 $2.1M 23k 92.85
Harris & Harris 0.6 $1.9M 1.4M 1.39
Lazard World Dividend & Income Fund 0.6 $1.9M 187k 10.10
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 0.6 $1.8M 184k 9.67
TiVo 0.6 $1.7M 89k 19.48
Special Opportunities Fund (SPE) 0.5 $1.6M 111k 14.91
Cott Corp 0.5 $1.6M 114k 14.25
Eversource Energy (ES) 0.5 $1.6M 30k 54.19
BlackRock Credit All Inc Trust IV (BTZ) 0.5 $1.6M 119k 13.35
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 0.5 $1.5M 116k 12.97
EATON VANCE MI Municipal 0.4 $1.3M 93k 14.15
Calamos Global Dynamic Income Fund (CHW) 0.4 $1.3M 170k 7.51
Wells Fargo Adv Global Dividend Opport (EOD) 0.4 $1.2M 213k 5.81
Vareit, Inc reits 0.4 $1.2M 118k 10.37
Royce Global Value Tr (RGT) 0.4 $1.1M 140k 8.13
B2gold Corp (BTG) 0.4 $1.1M 413k 2.63
Berkshire Hathaway (BRK.B) 0.3 $1.1M 7.4k 144.45
Associated Cap Group Inc cl a (AC) 0.3 $1.1M 31k 35.46
Fastenal Company (FAST) 0.3 $1.0M 24k 41.77
Colgate-Palmolive Company (CL) 0.3 $905k 12k 74.18
Calamos Global Total Return Fund (CGO) 0.3 $894k 78k 11.44
Nuveen Michigan Qlity Incom Municipal 0.3 $894k 61k 14.74
Procter & Gamble Company (PG) 0.3 $811k 9.0k 89.72
Cohen & Steers REIT/P (RNP) 0.3 $786k 39k 20.15
Royce Value Trust (RVT) 0.3 $795k 63k 12.65
Apple (AAPL) 0.2 $770k 6.8k 113.12
Western Asset Worldwide Income Fund 0.2 $767k 66k 11.61
Spark Networks 0.2 $698k 442k 1.58
Gabelli mutual funds - (GGZ) 0.2 $710k 66k 10.81
DTE Energy Company (DTE) 0.2 $675k 7.2k 93.74
Nuveen Senior Income Fund 0.2 $658k 101k 6.54
Consolidated Edison (ED) 0.2 $628k 8.3k 75.27
Clough Global Allocation Fun (GLV) 0.2 $646k 53k 12.13
Financial Engines 0.2 $610k 21k 29.73
Special Opp 3.5% Pfd Conv 0.2 $571k 22k 25.79
Alpine Global Premier Properties Fund 0.2 $552k 100k 5.55
GABELLI GLOBL UTIL & INCOME COM Sh Ben Int (GLU) 0.2 $476k 26k 18.31
Eaton Vance Short Duration Diversified I (EVG) 0.1 $452k 33k 13.71
Boulder Growth & Income Fund (STEW) 0.1 $418k 50k 8.37
Walgreen Boots Alliance (WBA) 0.1 $404k 5.0k 80.62
Royal Gold Inc conv 0.1 $374k 334k 1.12
Gramercy Ppty Tr 0.1 $372k 39k 9.65
BlackRock Global Opportunities Equity Tr (BOE) 0.1 $334k 27k 12.24
Gamco Global Gold Natural Reso (GGN) 0.1 $345k 54k 6.39
International Business Machines (IBM) 0.1 $307k 1.9k 158.74
Cbre Clarion Global Real Estat re (IGR) 0.1 $286k 34k 8.39
UnitedHealth (UNH) 0.1 $241k 1.7k 140.03
Templeton Dragon Fund (TDF) 0.1 $236k 13k 17.65
Morgan Stanley Emerging Markets Fund 0.1 $241k 17k 14.55
Morgan Stanley Asia Pacific Fund 0.1 $238k 16k 15.09
Diversified Real Asset Inc F 0.1 $240k 14k 17.22
Nuveen Fltng Rte Incm Opp 0.1 $169k 15k 11.06
Calamos Strategic Total Return Fund (CSQ) 0.1 $165k 16k 10.30
Dominion Diamond Corp foreign 0.0 $98k 10k 9.70
Aegon 0.0 $49k 13k 3.87
New Gold Inc Cda (NGD) 0.0 $64k 15k 4.35
Coffee Holding (JVA) 0.0 $65k 12k 5.57