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FIMG

Financial & Investment Management Group Portfolio holdings

AUM $274M
1-Year Est. Return 8.43%
This Fund
S&P 500
This Quarter Est. Return
-0.22%
1 Year Est. Return
-8.43%
3 Year Est. Return
+18.93%
5 Year Est. Return
-0.98%
10 Year Est. Return
–
AUM
$261M
AUM Growth
+$81M
Cap. Flow
+$80.8M
Cap. Flow %
30.96%
Top 10 Hldgs %
50.97%
Holding
94
New
23
Increased
31
Reduced
26
Closed
8

Top Buys

Rank Stock Value
1
PDT
John Hancock Premium Dividend Fund
PDT
+$15.6M
2
ACG
AllianceBernstein Income Fund Inc
ACG
+$13.8M
3
ERC
Allspring Multi-Sector Income Fund
ERC
+$6.63M
4
WIW
Western Asset Inflation-Linked Opportunities & Income Fund
WIW
+$6.2M
5
BCF
BLACKROCK REAL ASSET EQUITY TRUST
BCF
+$6.17M

Top Sells

Rank Stock Value
1
UNTD
UNITED ONLINE INC COM NEW
UNTD
+$9.7M
2
VOD icon
Vodafone
VOD
+$7.07M
3
NEM icon
Newmont
NEM
+$4.87M
4
CSP
AMER STRATEGIC INCM PTFL-III
CSP
+$3.93M
5
KGC icon
Kinross Gold
KGC
+$3.19M

Sector Composition

Rank Sector Weight
1 Materials 6.11%
2 Communication Services 3.92%
3 Financials 2.62%
4 Utilities 2.25%
5 Real Estate 1.93%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VBF icon
26
Invesco Bond Fund
VBF
$169M
$2.96M 1.13%
168,622
+105,911
+169% +$1.86M
BWG
27
BrandywineGLOBAL Global Income Opportunities Fund
BWG
$131M
$2.93M 1.12%
175,363
+128,489
+274% +$2.18M
FDI
28
DELISTED
FORT DEARBORN INCOME SECS
FDI
$2.69M 1.03%
192,427
+156,168
+431% +$2.18M
NTT
29
DELISTED
Nippon Telegraph & Telephone
NTT
$2.47M 0.95%
94,768
-4,672
-5% -$122K
GDO
30
Western Asset Global Corporate Defined Opportunity Fund
GDO
$77.4M
$2.42M 0.93%
136,067
+124,067
+1,034% +$2.2M
RSOL
31
DELISTED
REAL GOODS SOLAR, INC. CL A COM
RSOL
$2.4M 0.92%
860,210
-535,036
-38% -$1.21M
PIM
32
Franklin Master Intermediate Income Trust
PIM
$151M
$2.28M 0.87%
467,613
+248,883
+114% +$1.23M
ZTR
33
Virtus Total Return Fund
ZTR
$339M
$2M 0.77%
+152,814
New +$1.99M
UTF icon
34
Cohen & Steers Infrastructure Fund
UTF
$3.04B
$1.9M 0.73%
96,183
-29,442
-23% -$568K
BNA
35
DELISTED
BLACKROCK INCOME OPPORTUNITY TRUST INC
BNA
$1.85M 0.71%
+187,413
New +$1.84M
JGG
36
DELISTED
NUVEEN GLOBAL INCOME OPPORTUNITIES FUND
JGG
$1.84M 0.71%
157,323
+142,896
+990% +$1.71M
BCV
37
Bancroft Fund
BCV
$139M
$1.74M 0.67%
97,166
+596
+0.6% +$10.6K
CMK
38
DELISTED
MFS HIGH INCOME MUNI TR I
CMK
$1.73M 0.66%
216,223
-1,379
-0.6% -$11.1K
ICB
39
DELISTED
Morgan Stanley Income Sec. Inc
ICB
$1.65M 0.63%
+99,263
New +$1.64M
DOVR
40
DELISTED
DOVER SADDLERY INC
DOVR
$1.65M 0.63%
366,800
+10,625
+3% +$41.2K
ASP
41
DELISTED
AMERN STRATEGIC INCOME PORTFOL
ASP
$1.61M 0.62%
+164,505
New +$1.61M
WIA
42
Western Asset Inflation-Linked Income Fund
WIA
$186M
$1.55M 0.59%
132,928
+53,238
+67% +$623K
LWAY icon
43
Lifeway Foods
LWAY
$481M
$1.41M 0.54%
104,053
+12,716
+14% +$205K
TDF
44
Templeton Dragon Fund
TDF
$280M
$1.32M 0.51%
50,665
+25,347
+100% +$657K
HTD
45
John Hancock Tax-Advantaged Dividend Income Fund
HTD
$900M
$1.29M 0.5%
+74,285
New +$1.35M
ES icon
46
Eversource Energy
ES
$27.2B
$1.23M 0.47%
29,860
– –
DWA
47
DELISTED
DREAMWORKS ANIMATION SKG INC CL-A
DWA
$1.2M 0.46%
42,015
-60,890
-59% -$1.66M
BTG icon
48
B2Gold
BTG
$6.64B
$1.17M 0.45%
+470,290
New +$1.27M
LODE icon
49
Comstock
LODE
$245M
$1.09M 0.42%
+2,416
New +$1.18M
BUI icon
50
BlackRock Utilities, Infrastructure & Power Opportunities Trust
BUI
$715M
$941K 0.36%
+53,908
New +$953K
1
2
3 4

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LA
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CHA
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CPIM
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REFI
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VAM
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HCG
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PC
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PPC
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Financial & Investment Management Group's Q3 2013 Portfolio in Review

As of Q3 2013, Financial & Investment Management Group held 94 positions worth $261M, up 45% from $180M the previous quarter. Its ten largest holdings account for 51% of the portfolio.

Financial & Investment Management Group deployed $80.8M of net new capital in Q3 2013, opening 23 new positions and adding to 31 existing holdings. Its largest new stake was Allspring Multi-Sector Income Fund: 467,777 shares worth $6.61M.

By sector, the portfolio is most concentrated in Materials at 6.1% of assets, down from 8.8% a quarter earlier, followed by Communication Services and Financials.

On the sell side, the largest reduction was AMER STRATEGIC INCM PTFL-III, an estimated $3.93M trimmed.

  • Financial & Investment Management Group's largest Q3 2013 buy was Allspring Multi-Sector Income Fund: 467,777 shares worth $6.61M.
  • Financial & Investment Management Group added most to John Hancock Premium Dividend Fund in Q3 2013, an estimated $15.6M increase.
  • Financial & Investment Management Group's biggest Q3 2013 reduction was AMER STRATEGIC INCM PTFL-III, cutting an estimated $3.93M.
  • Financial & Investment Management Group fully exited UNITED ONLINE INC COM NEW in Q3 2013, selling an estimated $9.7M.
  • Financial & Investment Management Group's ten largest holdings make up 51% of its $261M portfolio in Q3 2013.
  • Financial & Investment Management Group opened 23 new positions and closed 8 in Q3 2013.
  • Financial & Investment Management Group's portfolio value rose 45% quarter-over-quarter to $261M.

Based on Financial & Investment Management Group's 13F filing for Q3 2013, filed 21 Oct 2013.