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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
-10.57%
1 Year Est. Return
-8.43%
3 Year Est. Return
+18.93%
5 Year Est. Return
-0.98%
10 Year Est. Return
–
AUM
$359M
AUM Growth
-$29M
Cap. Flow
+$20.6M
Cap. Flow %
5.74%
Top 10 Hldgs %
38.97%
Holding
141
New
12
Increased
42
Reduced
62
Closed
17

Top Buys

Rank Stock Value
1
FOF icon
Cohen & Steers Closed End Opportunity Fund
FOF
+$8.27M
2
DPG
Duff & Phelps Utility and Infrastructure Fund
DPG
+$6.14M
3
VVR icon
Invesco Senior Income Trust
VVR
+$5.81M
4
JQC icon
Nuveen Credit Strategies Income Fund
JQC
+$5.46M
5
SNR
NEW SENIOR INVESTMENT GROUP INC.
SNR
+$4.94M

Top Sells

Rank Stock Value
1
ACG
AllianceBernstein Income Fund Inc
ACG
+$10.7M
2
VOD icon
Vodafone
VOD
+$4.87M
3
VER
VEREIT, Inc.
VER
+$4.55M
4
TDC icon
Teradata
TDC
+$4.39M
5
T icon
AT&T
T
+$4.13M

Sector Composition

Rank Sector Weight
1 Real Estate 9.69%
2 Financials 4.69%
3 Materials 3.84%
4 Communication Services 3.33%
5 Consumer Staples 2.82%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EFF
26
DELISTED
EATON VANCE FLOATING-RATE INCOME PLUS FUND
EFF
$5.06M 1.41%
344,616
+128,017
+59% +$1.99M
GROW icon
27
US Global Investors
GROW
$38.3M
$4.43M 1.23%
2,653,955
+101,547
+4% +$221K
UTF icon
28
Cohen & Steers Infrastructure Fund
UTF
$3.03B
$4.42M 1.23%
231,743
+191,009
+469% +$3.87M
FRA icon
29
BlackRock Floating Rate Income Strategies Fund
FRA
$386M
$4.42M 1.23%
341,423
+255,889
+299% +$3.38M
SNR
30
DELISTED
NEW SENIOR INVESTMENT GROUP INC.
SNR
$4.24M 1.18%
+405,377
New +$4.94M
JHP
31
DELISTED
NUVEEN QUALITY PREFERRED INCOME FUND 3
JHP
$4.09M 1.14%
509,662
-294,056
-37% -$2.43M
MCR
32
DELISTED
MFS Charter Income Trust
MCR
$3.97M 1.1%
512,036
+15,525
+3% +$128K
NGD
33
DELISTED
New Gold Inc
NGD
$3.88M 1.08%
1,708,443
-11,275
-0.7% -$26.1K
RMT
34
Royce Micro-Cap Trust
RMT
$760M
$3.63M 1.01%
468,852
+401,918
+600% +$3.41M
PHD
35
DELISTED
Pioneer Floating Rate Fund
PHD
$3.57M 0.99%
315,471
-14,533
-4% -$166K
BWG
36
BrandywineGLOBAL Global Income Opportunities Fund
BWG
$131M
$3.46M 0.96%
298,443
+70,373
+31% +$921K
BTG icon
37
B2Gold
BTG
$6.66B
$3.23M 0.9%
3,072,705
-36,330
-1% -$44.1K
FTF
38
Franklin Limited Duration Income Trust
FTF
$233M
$2.83M 0.79%
259,660
+4,362
+2% +$49.7K
VTA
39
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
$2.74M 0.76%
259,185
+159,619
+160% +$1.8M
KMI icon
40
Kinder Morgan
KMI
$69.2B
$2.65M 0.74%
+95,690
New +$3.17M
TURN
41
DELISTED
180 Degree Capital
TURN
$2.4M 0.67%
373,068
+43,204
+13% +$327K
GDL
42
GDL Fund
GDL
$92.3M
$2.38M 0.66%
242,717
-4,257
-2% -$43K
IQI icon
43
Invesco Quality Municipal Securities
IQI
$533M
$2.31M 0.64%
190,150
-1,250
-0.7% -$14.9K
STKL
44
DELISTED
SunOpta
STKL
$2.2M 0.61%
452,857
+314,022
+226% +$2.85M
MUI
45
DELISTED
BlackRock Municipal Income Fund, Inc.
MUI
$2.2M 0.61%
158,136
-20,400
-11% -$282K
EVG
46
Eaton Vance Short Duration Diversified Income Fund
EVG
$143M
$2.17M 0.6%
163,932
+46,393
+39% +$635K
EOD
47
Allspring Global Dividend Opportunity Fund
EOD
$284M
$2.06M 0.57%
+348,980
New +$2.27M
GATX icon
48
GATX Corp
GATX
$6.2B
$1.93M 0.54%
+92,700
New +$4.59M
TIVO
49
DELISTED
TIVO INC
TIVO
$1.88M 0.52%
216,845
-24,685
-10% -$234K
DDC
50
DELISTED
Dominion Diamond Corporation
DDC
$1.56M 0.43%
145,884
-79,475
-35% -$960K
1
2
3 4 5

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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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PPC
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Financial & Investment Management Group's Q3 2015 Portfolio in Review

As of Q3 2015, Financial & Investment Management Group held 141 positions worth $359M, down 7.5% from $388M the previous quarter. Its ten largest holdings account for 39% of the portfolio.

Financial & Investment Management Group deployed $20.6M of net new capital in Q3 2015, opening 12 new positions and adding to 42 existing holdings. Its largest new stake was Duff & Phelps Utility and Infrastructure Fund: 368,674 shares worth $5.58M.

By sector, the portfolio is most concentrated in Real Estate at 9.7% of assets, up from 8.5% a quarter earlier, followed by Financials and Materials.

On the sell side, the largest reduction was AllianceBernstein Income Fund Inc, an estimated $10.7M trimmed.

  • Financial & Investment Management Group's largest Q3 2015 buy was Duff & Phelps Utility and Infrastructure Fund: 368,674 shares worth $5.58M.
  • Financial & Investment Management Group added most to Cohen & Steers Closed End Opportunity Fund in Q3 2015, an estimated $8.27M increase.
  • Financial & Investment Management Group's biggest Q3 2015 reduction was AllianceBernstein Income Fund Inc, cutting an estimated $10.7M.
  • Financial & Investment Management Group fully exited Vodafone in Q3 2015, selling an estimated $4.87M.
  • Financial & Investment Management Group's ten largest holdings make up 39% of its $359M portfolio in Q3 2015.
  • Financial & Investment Management Group opened 12 new positions and closed 17 in Q3 2015.
  • Financial & Investment Management Group's portfolio value fell 7.5% quarter-over-quarter to $359M.

Based on Financial & Investment Management Group's 13F filing for Q3 2015, filed 15 Oct 2015.